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US BankMinneapolis, MN
$149,515 - $175,900 / year
At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One. Job Description Job Description The Corporate Audit Services (CAS) Senior Audit Manager - Wealth, Commercial, Capital Markets is a senior level management position that supports the Regulatory Compliance Audit Director/Senior Audit Director of the Risk Management and Compliance audit team. This role supports the Audit Director/Senior Audit Director, in providing the Audit Committee and senior management with independent assurance and advisory services designed to evaluate and improve the effectiveness of risk management, control, and governance processes of U.S. Bancorp (USB), affiliates, wholly owned subsidiaries and entities where USB owns a majority (controlling) interest. The Senior Audit Manager is responsible for providing strategic direction, leadership, and coordination of compliance risk coverage for USB's Wealth, Commercial, Capital Markets business lines with demonstrated expertise and the ability to effectively communicate requirements of laws and regulations to non-compliance business partners and key stakeholders in the following areas: Wealth Management laws and regulations (e.g., Broker Dealer, Trust Services, Wealth Management, Securities and Exchange Commission (SEC) Regulations, Financial Industry Regulatory Authority (FINRA) Regulations, 12CFR9 Regulation, Investments, Wealth Operations, Private Banking) Capital Market laws and regulations (e.g., Broker Dealer, Trust Services, Wealth Management, SEC Regulations, FINRA Regulations, 12CFR9 Regulation, Investments, Wealth Operations, Private Banking) Laws and regulations applicable to Corporate and Commercial Banking business lines The Senior Audit Manager also has strong knowledge of Compliance Management Systems. Global Corporate Compliance (GCC) is responsible for developing, maintaining, and tracking the implementation of GCC Policies, Procedures, and Country Requirements. GCC oversees USB's compliance with applicable laws and regulations through execution of the compliance risk management framework across the first and second lines of defense, including: risk identification, change management, risk assessments, management reporting, and provide consultation and credible challenge to support the development of effective business line control environments subject to compliance risk. We are seeking an experienced senior business audit executive that has strong knowledge of audit, risk management, and regulatory expectations (e.g., Office of the Comptroller of Currency's Heightened Standards and Federal Reserve Board's Large Financial Institution Rating System) at large financial institutions. This individual will have skills and experience to effectively manage deliverables, own and lead the compliance risk management audit plan, provide oversight of audit activities over the risk management activities mentioned above, and deliver updates to operating committees, senior management and key stakeholders. Primary Responsibilities Coordinating with the Audit Director/Senior Audit Director in developing and driving the execution and coordination of the risk-based Annual Audit Plan for Wealth, Commercial, Capital Markets. Includes identifying auditable entities and assessing compliance risk across all auditable entities; determining appropriate audit cycles and audit strategy for the compliance risk framework; and determining necessary audit resources and estimated expenses associated with completion of a forward looking 12-18-month audit plan. Maintaining an effective Continuous Monitoring Program which monitors key risks within auditable entities across multiple business lines and identifies any key emerging/evolving risks by routinely interfacing with independent peer banks on regulatory trends and industry events. Also includes monitoring adequacy of CAS resources and adjusting the audit plan when appropriate and communicating key results of Continuous Monitoring to applicable members across CAS. Lead a team of managers and audit professionals and is expected to recruit, hire, and develop assigned personnel in accordance with U.S. Bank Human Resources Policies and Corporate Audit Services Policies, Standards and Guidelines. These duties include active participation in recruiting activities; establishing and managing development plans for assigned personnel; and providing quarterly performance feedback and annual performance evaluations for assigned personnel. Also includes addressing performance problems promptly. Supervise audit managers in the completion of audit engagements, ensuring the highest quality of work is delivered timely. Supervision includes: Coordinating with senior audit managers and managers to plan audit engagements. Ensuring reviews are performed to ensure audit engagement work contains relevant facts to support audit scope and conclusions and adhere to internal audit policies and procedures. Reviewing audit reports which communicate audit opinions and audit issues in a timely, clear, and concise manner. Monitoring progress of audit engagements against plan and schedule and working with senior audit managers/audit managers to make necessary adjustments. Supporting the Audit Director/Senior Audit Director by creating and ensuring board, committee and other stakeholders reporting for completeness, consistency with other internal audit material and accuracy of the most up-to-date information. Overseeing ongoing progress and remediation by management for all outstanding operations issues across the entire enterprise and supporting other Senior Audit Directors/Audit Directors. Presenting as needed at Sr. Operating Committee and Sub-Committee meetings. Develop and deepen relationships through regular interactions with key internal and external stakeholders that include but are not limited to: senior management; internal control partners; regulatory agencies; external auditors; external subject matter experts; and industry peers. This includes regular participation within industry peer groups. Collaborating across the three lines of defense regarding business processes, risks, and controls. Coordinating audit activities by integrating other internal audit subject matter teams (e.g., Business Lines, Technology, Anti-Money Laundering, Model, Risk Management, Data, etc.) to ensure appropriate and efficient coverage of the business products, services, and processes. Managing the team's workload to assist other audit teams when resources are needed for areas of higher risk. Drive automation and data analytics opportunities within their portfolio. Performing other duties as requested by Audit Director/Senior Audit Director. Preferred Skills/Experience Bachelor's degree, or equivalent work experience Typically more than 10 years of applicable experience Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business Advanced understanding of the business line's operations, products/services, systems, and associated risks/controls Thorough knowledge of Risk/Compliance/Audit competencies Strong leadership and management skills of processes, projects and people Effective written and verbal communication skills Strong analytical, problem-solving and negotiation skills Proficient computer skills, especially Microsoft Office applications Applicable professional certifications Location Expectations This role requires working from a U.S. Bank location three (3) or more days per week. If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants. Benefits: Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours): Healthcare (medical, dental, vision) Basic term and optional term life insurance Short-term and long-term disability Pregnancy disability and parental leave 401(k) and employer-funded retirement plan Paid vacation (from two to five weeks depending on salary grade and tenure) Up to 11 paid holiday opportunities Adoption assistance Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law. E-Verify U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program. The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $149,515.00 - $175,900.00 U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies. Posting may be closed earlier due to high volume of applicants.
Posted 3 days ago
Simmons BankLittle Rock, AR
It's fun to work in a company where people truly BELIEVE in what they're doing! We're committed to bringing passion and customer focus to the business. The Privacy Compliance Specialist will support the organization's privacy program, ensuring compliance with applicable laws, industry standards, and internal policies. This role requires a strong understanding of privacy laws such as CCPA/CPRA, GLBA, HIPAA, and other relevant regulations. The ideal candidate has practical experience in data privacy, information governance, and regulatory compliance. Essential Duties and Responsibilities Monitor and interpret changes in global, federal, and state privacy laws; advise internal stakeholders on regulatory impact. Draft, review, and maintain privacy-related policies, procedures, and standards across business units. Conduct privacy impact assessments (PIAs) and advise on data use in new projects, systems, and third-party engagements. Review contracts, data processing agreements (DPAs), and vendor relationships for privacy compliance. Provide regulatory guidance on the collection, use, storage, transfer, and disposal of personal data. Investigate, assess, and document privacy incidents and data breaches; assist with regulatory reporting as needed. Support training and awareness initiatives to promote a culture of privacy across the organization. Partner with IT, InfoSec, HR, Marketing, Product, and other teams to implement privacy by design and data minimization principles. Conduct internal audits and assessments of data privacy controls. Assist with responding to data subject access requests and customer or regulator inquiries. Develop and implement action plans to remediate privacy issues, secure stakeholder alignment, and manage issues through resolution. Qualifications To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Skills Strong working knowledge of privacy laws (e.g., CCPA/CPRA, GLBA, HIPAA, etc.) Strong contract review skills specific to data protection clauses. Excellent legal research, writing, and communication skills. Ability to communicate complex legal and compliance issues to non-legal stakeholders. Experience with data mapping, data governance, and privacy tools (e.g., OneTrust, TrustArc) is a plus. Education and/or Experience BS/BA Degree (4 year) from an accredited university /college or two to four years' experience in equivalent compliance position, preferred. Certifications (preferred but not required) Certified Information Privacy Professional (CIPP/US, CIPP/E) Certified Information Privacy Manager (CIPM) Other relevant certifications (e.g., CIPT, CISSP, CISA) Computer Skills MS Word, Excel, PowerPoint, and Outlook Other Qualifications (including physical requirements) Must have good time management, communication, and organizational skills. Equal Employment Opportunity Information: Simmons First National Corporation and its subsidiaries are committed to a policy of equal employment with respect to a person's race, color, religion, sex, ancestry, sexual orientation, gender identity, national origin, covered veterans, military status, physical or mental disability or any other legally protected classifications.
Posted 1 week ago
Herzing UniversityMilwaukee, WI
$100,000 - $120,000 / year
If you are a current employee, faculty or adjunct instructor at Herzing University (not a Contractor or temporary employee through a staffing agency), please log in to UKG and then navigate to Menu > Myself > My Company > View Opportunities to apply using the internal application process. The Director of Academic Compliance reports to the Associate Vice President of Academic Compliance and leads the University's day-to-day efforts to ensure adherence to state higher education agency, state authorization, regulatory boards (e.g. boards of nursing), and institutional and programmatic accreditation standards. This role coordinates accreditation, regulatory, supporting processes, leads research that informs strategic decision-making, and ensures operational readiness for program launch and implementation in partnership with the university marketing department. The Director of Academic Compliance collaborates with other functional leaders (e.g. VP of New Markets, AVP of Curriculum & Assessment, and Regional Vice Presidents) to execute the strategic priorities of the university. This position serves as a supervisor for the academic compliance department and provides direct leadership and support to assigned personnel. REQUIREMENTS: Master's degree in education or related field. Minimum of five-years of experience in Academic Compliance and/or Regulatory Affairs. Minimum of five-years of experience in a higher education environment. Prior experience in Academic Leadership. Preferred: Experience with new program accreditation or approval processes Experience with State boards of nursing and NC-SARA Experience with programmatic accreditors such as CCNE, ACEN, CAPTE, CODA, JCERT, and CSWE. COMPENSATION is determined based on the qualifications, experience, and circumstances of each hire. It is uncommon for new employees to start near the top of the salary range. We offer a comprehensive benefits package, including a tuition waiver and reimbursement program, health insurance, paid time off, and a retirement savings plan. The salary range for this position is $100,000 to $120,000. Click Here or use the following link to learn more about careers at Herzing University: https://tinyurl.com/HerzingU PRIMARY DUTIES AND RESPONSIBILITIES: Accreditation and Program Approvals Lead and coordinate the preparation, review, and submission of accreditation and regulatory documentation for new programs, program revisions, and new campus or market expansions. Ensure compliance with state higher education agency requirements, state authorization rules, board of nursing standards, and institutional and programmatic accreditation criteria. Maintain tracking systems for accreditation and regulatory submissions, approvals, and deadlines. Collaborate with academic leadership, curriculum development teams, and program leaders to ensure documentation is complete, accurate, and submitted in a timely manner. Regulatory Research and Compliance Support Conduct research to interpret and clarify regulatory and accreditation requirements and timelines across multiple states and program types. Provide guidance and recommendations to support strategic decision-making and compliance readiness for new initiatives. Maintain institutional knowledge of relevant laws, rules, and accreditation standards, updating resources and documentation for team and leadership use. Operational Coordination for Program Launches Oversee day-to-day operational activities associated with new program or market implementation, including the facilitation of program launch and operational meetings, ensuring alignment with regulatory requirements and internal processes. Attend and contribute to the Weekly Program Launch meetings to provide regulatory requirements, timelines, and updates. Work closely with the stakeholders to coordinate tasks, timelines, and deliverables for program launches. Support internal communication with academic and administrative teams regarding approvals, deadlines, and launch readiness. Strategic and Leadership Support Provide input and recommendations to university leadership regarding the regulatory feasibility and timing of new programs and market expansions. Contribute to the development of policies, procedures, and resources that facilitate operational compliance and readiness. Assist in the preparation of reports for the Executive Team and Board of Trustees related to new programs, approvals, and compliance activities. Promotes regulatory visit/presentation/meeting readiness with location and institution constituents Supports mock visit strategy in timely manner to ensure visit readiness. Supports the preparation of leaders for regulatory presentation/visits/meetings to positively reflect the University. Implements standard visit expectations for all locations to ensure consistent experience for all regulatory visitors. Provides support to site visitors in reservations, travel accommodations, and food provisions in accordance with regulatory standards. Team Leadership and Collaboration Supervise and provide guidance to assigned personnel including task delegation, coaching, and professional development. Promote consistent application of compliance practices across projects and teams. Collaborate with cross-functional teams including curriculum, clinical, marketing, and institutional effectiveness to support new program and market initiatives. Herzing University is committed to providing a diverse environment and is dedicated to fostering a culture and atmosphere of mutual respect. It provides an inclusive and collegial community where individuals are valued, heard and empowered to contribute to the effectiveness of the institution. PHYSICAL REQUIREMENTS: Must be able to remain in a stationary position half of the time. Ability to move about readily and rapidly, if necessary, around campus, classrooms, clinical settings, etc., to access classrooms, desks, students, office machinery, clinics, patients, etc. Constantly communicates using the spoken word with students, staff and colleagues. Visually or otherwise identify, observe, and assess. Operate equipment specific to programmatic track, personal computer, audio-visual equipment, clinical equipment, etc. Occasionally move, carry, or lift 10 pounds Up to 30% travel required. Applicants must be authorized to work for any employer in the U.S. We do not sponsor or take over sponsorship of an employment Visa at this time. It is the university's practice to recruit and hire without discrimination because of skin color, gender, religion, LGBTQi2+ status, disability status, age, national origin, veteran status, or any other status protected by law. https://www.herzing.edu/about/diversity Herzing University prohibits sex-based discrimination in any education program or activity that it operates. Individuals may report concerns or questions to the Title IX Coordinator. The notice of nondiscrimination is located at https://www.herzing.edu/title-ix .
Posted 30+ days ago
SageSure Insurance ManagersCheshire, CT
Overview: If you're looking for the stability of a profitable, growing company with the entrepreneurial spirit of a startup, we're hiring. SageSure, a leader in catastrophe-exposed property insurance, is seeking a Compliance Manager. We are looking for a highly motivated and skilled Compliance Manager to join our team. This position will focus on strengthening the core compliance functions in personal lines insurance and play a critical role in supporting the Personal Lines (PL) and Commercial Lines product strategy. The ideal candidate will be a credible and trusted resource for partners in personal lines product, underwriting, operations, and claims, offering regulatory guidance and ensuring compliance with state requirements. This role will partner with other Compliance Managers and Analysts to bring consistency in the execution of and reporting for core compliance functions. What you'll be doing: In this role, your responsibilities will be: Regulatory Compliance & Strategy Support: Provide guidance on state-specific regulatory requirements to support personal lines product strategy and development. Third-Party Audits: Administer and manage third-party audits, ensuring compliance with regulatory and internal requirements. Pro-Active Regulatory Audits: Conduct proactive regulatory audits to assess internal processes, identify potential gaps and recommend corrective actions. Legislative Changes: Stay up to date with personal lines legislative changes, ensuring all regulatory modifications are appropriately incorporated into internal processes, products and systems. Defect Corrections & Remediation: Prioritize and oversee defect corrections, ensuring timely resolution of compliance issues and effective implementation of remediation action plans. Collaboration & Communication: Act as a trusted resource across various teams, providing clear and actionable compliance guidance. Communicate findings and results effectively through both quantitative and qualitative methods. Reporting & Documentation: Document and communicate compliance statuses, findings, and risks, preparing reports for leadership and stakeholders. Compliance Partner: Ensure compliance best practices are incorporated into key procedures ensuring consistency in execution and reporting functions with commercial underwriting/product and claims compliance. We're looking for someone who has: Experience: 4-7 years of relevant experience in Property and Casualty insurance industry, with a solid understanding of industry regulations and compliance processes. Demonstrated experience across both Personal Lines (PL) and Small Commercial insurance products and processes. Communication Skills: Strong written and verbal communication skills with the ability to present complex information clearly and concisely to stakeholders at all levels. Project Management: Proven project and audit management experience, with the ability to lead multiple projects, prioritize tasks, and meet deadlines. Analytical & Problem-Solving Skills: Strong critical thinking skills with the ability to analyze complex data and propose effective solutions to compliance challenges. Attention to Detail: Elevated level of accuracy and attention to detail, ensuring compliance documentation and audits are thorough and complete. Technology Proficiency: Experience with Wolters Kluwer, APCIA, Smartsheet, and other industry tools is preferred. Self-Starter & Organizational Skills: Highly organized with a proactive approach, capable of working independently and handling multiple priorities in a fast-paced environment. Highly preferred candidates also have: Keen sense of ownership and responsibility for work and outcomes. Curiosity and a passion for continuous learning and development. Integrity, ambition to lead, and a desire for personal and professional growth. A collaborative team player with a commitment to helping others and ensuring the team's success. Ability to navigate complex issues and provide innovative, practical solutions to problems. About SageSure: Named among the Best Places to Work in Insurance by Business Insurance for four years in a row (2020-2023), SageSure is one of the largest managing general underwriters (MGU) focused on catastrophe-exposed markets in the US. Since its founding in 2009, SageSure has experienced exceptional growth while generating underwriting profits for carrier partners through hurricanes, wildfires, and hail. Available in 16 states, SageSure offers more than 50 competitively priced home, flood, earthquake, and commercial products on behalf of its highly rated carrier partners. Today, SageSure manages more than $1.9 billion of inforce premium and helps protect 640,000 policyholders. SageSure has more than 1000 employees working remotely or in-office across nine offices: Cheshire, Connecticut; Chicago, Illinois; Cincinnati, Ohio; Houston, Texas; Jersey City, New Jersey; Mountain View, California; Marlton, New Jersey; Tallahassee, Florida; and Seattle, Washington. SageSure offers generous health benefits and perks, including tuition reimbursement, wellness allowance, paid volunteer time off, a matching 401K plan, and more. SageSure is a proud Equal Opportunity Employer committed to building a workforce that reflects the spectrum of perspectives, experiences, and abilities of the world we live in. We recognize that our differences make us strong, and we actively seek out diverse candidates through partnerships with organizations, institutions and communities that represent various backgrounds. We champion belonging and inclusion for all identities, including, but not limited to, race, ethnicity, religion, sexual orientation, age, veteran status, ability status, gender, and country of origin, striving to create a culture where all individuals feel valued, respected, and empowered to bring their authentic selves to work. Our nimble, highly responsive culture nurtures critical thinkers who run toward problems and engineer solutions. We relentlessly pursue better outcomes by investing in the technology, talent, and tools that position us to succeed in demanding markets. Come join our team! Visit sagesure.com/careers to find a position for you.
Posted 30+ days ago
Bonadio & Company LLPSyracuse, NY
$65,000 - $80,000 / year
The Bonadio Group is a seeking a Senior Consultant to play a key role in our Compliance Solutions team. In this position, you will have a significant role in client engagement and successful completion of projects while ensuring delivery is consistent with reasonable client expectations and the expectations of Compliance Solutions' management. This role requires the ability to build a network base, contribute to the growth of the Compliance Solutions line of business while contributing to the overall growth of Compliance Solutions and the Firm. Responsibilities Assisting in carrying out the vision for the Compliance Solutions' immediate and long-term success and inspiring others toward that vision. Assist in the consistent business growth in the regions Compliance Solutions, and the Firm as a whole, serve. Consistent with Compliance Solutions' client engagements, participate in presenting subject matter education and analysis to clients' staff, upper-level management and board of directors. Participate in marketing presentations for Compliance Solutions' services which may include presentations to the public, clients, and potential clients. Participate in marketing presentations for various other teams within The Bonadio Group, where participation adds value. Assist with the promotion and growth of the network of The Bonadio Group and its affiliates. Develop understanding of client's business and aspects of client's industry relevant to the client's engagement with Compliance Solutions. Develop effective working relationships with Compliance Solutions' clients. Deliver projects/engagements on time, within budget and to clients' reasonable satisfaction. Adhere to the highest degree of professional standards and client confidentiality. Maintain knowledge of Office of Inspector General (OIG), and Office of Medicaid Inspector General (OMIG) and other relevant State and Federal requirements. Participate in a cooperative effort among members of a project team which includes developing effective working relationships with Compliance Solutions' staff and other Bonadio staff, as needed and required. Comply with management and quality control procedures and systems. Maintain and promote ethical values in conducting internal and external business activities. Ability to assist in the generation of revenue for Compliance Solutions. Qualifications Required: A minimum of a bachelors degree A minimum of five years in developing, maintaining and assessing Compliance Programs Current CHC or CCEP designation or a healthcare compliance certification credential, or ability to obtain within one year. Current CHPC or other Health Care Privacy Compliance certification, or ability to obtain within one year. Demonstrated expertise in State and Federal Compliance Program, Laws, Rules, Regulations and guidance. Demonstrated expertise in Health and Human Services and Behavioral Health Services such as OMH, OASAS, OPWDD, OCFS, etc. Ability to respond to relevant subject matter inquiries from clients, regulatory agencies, provider oversight agencies, provider associations, and members of the business community. Demonstrated experience preparing complex correspondence including guidance, recommendations and proposals. Demonstrated experience analyzing and interpreting relevant journals, and relevant laws rules and regulations, including, but not limited to, Code of Federal Regulations and New York Codes, Rules and Regulations. Demonstrated experience in training and presentation skills. Reliable transportation with the ability to travel to client sites and other office locations. Ability to create and properly monitor engagement budgets The salary range for this position is $65,000 to $80,000 and is commensurate with experience. Hours of Operation: Our office hours are from 8:00 a.m. until 5:00 p.m. Monday through Friday Our summer hours are from 8:00 a.m. until 5:00 p.m. Monday through Thursday, and from 8:00 a.m. until 12:00 p.m. on Friday We pride ourselves on our flexibility; however, the ability to work additional hours will be needed at peak times At The Bonadio Group, we believe that an inclusive work environment allows all of our people to achieve their greatest potential and the greatest results for our clients and communities. Bonadio is committed to the principle of equal treatment and opportunity for all people. The Firm is committed to fostering and managing diversity in the workplace as an integral part of its practice and service to clients. The Firm values the rich variety of perspectives and experiences offered by those of different backgrounds. This diversity strengthens our institution and enables it to better respond to our clients' needs in an increasingly global profession. In the fast-changing accounting industry, The Bonadio Group is always on the cutting edge of growth and innovation. With our great mentoring and training programs, you'll be exposed to diversity of work, the ability to tackle more interesting issues, and have a path to Partnership. You'll be working with great people and great clients where you can truly make a difference. Apply online, get on board, and grow with us. You'll be glad you did! The Bonadio Group is unable to accept unsolicited resumes from third-party recruiters who do not have a written contractual agreement for a specific position along with approval to submit from the Talent Management team. All communications from The Bonadio Group regarding recruitment and hiring will come from an @bonadio.com email address and our process includes a discussion with our Talent Management team. If you have any questions or concerns, please contact us immediately at (800) 487-7624 or careers@bonadio.com. EOE/AA Disability/Veteran
Posted 30+ days ago
JLLChicago, IL
$140,000 - $155,000 / year
JLL empowers you to shape a brighter way. Our people at JLL and JLL Technologies are shaping the future of real estate for a better world by combining world class services, advisory and technology for our clients. We are committed to hiring the best, most talented people and empowering them to thrive, grow meaningful careers and to find a place where they belong. Whether you've got deep experience in commercial real estate, skilled trades or technology, or you're looking to apply your relevant experience to a new industry, join our team as we help shape a brighter way forward. Job Summary The Director, Healthcare Facility Compliance will serve as a JLL Healthcare consulting expert, delivering specialized compliance and accreditation support services to hospital and healthcare clients nationwide. This high-travel role focuses on providing remote and on-site consulting expertise to support healthcare organizations through their accreditation processes in the areas of life safety and physical environment compliance. The position encompasses comprehensive knowledge of CMS, Joint Commission, DNV, ACHC / HFAP NFPA, etc… standards and codes. State Department of Health regulations, and other regulatory authorities to ensure clients maintain optimal compliance readiness and operational excellence. Essential Duties/Functions Healthcare Compliance Consulting (Primary Focus) Lead comprehensive compliance consulting engagements for hospital clients, conducting on-site assessments of physical environments, life safety systems, and regulatory readiness in preparation for accreditation surveys. Provide expert consulting services to healthcare organizations navigating Joint Commission, CMS, DNV, HFAP, and state regulatory requirements, delivering customized solutions and remediation strategies. Execute detailed facility assessments focusing on Environment of Care standards, Life Safety Code compliance, and physical plant readiness to support successful accreditation outcomes (Physical Environment Standards eff Jan 1, 2026). Develop and present comprehensive compliance reports and improvement recommendations to hospital leadership teams and boards, positioning JLL Healthcare as the trusted advisor for regulatory matters. Serve as primary consultant interface with client quality, risk management, and facility leadership teams during accreditation preparation and survey periods. Client Relationship Management & Business Development Build and maintain strategic relationships with hospital executives, facility directors, and quality leadership to expand JLL Healthcare's consulting portfolio and identify new business opportunities. Collaborate with JLL's ATG team to deliver integrated consulting solutions that combine compliance expertise with broader strategic technical & advisory services. Support business development activities by participating in client presentations, proposal development, and demonstrating subject matter expertise to prospective healthcare clients. Responsibilities Subject Matter Expert (SME) with comprehensive understanding of CMS Conditions of Participation, The Joint Commission Environment of Care Standards and Life Safety Chapter, DNV, HFAP, and other accrediting agencies, serving as primary consultant resource for healthcare clients. Subject Matter Expert (SME) in NFPA codes, FGI Guidelines for Design and Construction, ASHRAE standards, and all related regulatory requirements, providing authoritative guidance to hospital clients during consulting engagements. Develops and delivers customized compliance assessment protocols and methodologies for healthcare client consulting projects, ensuring consistent service delivery across all engagements. Conducts comprehensive on-site compliance audits and assessments for hospital clients, identifying gaps and developing prioritized remediation plans to achieve regulatory readiness. Utilizes consulting engagement data to provide clients with ongoing readiness perspectives and performance benchmarking, delivering measurable value through continuous improvement recommendations. Serves as primary liaison between JLL Healthcare consulting services and client regulatory, quality, and risk management teams throughout engagement lifecycle. Provides specialized training and education services to hospital staff on regulatory requirements, compliance best practices, and preparedness strategies as part of consulting deliverables. Maintains current expertise in applicable healthcare standards and emerging regulatory trends to ensure consulting services reflect industry best practices and latest requirements. Develops and maintains consulting tools, templates, and methodologies to support efficient and effective service delivery across healthcare client portfolio. Collaborates with JLL platform leadership to leverage consulting insights for broader account management and service enhancement opportunities. Qualifications BS degree preferred in an Engineering Discipline. Five years of healthcare experience in Plant Operations and/or Facilities Management. Five years of experience in personnel and team management. Experience in Healthcare systems with multiple healthcare locations in several states (Preferred) Working Knowledge of CMS and accrediting organizations such as the Joint Commission and the NFPA body of codes (i.e. NFPA 101, 99, 90A, 72, and 25). Proficient in Microsoft Office Suite of products, strong writing skills. Strong analytical, organizational, and coordination skills required. Demonstrated communication skills (oral and written) required. Customer service orientation and strong presentation skills to internal and external parties required. Quality Management Training/Certification (i.e. Six Sigma Green Belt/Black Belt). CHFM and/or CHSP preferred. Estimated compensation for this position: 140,000.00 - 155,000.00 USD per year This range is an estimate and actual compensation may differ. Final compensation packages are determined by various considerations including but not limited to candidate qualifications, location, market conditions, and internal considerations. Location: Remote -Atlanta, GA, Baltimore, MD, Boston, MA, Chicago, IL, Dallas, TX, Kansas City, KS, Washington, DC If this job description resonates with you, we encourage you to apply, even if you don't meet all the requirements. We're interested in getting to know you and what you bring to the table! Personalized benefits that support personal well-being and growth: JLL recognizes the impact that the workplace can have on your wellness, so we offer a supportive culture and comprehensive benefits package that prioritizes mental, physical and emotional health. Some of these benefits may include: 401(k) plan with matching company contributions Comprehensive Medical, Dental & Vision Care Paid parental leave at 100% of salary Paid Time Off and Company Holidays Early access to earned wages through Daily Pay JLL Privacy Notice Jones Lang LaSalle (JLL), together with its subsidiaries and affiliates, is a leading global provider of real estate and investment management services. We take our responsibility to protect the personal information provided to us seriously. Generally the personal information we collect from you are for the purposes of processing in connection with JLL's recruitment process. We endeavour to keep your personal information secure with appropriate level of security and keep for as long as we need it for legitimate business or legal reasons. We will then delete it safely and securely. For more information about how JLL processes your personal data, please view our Candidate Privacy Statement. For additional details please see our career site pages for each country. For candidates in the United States, please see a full copy of our Equal Employment Opportunity policy here. Jones Lang LaSalle ("JLL") is an Equal Opportunity Employer and is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process - including the online application and/or overall selection process - you may email us at HRSCLeaves@jll.com. This email is only to request an accommodation. Please direct any other general recruiting inquiries to our Contact Us page > I want to work for JLL. Pursuant to the Arizona Civil Rights Act, criminal convictions are not an absolute bar to employment. Pursuant to Illinois Law, applicants are not obligated to disclose sealed or expunged records of conviction or arrest. Pursuant to Columbia, SC ordinance, this position is subject to a background check for any convictions directly related to its duties and responsibilities. Only job-related convictions will be considered and will not automatically disqualify the candidate. California Residents only If you are a California resident as defined in the California Consumer Privacy Act (CCPA) please view our Supplemental Privacy Statement which describes your rights and disclosures about your personal information. If you are viewing this on a mobile device you may want to view the CCPA version on a larger device. Pursuant to the Los Angeles Fair Chance Initiative for Hiring Ordinance, JLL will consider for employment all qualified Applicants, including those with Criminal Histories, in a manner consistent with the requirements of applicable state and local laws, including the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. Accepting applications on an ongoing basis until candidate identified.
Posted 1 week ago
Fox RothschildPrinceton, NJ
$90,000 - $132,000 / year
As a member of the Information Services department, the Lead Analyst, Digital Data Governance & Compliance will drive and support our firm-wide electronic governance initiatives. This key role will focus on ensuring integrity, security, accessibility, and compliance of data assets across the organization. The Lead Analyst will serve as a subject matter expert in data mapping, eDiscovery, Litigation Hold, internal data collections, and regulatory compliance - acting as both a strategic and tactical partner to business units, legal, compliance, and IT teams. ESSENTIAL FUNCTIONS: Data Governance Work closely with the Senior Manager, Digital Data Governance & Compliance to lead the strategy, implementation and management of comprehensive electronic data governance frameworks, standards, and policies. Develop and execute data lifecycle management processes for unstructured and structured digital content. Litigation Hold & Internal Data Collections Develop and execute Litigation Hold process, ensuring data relevant to ongoing or anticipated litigation is properly identified, preserved, and tracked throughout Litigation Hold lifecycle. Lead internal data collections in response to audits, investigations or internal reviews, ensuring completeness, chain of custody, and evidentiary standards are met. Data Mapping & Discovery Lead process for maintaining enterprise data map, ensuring all data assets, flows, and repositories are documented, regularly reviewed, and updated for accuracy. Partner with IT, legal, privacy, and business units to identify, classify, and document digital data assets across systems and platforms. Cross-functional Collaboration Collaborate with cross-functional teams (Legal, Compliance, Information Security, IT, Business Units) to identify risks, close control gaps, and support continuous improvement of data governance practices. Prepare and deliver training, guidance, and communications to staff regarding electronic data governance, best practices, and compliance obligations. Work with the Office of the General Counsel to support internal and external audits and investigations. Technology Strategy & Tools Evaluate and implement digital tools for litigation hold, data mapping, governance, and eDiscovery processes. Recommend solutions that improve efficiency, defensibility, and transparency of digital data operations. ADDITIONAL FUNCTIONS: Available to provide support after normal business hours, if required. Additional duties as assigned. QUALIFICATIONS (EXPERIENCE, KNOWLEDGE, SKILLS, AND ABILITIES): Education: Bachelor's degree in Information Management, Computer Science, Business Administration, or a related field. A combination of education and experience will be considered in lieu of a degree. Experience: 7+ years of experience in digital data governance, compliance, data mapping, litigation hold or eDiscovery roles. Knowledge, Skills, & Abilities: Demonstrated experience with data governance programs, particularly in regulated and/or law firm environments. Working knowledge of SQL, PowerShell, and Power BI technologies. Strong understanding of litigation hold and internal investigation protocols. Familiarity with data governance and data management platforms such as Microsoft Purview, Relativity, or similar platforms. Strategic thinker with strong analytical and critical thinking skills. Excellent written and verbal communication skills. High integrity and sound judgment with sensitive information. WORK ENVIRONMENT & PHYSICAL DEMANDS: This job operates in a clerical, office setting. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. PHYSICAL REQUIREMENTS Sedentary work: Exertion of physical strength to lift, carry, push, pull, or otherwise move objects up to 10 pounds. Work involves sitting most of the time. Walking and standing is often necessary in carrying out job duties. VISUAL ACUITY Worker is required to have close visual acuity to perform an activity such as: preparing and analyzing data and figures; transcribing; viewing a computer terminal; extensive reading. COMPENSATION & BENEFITS The salary ranges for this position apply to the respective listed locations. The salary range reflects a variety of factors that are considered in making compensation decisions, including but not limited to experience, education, licensure and/or certifications, geographic location, market demands and other business and organizational needs. It is not typical for an individual to be hired at or near the top of the range for a position. Reasonable estimates of the current ranges for this position are: Las Vegas & Minneapolis: $90,000 to $110,000 Chicago & Atlantic City: $105,000 to $120,000 Denver, Los Angeles, Morristown, Princeton, Washington, DC & Seattle: $115,000 to $126,000 New York & San Francisco: $126,000 to $132,000 For information on Fox Rothschild's compensation and benefits visit: Compensation & Benefits (foxrothschild.com) DISCLAIMER Fox Rothschild LLP is under no obligation to provide sponsorship for this position. Applicants must be currently authorized to work in the United States on a full-time basis now and in the future. The above is intended to describe the general content of and requirements for the performance of this job. It is not a contract or employment agreement and is not to be construed as an exhaustive statement of all functions, responsibilities, or requirements the employee may be required to perform, and the employee may be required to perform additional duties. Additionally, management reserves the right to review and revise the job description at any time. Employment with the firm is at-will. Employees must be able to satisfactorily perform all of the essential functions of the position with or without a reasonable accommodation. If an accommodation request would cause an undue hardship or a safety concern, the individual may not be eligible for the position.
Posted 30+ days ago
Johnson & JohnsonBogota, NJ
At Johnson & Johnson, we believe health is everything. Our strength in healthcare innovation empowers us to build a world where complex diseases are prevented, treated, and cured, where treatments are smarter and less invasive, and solutions are personal. Through our expertise in Innovative Medicine and MedTech, we are uniquely positioned to innovate across the full spectrum of healthcare solutions today to deliver the breakthroughs of tomorrow, and profoundly impact health for humanity. Learn more at https://www.jnj.com Job Function: Finance Job Sub Function: Risk Management Job Category: Professional All Job Posting Locations: Bogotá, Distrito Capital, Colombia Job Description: GS COMPLIANCE SENIOR ANALYST Global Services Johnson & Johnson Global Services, the global shared services organization supporting the businesses of Johnson & Johnson, performs select functional work in a consistent manner across regions and sectors using simplified, standardized end-to-end processes and state-of-the-art technology. The vision of Johnson & Johnson Global Services is "to be trusted business partners who deliver increasing value by creating and sustaining globally standard world-class services that enable the power of Johnson & Johnson." There are more than 2,000 employees in Human Resources, Finance and Procurement who work for Johnson & Johnson Global Services in key service centers located in Manila, Suzhou, Prague, Bogota and Tampa, as well as in local country-based hubs. The Global Services vision is to deliver world class financial services and contribute to the leadership, growth, value, and reputation of Johnson & Johnson. GS provides compliant, efficient and standardized services with an emphasis on optimizing processes through a continuous improvement framework. We are committed to superior professional development of our people and we value a diverse, collaborative, high-performing, results oriented culture. GFS (Global Financial Service) The GFS organization provides a variety of transactional and accounting services to J&J Operating Companies around the world, operating out of major centers. Their goal is to do this in a highly cost-effective and compliant way, leveraging our resources in a cross-sector environment. Position Description: General Summary: Compliance Senior Analyst will support the regional execution of activities, and will support the Risk Management for effective execution to minimizing financial and operational risks associated with the internal control environment, along with the design and implementation of internal controls by providing recommendations for continuous process and control improvements for the Regional A2R processes globally. This includes: Supports Risk Management for Advise and consult business process owners on control requirement expectations and related execution across the various workstreams (e.g., Account to Report, etc.) to create and maintain a strong internal control environment across all Management Reporting Companies ("MRC's") and Global Services. This includes Support new system implementations and system enhancements. Supports Risk Management for developing and providing ongoing robust compliance training/updates to all levels of Finance and Operations personnel. Share best practices and recommending new and more efficient ways of meeting our SOX compliance requirements. Oversight of corrective action plans and driving to closure with finance management. Interface with various levels of management to drive the standardization of key controls/ processes/ documentation and keeping management informed of compliance-related risks and opportunities. Participate and supports the deliver on global compliance projects and/or initiatives (e.g. Global Desktop Procedures, local Standard Operating Procedures, Control Optimization, etc.) Partner with the extended Global Compliance Team in driving consistency and standardization of controls and processes as it relates to J&J's end state model. Supports execution of due diligence reviews to ensure successful transition of key control activities to Global Services centers in accordance with the three-tier end state model. Supports managing audit support successfully through strong partnerships with business unit finance, internal audit team, and external auditors to ensure control standards are upheld. This includes coordination of internal and/or external audits and advising remediation efforts for exceptions identified. Perform other ad hoc responsibilities as required. This role will be reporting to the regional manager in Bogota on the compliance activities within the function and region. Qualifications: 1) Education level required: Bachelor's degree in Accounting, Finance or Economics. 2) Years of Experience: 3-4 years of progressive experience in auditing in one or more of the following fields: (a) financial/operational, (b) external, (c) information systems, and (d) compliance. 3) Required knowledge: Additional experience working with USGAAP, IFRS and Sarbanes-Oxley, Section 404. 4) Required skills: Ability to think strategically and connect. Good planning and changing environments adaptability skills. Good interpersonal, as well as both oral and written communication skills. Independence to work without constant supervision. Strong prioritization skills 5) Language: Fluent English 6) Certifications: no. 7) [Travel percentage - specify national or international] 10% international. 8) Location of the role: Bogota - Colombia. Required Skills: Preferred Skills: Accounting, Agility Jumps, Analytical Reasoning, Budget Management, Business Behavior, Compliance Frameworks, Data Reporting, Detail-Oriented, Financial Analysis, Financial Risk Management (FRM), Internal Controls, Numerically Savvy, Problem Solving, Process Oriented, Regulatory Environment, Risk Assessments, Risk Measurement
Posted 1 week ago
Rise Services, Inc.Mesa, AZ
ABOUT THE COMPANY Acumen, LLC. is one of the nation's leading fiscal agents offering a portfolio of innovative financial management services backed by superior customer service. Our passion is to help people lead independent lives through exceptional participant-directed programs. Acumen is a great place to work. Our employees make a positive difference in our clients lives by what they do. Among many benefits to working here, we offer medical, dental and vision coverage, generous paid time off, and incentive bonuses to those who qualify. OVERVIEW AND ESSENTIAL JOB FUNCTIONS The Quality and Compliance (QC) Specialist must maintain a detailed understanding of all current AFA contracts, as well as a basic understanding of all functions within Operations in order to assist with high priority issues and projects that require a quick turnaround. They must have the ability to gather information and research contract compliance issues in order to support Quality and Compliance, Program Managers, and Operations teams. The QC Specialist will assist the Quality and Compliance Department with responding to internal and external requests for information, audits, subpoenas, complaints, and surveys. This person must have excellent project management skills, and be able to foster a cohesive company-wide-team approach to quality improvement. Maintain detailed understanding of all current AFA contracts and provider manuals, acting as a contract/manual subject matter expert Act as a liaison between the Program Managers/ Executive Directors and Operations teams, communicating and helping to resolve any issues concerning contract /legislative changes, contract deliverables, quality concerns, and other various issues that may directly impact the customer or Acumen, Inc. Serve as contract administrator, focusing on successful completion/implementation of all contract deliverables, including: state audits; emergency management, internal trainings on state and program requirements/business rules, internal reporting of survey results and implementation of any corrective action plans, and coordination with appropriate state/program on Requests for Information and other communications. Document management, including forms, program communication, manual updates, and fact sheet updates. Identify and develop action plans and/or efficiencies in response to trends and risks across states and programs Independently manage and prioritize multiple projects at once and makes decisions about their relative priority at any given time Facilitate cross-department participation to compile accurate documentation needed for timely responses to Audits, Subpoenas and RFI, while maintaining detailed records as they relate to the request in compliance with HIPAA and contract requirements Package audit results, identify trends and provide feedback for internal quality improvement projects Oversee the complaint process for tracking and trending purposes and conduct reviews of quality issues and client concerns for trends Assist departments with the development of corrective and preventatives actions necessary to resolve further issues Research, develop, and maintain systems to ensure the organization complies with all policy, process, contract, and regulatory requirements Lead quality improvement and compliance endeavors with a disciplined and structured problem solving approach that aligns to business priorities Develop project plans and schedules Develop internal and external audits and surveys, then analyze and report results to measure organizational success and establish future goals to improve customer satisfaction Provide staff training and tracking in support of meeting contractual training requirements as needed/requested Occasionally work late or on weekends as needed to ensure deadlines and/or high volume demands are met Perform other work-related duties as assigned ALL Acumen employees will be vigilant to support the positive compliant cybersecurity company posture by familiarizing themselves with all policies, procedures, standards, and guidelines and act accordingly Qualifications MINIMUM QUALIFICATIONS Valid drivers license within state of residence. Valid automobile insurance. Ability to communicate both orally and in writing. Accuracy and the ability to handle responsibility with limited supervision. High standards of integrity and honesty. Demonstrate excellent organizational skills, attention to detail, time management, task oriented, good interpersonal skills, patience, perseverance, and follow through skills. Knowledge of basic computer skills to include Microsoft Word, Excel and internet e-mail experience. Must participate in training necessary to learn and become proficient in all Acumen specific programs (i.e. Laserfische/AFA DCI) PREFERRED QUALIFICATIONS Bachelors degree in Social Sciences or other related field, or equivalent years of experience in social services, financial management or human resources. Acumen is an Equal Employment Opportunity (EEO) employer. We embrace diversity in all its form. We provide equal employment opportunities to all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, protected veteran or disabled status, or genetic information. If you require reasonable accommodation for any part of the application process or hiring process, please submit your request through one of the following methods listed below: (a) Dedicated fax 866-268-8885 (b) Dedicated email hrdept@riseservicesinc.org DISABILITY ACCOMMODATION REQUESTS ONLY (c) US mail - 4554 E Inverness Ave Mesa, AZ 85206- Attn Human Resources (d) Dedicated phone 1-866-242-2714 Option 1 (Employment Opportunities) DISABILITY ACCOMMODATION REQUESTS ONLY
Posted 30+ days ago
Morgan StanleyDallas, TX
$108,000 - $184,500 / year
We're seeking someone to join our team as a Digital Asset Advisory Compliance Officer in U.S. Bank Compliance to shape the Morgan Stanley U.S. Banks digital assets business by navigating emerging regulations, collaborating across legal and risk teams, and driving the development of a compliance management system that supports innovation and regulatory integrity. In the Legal & Compliance Division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Vice President level position within the U.S. Bank Non-Financial Risk Oversight team, which is responsible for advising and guiding bank management through product design, development and implementation in a manner that ensures regulatory alignment, mitigates risk through efficient controls, and maintains compliance through the execution of effective risk management and oversight programs that can respond to an evolving regulatory environment. Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world. What you'll do in the role: Serve as a compliance and operational risk coverage officer for the U.S. Banks digital asset business and compliance subject matter expert on digital assets more generally. Closely follow regulatory rulemaking and advise business lines on the developing U.S. regulatory environment for digital assets (e.g., GENIUS Act, CLARITY Act, etc.). Work with Senior Digital Asset Compliance Officer as well as existing bank compliance and operational risk teams to develop and implement appropriate compliance and operational risk policies, procedures, monitoring, testing and training programs. Interact with the business lines within Morgan Stanley. Coordinate across divisions as well as the legal, compliance, and operational risk functional teams on digital asset initiatives and potential impacts. Assist with other traditional compliance activities relating to the digital assets business. What you'll bring to the role: Experience and strong interest in the developing U.S. digital assets industry. Experience with OCC permissibility and safety & soundness related to digital assets. Experience with OCC digital asset letter (IL 1170/1183/1184) interpretations. Experience with custody control design under 12 CFR Part 9 and OCC Custody Handbook. Experience with escalation/reporting practices compatible with OCC Heightened Standards. Experience with cybersecurity/key management aligned to NIST 800 57/800 53 and ISO 27001. Experience with tokenized deposits/stablecoin reserves under IL 1172 (reserve deposits) and IL 1174 (use of blockchain/distributed ledgers for payments). Experience with consumer compliance (e.g. UDAAP, Reg E, Reg P, E SIGN) for retail wallet/payment features. Experience serving as a compliance / risk officer or lawyer (or comparable role) at an OCC regulated bank, law firm, Virtual Asset Service Provider (VASP), or Crypto Asset Service Provider (CASP). Bachelors' Degree from an accredited U.S. college or university. Compliance and operational risk management assessment skills: experienced in the process of assessing the compliance and operational risks associated with a business environment (including non-financial risk assessments, incident reporting, capital requirements, etc.) At least 6 years' relevant experience would generally be expected to find the skills required for this role. WHAT YOU CAN EXPECT FROM MORGAN STANLEY: We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. Expected base pay rates for the role will be between $108,000 and $184,500 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs. Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).
Posted 1 week ago
Athene Holding LTDWest Des Moines, IA
We are driven to do more. More for our customers and the financial professionals who offer our products. If you are driven to do more and love the challenge of pursuing more, Athene is your kind of company. You will find we offer more than the basics to create an inclusive and dynamic work environment at our various locations. Purpose: The Regulatory Compliance team ensures Athene meets all applicable insurance laws and regulations while maintaining the highest standards of ethical conduct. As a Compliance Analyst II, you will help safeguard Athene's business by evaluating compliance controls, testing operational processes, and collaborating with business partners to identify and mitigate regulatory risk. In this role, particular focus is placed on annuity operations, including oversight of annuity replacements, death claims, and related transactions to ensure compliance with state replacement regulations, suitability requirements, and internal policy standards. You will partner closely with Operations, Legal, and Product teams to validate that procedures align with regulatory expectations, protect clients' best interests, and promote timely, accurate, and compliant processing. This position plays a vital role in strengthening Athene's reputation for integrity, transparency, and operational excellence across its annuity business. Accountabilities: Develop and execute monitoring and testing plans to evaluate the effectiveness of company policies and procedures, with focus on higher-risk areas. Review business processes and documentation to identify compliance gaps and clearly communicate findings and recommendations to management. Prepare concise, actionable reports summarizing results of compliance reviews and testing. Partner with business units, Legal, and other stakeholders to design and implement corrective actions and strengthen compliance controls. Recommend process enhancements to improve adherence to laws, regulations, and industry best practices. Conduct research on emerging regulatory issues and summarize findings to management. In collaboration with Legal, review insurance regulations and ensure company policies remain current and compliant. Maintain strong, professional relationships with regulators and internal stakeholders to support transparent communication and regulatory cooperation. Support key regulatory initiatives, including market conduct examinations, regulatory inquiries, and the Market Conduct Annual Statement (MCAS). Qualifications and Experience: Bachelor's degree or equivalent combination of education and experience. 4+ years of progressively responsible experience in insurance, compliance, or a related legal/regulatory function. Demonstrated understanding of compliance principles and regulatory frameworks within the insurance industry. Strong analytical, critical thinking, and communication skills, with the ability to manage multiple priorities independently. Familiarity with life insurance and annuity products and their related regulatory requirements. Proficiency in Microsoft Office and experience preparing detailed compliance reports. Drive. Discipline. Confidence. Focus. Commitment. Learn more about working at Athene. Athene is a Military Friendly Employer! Learn more about how we support our Veterans. Athene is committed to inclusion and is proud to be an Equal Opportunity Employer. We do not discriminate on the basis of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, veteran status or any other status protected by federal, state or local law.
Posted 30+ days ago
SofiCottonwood Heights, UT
$86,400 - $162,000 / year
Employee Applicant Privacy Notice Who we are: Shape a brighter financial future with us. Together with our members, we're changing the way people think about and interact with personal finance. We're a next-generation financial services company and national bank using innovative, mobile-first technology to help our millions of members reach their goals. The industry is going through an unprecedented transformation, and we're at the forefront. We're proud to come to work every day knowing that what we do has a direct impact on people's lives, with our core values guiding us every step of the way. Join us to invest in yourself, your career, and the financial world. The role: The AML Compliance Senior Specialist will be responsible for conducting independent reviews and analysis of possible suspicious activity to ensure compliance with the Bank Secrecy Act and the USA PATRIOT Act. The AML Compliance Senior Specialist will conduct thorough research and document their analysis and conclusions within the SoFi case management system to support their investigations and dispositions and will be responsible for filing SARs if the facts and circumstances support it. What you'll do: Conduct AML investigations to evaluate whether AML risks derived from alerts and cases generated from manual and automated transaction monitoring alerts/cases are risk-relevant and may warrant a SAR filing to be prepared. Ensure alert and case determinations are appropriate, fully supported, clearly documented Conduct Continuing Activity Reviews based on previously SARs filed and determine whether a subsequent filing is appropriate based on facts and circumstances Conduct investigations related to 314(a) matches, 314(b) requests and law enforcement inquiries as necessary Maintain a thorough comprehension of AML typologies related to retail banking and wealth management Conduct research utilizing available systems, databases, and the internet, consistent with the resolution of investigations What you'll need: Bachelor's Degree from a four-year college or university in a related field 3-5 years of experience in the finance industry focusing on AML transaction monitoring Demonstrated ability to communicate effectively with all levels of the organization and across different business lines Excellent working knowledge of BSA/AML laws and regulations relative to money laundering and terrorist financing and the ability to apply this knowledge in assessing transaction activity Experience with AML transaction monitoring systems Administering anti-money laundering policies and procedures. Excellent organizational, verbal, written and interpersonal skills are required Must be able to multitask, adapt well to changing priorities and effectively prioritize workflow to meet critical deadlines Ability to work in a fast-paced, demanding, and changing environment; must work well under pressure Excellent analytical skills required Nice to have: CAMS certification preferred (or willingness to become certified within one year of start date) Compensation and Benefits The base pay range for this role is listed below. Final base pay offer will be determined based on individual factors such as the candidate's experience, skills, and location. To view all of our comprehensive and competitive benefits, visit our Benefits at SoFi page! Pay range: $86,400.00 - $162,000.00 Payment frequency: Annual This role is also eligible for a bonus and competitive benefits. More information about our employee benefits can be found in the link above. SoFi provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law. The Company hires the best qualified candidate for the job, without regard to protected characteristics. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. New York applicants: Notice of Employee Rights SoFi is committed to an inclusive culture. As part of this commitment, SoFi offers reasonable accommodations to candidates with physical or mental disabilities. If you need accommodations to participate in the job application or interview process, please let your recruiter know or email accommodations@sofi.com. Due to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time. Internal Employees If you are a current employee, do not apply here - please navigate to our Internal Job Board in Greenhouse to apply to our open roles.
Posted 5 days ago
Triumvirate EnvironmentalNew Braunfels, TX
Environmental, Health, Safety & Transportation Compliance Specialist Triumvirate Environmental, one of North America's largest environmental services firms, is seeking an experienced EHS & Transportation Compliance Specialist to support operations in our South Central region, based in New Braunfels, TX. This position is vital to ensuring compliance with environmental, health, safety, and transportation regulations across both field and facility operations. The successful candidate will work closely with site and dispersed workforce to uphold regulatory compliance and promote a positive learning safety culture rooted in continuous improvement. This role requires frequent interaction with field teams and a proactive, detail-oriented professional with strong communication skills and a commitment to operational excellence. Triumvirate Environmental serves leading organizations in higher education, life sciences, healthcare, and advanced manufacturing, providing diverse services and expertise to meet their compliance needs. We take pride in a culture that fosters learning, growth, creativity, and a deep commitment to excellence. We strive to WOW both our employees and our customers. This position reports to the Regional EHST Manager and is based in New Braunfels, TX. Key Responsibilities: Develop, implement, and monitor EHS and transportation programs in coordination with Corporate Compliance to ensure safe, compliant operations across a geographically dispersed workforce. Revise policies and plans in response to regulatory changes and lessons learned. Drive proactive safety initiatives through regular inspections, assessments, and development of heat maps and targeted risk reduction plans. Coordinate and participate in facility, operational, and cross-functional EHS audits to evaluate compliance and identify areas for improvement. Facilitate branch and region safety meetings with leadership, office and field personnel. Oversee the behavioral observation program to ensure data is utilized effectively and employees remain engaged. Support the utilization and maintenance of compliance and safety data systems (e.g., Intelex, SharePoint, Lytx, Dossier), including oversight of incident reporting and injury tracking processes. Lead incident investigations and perform causal analysis, applying Human and Organizational Performance (HOP) principles to identify systemic causes and drive preventive actions. Track corrective and preventive actions (CAPA) resulting from incidents, observations, and internal audits to ensure timely completion and effectiveness. Assist in conducting industrial hygiene assessments, including exposure evaluations for consolidations and emergency responses. Manage regulatory permit renewals, inspections, and reporting requirements, coordinating with Corporate Compliance and Operations to ensure transportation permits and vehicle permit books are current and properly maintained. Coordinate emergency preparedness planning and lead response training and drills, including but not limited to fire, chemical spill, and natural disaster scenarios. Coordinate and conduct internal training on RCRA, CAA, CWA, DOT, OSHA, and FMCSA requirements, collaborating with the Training Department to ensure accurate documentation. Support medical surveillance programs and assist with the enforcement of the drug and alcohol policy. Basic Requirements: Bachelor's degree in environmental health and safety or related field or 5-7 years of relevant experience in lieu of degree. Working knowledge of environmental regulations, OSHA standards and transportation safety regulations. Experience developing and conducting training. Excellent communication, collaboration and influencing abilities. Strong analytical and problem-solving skills Skilled at working independently as well as part of a team. Ability to work in diverse environments, including office settings and field locations. Capable of interacting effectively with state and federal regulatory inspectors. Advanced knowledge in Microsoft Excel and PowerPoint Must be eligible to work in the United States without future sponsorship. Must have a reliable form of transportation. Preferred Requirements: CSP, ASP, or other similar certificate. Experience working with the Texas Commission on Environmental Quality and the Texas Railroad Commission Knowledge of Intelex or other health and safety management systems. Experience with EH&S Management Systems (ISO 14001 & 45001) Prior relevant industry experience. Active HAZWOPER 24 or 40 hour certification. Besides Health, Dental and Vision Insurance, we contribute to a 401k, offer a generous tuition reimbursement program, TONS of safety training for some positions with opportunities for external trainings and certifications, Mentorship & Career Succession Planning, Relocation Opportunities, Auto/Home insurance discounts, pet assistance discount plans, discounted movie passes & more! To learn more about our business, culture, and the exciting work that we are doing in the industry, find us on LinkedIn, Instagram (@triumvirateenvironmental), or our website! Triumvirate Environmental is committed to a diverse and inclusive workplace. As an Equal Opportunity Employer (EOE), Triumvirate does not discriminate based on race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status. Reasonable accommodation may be made to enable individuals with disabilities to perform the essential functions. Individuals with Disabilities and Protected Veterans are encouraged to apply. If you have a disability and need accommodation during the application and hiring process, please contact us at https://www.triumvirate.com/contact or call us at 888-834-9697. The requirements listed above are representative of the knowledge, skill, and/or ability required. To view our California Privacy Notice and Policy, click here
Posted 30+ days ago
ProtivitiLos Angeles, CA
$28 - $38 / hour
JOB REQUISITION Los Angeles Legal, Risk and Compliance Intern- 2027 LOCATION LOS ANGELES ADDITIONAL LOCATION(S) JOB DESCRIPTION Are You Ready to Live Something Different with Protiviti? The Protiviti career provides an opportunity to learn, impact, and advance within a collaborative and inclusive culture. We hire curious individuals for whom learning is a passion. By teaming with our clients, we solve the business challenges a dynamic world presents and discover and implement innovative business solutions. We lean into our mission: We Care. We Collaborate. We Deliver. At every level, we champion leaders who live our values. Imagining our work as a journey, integrity guides our way, inclusion moves us forward together, innovation creates new destinations, and our commitment to success empowers us to deliver on our vision to be the most trusted global consulting firm. Are you inspired to make a difference? You've come to the right place. POSITION HIGHLIGHTS Legal, Risk and Compliance interns work with Protiviti's clients, who are typically among the world's leading companies. As an intern, you collaborate with the team to deliver client solutions for complex business problems these organizations face. Experience tells us that our future leaders need to be both knowledgeable and deep in an area of expertise but also versatile, having a broad range of capabilities and skill sets to solve today's complex business problems. That's why we focus on developing resources across our business, so you gain experience in different industries, grow your technical capabilities, and gain leadership qualities that will ensure your future success. Our culture is grounded in empowerment, teamwork, and problem-solving. At all career levels, we encourage innovation, seeking your ideas and insights. Our people care about one another; they coach, guide, and help each team member to be their very best. When you join our team, you will participate in Liftoff with Protiviti, our award-winning onboarding live-virtual experience with gamification embedded in the delivery. You will also attend The Intern Challenge, an experiential learning course that will help you transition successfully into your role as an intern. Protiviti's internship is an innovative experience designed to take you on a journey to immerse you in our unique business and culture. Through our internship, you may work across various industries and engage in internal initiatives, all of which will fuel your curiosity, uncover hidden strengths, and prepare you for your career. During the internship, you will get a preview of Foundations, Protiviti's innovative entry-level full-time career opportunity, which provides you with experiences and learning opportunities in business operations, consulting, data, relationship building, technology, and innovation. With each project, you receive hands-on training in a nurturing environment and interact with leaders across our practice. Talent Managers will assign specific project experiences that support career growth, your skills, and the needs of the business. A network of advisors will help you navigate challenges and celebrate milestones. There are opportunities to join committees, participate in employee network groups, enjoy social, civic, and networking activities to aid in building meaningful relationships across the firm and in the community. Legal, Risk and Compliance interns develop knowledge in core business processes within the financial services, technology, and healthcare industries. Interns will work within internal control and risk frameworks, as well as regulator and compliance methodologies. Legal, Risk and Compliance interns will help develop key deliverables, including process flows, work programs, reports, and control summaries. Interns will review transactions to provide process improvement recommendations and address legal, risk and compliance challenges as needed. Legal, Risk and Compliance interns will work within various segments, including but not limited to financial crime and anti-money laundering, risk management, credit services, regulatory compliance and consumer protection, analytics, and legal consulting. Meaningful onboarding. Impactful training. Foundational learning. These experiences define Protiviti's award-winning internship - an experience that builds upon your skills and knowledge and enables you to thrive professionally. QUALIFICATIONS Degree: Bachelor's, Master's, or Juris Doctor, degree in a relevant discipline (e.g., Accounting, Applied Math, Criminal Justice, Data Analytics, Economics, Finance, Law and Policy, Legal Studies, Management, Management Information Systems, Mathematics, Pre-Law, Political Science and Statistics) Visa Status: All applicants applying for U.S. job openings need authorization to work in the United States for Protiviti without sponsorship now or in the future Graduation Status: Must be within one year of final graduation at the time of internship Experience solving problems using AI-powered productivity and collaboration tools (i.e. Microsoft Copilot, GenAI, etc.) Advanced verbal and written communication skills Ability to apply critical thinking skills and innovation to client engagements across various industries Technical proficiency aligning to assigned capability area WHAT MAKES YOU SUCCESSFUL Working in teams, as well as independently Being creative and analytical Passionate about evaluating, synthesizing, organizing, and interpreting data and information Ability to self-motivate and take responsibility for personal growth and development Desire to learn and a receptiveness to feedback and mentoring Drive towards obtaining professional certifications and a strong academic background Relevant experience with specific skills: Familiarity of banking, compliance, insurance, legal innerworkings, and asset management related processes and issues Ability to convey complex concepts to technical and non-technical audience Using technology tools to create finished products and for analyzing large data sets OUR HYBRID WORKPLACE Protiviti practices a hybrid model, which is a combination of working in person with a purpose and working remotely. This model creates meaningful experiences for our people and our clients while offering a flexible environment. The ratio of remote to in-person requirements vary by client, project, team, and other business factors. Our people work both in-person in local Protiviti offices and on client sites, which can include local or out-of-state travel based on our projects and client requests and commitments. Interns do not accrue company paid time off (Choice Time Off), and we expect that interns will be available to complete work in the designated location during business hours for the entire duration of the Internship. APPLICATION PROCESS Apply at www.protiviti.com/careers. Note: Students may apply for only one location or solution. Duplicate applications will not be accepted. Applicants must be 18 years of age at the time of the internship to be considered. #LI-DNI The hourly rate for this position is below. $28/hr-$38/hr Interns participate in a variety of professional development opportunities and are eligible for paid holidays that occur within the duration of the internship, Protiviti's 401(k) plan, Employee Assistance Program, Matching Gifts Program, and various discounts through PerkSpot. Protiviti is an Equal Opportunity Employer. M/F/Disability/Veteran As part of Protiviti's employment process, any offer of employment is contingent upon successful completion of a background check. Protiviti is committed to being an equal employment employer offering opportunities to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us by sending an email to HRSolutions@roberthalf.com or call 1.855.744.6947 for assistance. In your email please include the following: The specific accommodation requested to complete the employment application. The location(s) (city, state) to which you would like to apply. For positions located in San Francisco, CA: Protiviti will consider qualified applicants with criminal histories in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance. For positions located in Los Angeles County, CA: Protiviti will consider for employment qualified applicants with arrest or conviction records in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. Protiviti is not registered to hire or employ personnel in the following states- West Virginia, Alaska. Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services. JOB LOCATION CA PRO LOS ANGELES
Posted 2 weeks ago
Hub InternationalSacramento, CA
$160,000 - $180,000 / year
ABOUT US At HUB International, we are a team of entrepreneurs. We believe in protecting and supporting the aspirations of individuals, families, and businesses. We help our clients evaluate their risks and develop solutions tailored to their needs. We believe in empowering our employees to learn, grow, and make a difference. Our structure enables our teams to maintain their own unique, regional culture while leveraging support and resources from our corporate centers of excellence. HUB is one of the largest global insurance and employee benefits broker, providing a boundaryless array of business insurance, employee benefits, risk services, personal insurance, retirement, and private wealth management products and services. With over $5 billion in revenue and almost 20,000 employees in 600 offices throughout North America, HUB has grown substantially, in part due to our industry leading success in mergers and acquisitions. This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company. This position is supporting HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer, will be a highly visible, senior leadership position, reporting directly into the Global/Executive Chief Compliance and Risk Officer, working closely with RPW senior leadership to collectively support the growing RPW business while mitigating risk and enhancing the SEC compliance infrastructure. Job Summary: The Chief Compliance Officer for Retirement and Private Wealth will be responsible for assisting the Global/Executive Chief Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means assisting in enhancing and developing SEC compliance programs and infrastructure. This includes conducting mandatory SEC annual risk assessments and establishing and enforcing the Code of Ethics. A key initiative is identifying, recommending and implementing compliance and operational SEC efficiencies to enhance the day-to-day SEC compliance program. Responsibilities: Compliance Aid in the administration and follow up of the firm's Code of Ethics and other policies and procedures designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act of 1940; Assist in conducting ongoing compliance reviews, internal investigations and surveillance to evaluate and test for compliance with applicable SEC rules, regulations, and internal policies; Recommend workable action plans for identifying and correcting material compliance weaknesses; Keep up to date with new regulatory requirements and ensure communication of best practices/new rules to appropriate staff within the Firm. Assist in preparing an annual written report to leadership on the operation, adequacy, and effectiveness of the policies and procedures which support Rule 206(4)-7. Email surveillance / personal trade reviews / marketing material reviews Develop and support SEC compliance training and education initiatives for RPW RIAs. Assist in document collection related to internal and external examinations by auditors and regulators; Be responsive to RPW business inquiries and requests; Run point on ad hoc regulatory projects and other requirements as necessary. Compliance Operational Manage the annual ADV process including data collection and completion of the ADV forms with support of operations and advisor staff. Participate in the investment due diligence process for SEC compliance and/or operational reviews as needed Requirements: Must possess a Juris Doctor (JD) degree and demonstrate a strong understanding of legal principles relevant to corporate governance, compliance, and strategic business initiatives. 10+ years' experience as a senior SEC regulatory compliance professional for either a large financial services firm or in-house Legal team. Experience leading a team and preferably, leading a function as the senior leader of that function Solid familiarity with investment advisor business activities Experience developing, monitoring, and enforcing appropriate policies and procedures. Ability to confront difficult issues and challenge others when necessary. Excellent verbal and written communication skills, particularly the ability to clearly communicate technically complex SEC regulatory developments, issues, and analysis in actionable ways. The ability to meet tight deadlines and prioritize a varied workload and competing priorities in a fast-paced, and at times unpredictable or demanding environment. Public speaking as well as oral presentation and written skills a plus. Strong negotiating and conflict resolution skills. Collegial and collaborative approach to working effectively with others to build strong professional relationships both inside and external to HUB RPW. Outstanding organizational skills, including prioritization and follow-up. JOIN OUR TEAM Do you believe in the power of innovation, collaboration, and transformation? Do you thrive in a supportive and client focused work environment? Are you looking for an opportunity to help build and drive change in a rapidly growing and evolving organization? When you join HUB International, you will be part of a community of learners and doers focused on our Core Values: entrepreneurship, teamwork, integrity, accountability, and service. Disclosure required under applicable law in California, Colorado, Illinois, Maryland, Minnesota, New York, New Jersey, and Washington states: The expected salary range for this position is $160,000 to $180,000 and will be impacted by factors such as the successful candidate's skills, experience and working location, as well as the specific position's business line, scope and level. HUB International is proud to offer comprehensive benefit and total compensation packages which include health/dental/vision/life/disability insurance, FSA, HSA and 401(k) accounts, paid-time-off benefits such as vacation, sick, and personal days, and eligible bonuses, equity and commissions for some positions. Department Legal Required Experience: 10-15 years of relevant experience Required Travel: Up to 25% Required Education: Bachelor's degree (4-year degree) HUB International Limited is an equal opportunity employer that does not discriminate on the basis of race/ethnicity, national origin, religion, age, color, sex, sexual orientation, gender identity, disability or veteran's status, or any other characteristic protected by local, state or federal laws, rules or regulations. E-Verify Program We endeavor to make this website accessible to any and all users. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact the recruiting team HUBRecruiting@hubinternational.com. This contact information is for accommodation requests only; do not use this contact information to inquire about the status of applications.
Posted 3 weeks ago
NewRezGreenville, SC
Exceed the expectations of our residential mortgage borrowers & business partners through superior service, simple processes, and effective communications. We deliver on this mission by empowering our employees by encouraging and recognizing superior performance and innovative solutions, by promoting teamwork and divisional cooperation. POSITION SUMMARY The Senior Compliance Analyst plays a critical role in ensuring the organization's compliance with regulatory requirements and internal policies by managing issues, overseeing regulatory and agency change initiatives, and validating action plan outcomes. This role requires strong analytical skills, attention to detail, and the ability to collaborate across departments to drive sustainable compliance solutions. DESCRIPTION Duties and Responsibilities Issues Management: Monitor, track, and report on compliance-related issues across the organization. Partner with business units to ensure timely and effective remediation of identified issues. Validate corrective actions and sustainability through quality control and testing. Maintain documentation and audit trails for issue resolution and closure. Regulatory & Agency Change Management: Analyze regulatory and agency updates to assess impact on business operations. Coordinate with Legal, Risk, and business units to implement required changes. Review and monitor compliance for all lending products, including HELOC, conventional, FHA, VA and jumbo loans. Maintain a regulatory change log and ensure timely communication of changes to stakeholders. Support the development and revision of policies, procedures, and training materials. Action Plan Validation: Participate in cross-functional action plans to ensure compliance requirements are met. Validate action plan deliverables against regulatory expectations and internal standards. Conduct post-implementation reviews to confirm sustainability and effectiveness. Provide feedback and recommendations for continuous improvement Performs related duties as assigned by management. Qualifications and Education Requirements Bachelor's degree in business, related field, or equivalent experience. 5+ years of experience in compliance, risk management, or regulatory affairs. Experience with issue tracking systems and regulatory change management tools. Experience in financial services or mortgage servicing. Skills, Abilities, and Knowledge Strong understanding of regulatory frameworks (e.g., CFPB, HELOC, state agencies). Excellent communication, analytical, and organizational skills. Ability to work independently and manage multiple priorities in a fast-paced environment. Familiarity with project management methodologies. Proficiency in data analysis and reporting tools (e.g., Excel, Tableau, Power BI). Strong interpersonal skills and ability to influence across levels. Additional Information: While this description is intended to be an accurate reflection of the position's requirements, it in no way implies/states that these are the only job responsibilities. Management reserves the right to modify, add or remove duties and request other duties, as necessary. All employees are required to have smart phones that meet Company security standards with the ability to install apps such as Okta Verify and Microsoft Authenticator. Employment will be contingent on this requirement. Company Benefits: Newrez is a great place to work but we are only as strong as our greatest asset, our employees, so we believe in rewarding them! Medical, dental, and vision insurance Health Savings Account with employer contribution 401(k) Retirement plan with employer match Paid Maternity Leave/Parental Bonding Leave Pet insurance Adoption Assistance Tuition reimbursement Employee Loan Program The Newrez Employee Emergency and Disaster Fund is a new program to support our team members Newrez NOW: Our Corporate Social Responsibility program, Newrez NOW, empowers employees to become leaders in their communities through a robust program that includes volunteering, philanthropy, nonprofit grants, and more 1 Volunteer Time Off (VTO) day, company-paid volunteer day where all eligible employees may participate in a volunteer event with a nonprofit of their choice Employee Matching Gifts Program: We will match monetary employee donations to eligible non-profit organizations, dollar-for-dollar, up to $1,000 per employee Newrez Grants Program: Newrez hosts a giving portal where we provide employees an abundance of resources to search for an opportunity to donate their time or monetary contributions Equal Employment Opportunity We're proud to be an equal opportunity employer- and celebrate our employees' differences, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, and Veteran status. Different makes us better. CA Privacy Policy CA Notice at Collection
Posted 4 days ago
Johnson & JohnsonSanta Clara, CA
$115,000 - $197,800 / year
At Johnson & Johnson, we believe health is everything. Our strength in healthcare innovation empowers us to build a world where complex diseases are prevented, treated, and cured, where treatments are smarter and less invasive, and solutions are personal. Through our expertise in Innovative Medicine and MedTech, we are uniquely positioned to innovate across the full spectrum of healthcare solutions today to deliver the breakthroughs of tomorrow, and profoundly impact health for humanity. Learn more at https://www.jnj.com Job Function: R&D Product Development Job Sub Function: R&D Electrical/Mechatronic Engineering Job Category: Scientific/Technology All Job Posting Locations: Santa Clara, California, United States of America Job Description: Robotics & Digital Solutions, part of the Johnson & Johnson family of companies, is recruiting for a Senior Compliance Engineer located in Santa Clara, CA. At Johnson & Johnson Robotics and Digital Solutions, we're changing the trajectory of health for humanity, using robotics to enhance healthcare providers' abilities and improve patients' diagnoses, treatments, and recovery times. Johnson & Johnson Robotics and Digital Solutions was established in 2020 with the integration of Auris Health, Verb Surgical, C-SATS, and Ethicon. It comprises three key med-tech platforms: Flexible Robotics (MONARCH), Surgical Robotics (OTTAVA), and Digital Solutions. Join our collaborative, rapidly growing teams in the San Francisco Bay Area. You'll collaborate on breakthrough medical technologies that unite multiple subject areas to build a connected digital ecosystem that advances medical professionals' skills and improves patient outcomes. We are seeking a Senior Compliance Engineer who will be responsible for ensuring that all electrical and electronic medical devices meet applicable EMC and product safety standards in accordance with the IEC 60601 series. The role involves guiding product development teams through compliance requirements, coordinating global test and certification activities, and ensuring timely market access for medical electrical equipment. This position requires strong technical expertise, cross-functional collaboration, collaboration with third party consultants and agencies, and the ability to navigate complex regulatory frameworks across multiple regions. Key Responsibilities: Lead EMC and electrical safety compliance programs for medical products, ensuring conformity to: IEC 60601-1 (General safety and essential performance) IEC 60601-1-2 (EMC requirements) Relevant collateral (IEC 60601-1-x) and particular (IEC 60601-2-x, IEC 80601-2-x) standards Regional adaptations (EN/UL/CE/CSA 60601 series) Partner with R&D, Systems, and Quality teams to define design-for-compliance strategies early in the product lifecycle. Develop and maintain EMC and safety test plans, including pre-compliance and final certification testing. Conduct or oversee pre-compliance evaluations, troubleshoot failures, and recommend EMC mitigation and safety design improvements. Serve as the primary technical contact for Notified Bodies, NRTLs, and accredited test laboratories (TÜV, UL, Intertek, BSI etc.). Manage certification schedules, quotes, and deliverables for assigned products. Review and approve schematics, PCB layouts, enclosure designs, and grounding/shielding strategies for compliance. Ensure complete and accurate technical documentation (test reports, risk analyses, Declarations of Conformity, etc.) is maintained in compliance with ISO 13485 and ISO 14971 processes. Stay current with global regulatory changes (EU MDR, FDA, China NMPA, etc.) impacting EMC and safety compliance and communicate updates to internal stakeholders. Support regulatory submissions and audits by providing technical input and documentation evidence. Required Qualifications: Bachelor's degree in Electrical Engineering, Electronics, or a related discipline. 5+ years of experience in EMC and electrical safety compliance engineering, preferably within the medical device or high-reliability electronics industry. Proven expertise in the IEC 60601 family of standards and relevant EMC standards (CISPR 11 / EN 55011, IEC 61000 series). Hands-on experience with EMC test equipment and familiarity with immunity and emissions testing methods. Experience interfacing with regulatory bodies and external test labs for product certifications. Proven expertise in diagnosing and resolving EMC and Safety issues by performing root cause analysis, and hands-on-testing. Experience offering full lifecycle support for EMC and Safety from product concept to certification and production. Working knowledge of risk management (ISO 14971), quality systems (ISO 13485), and design control processes. Demonstrated success in managing global product compliance programs across multiple regulatory regions. Strong analytical, documentation, and communication skills, with the ability to translate complex regulatory requirements into clear engineering guidance. Preferred Qualifications: Master's degree (or higher) in Electrical Engineering, Electronics, or a related discipline. Certification such as iNARTE EMC Engineer, Certified Product Safety Engineer, or equivalent. Familiarity with wireless coexistence standards (IEC 60601-1-2:2014/2020) and cybersecurity implications for connected medical devices. Working knowledge of FDA 510(k) and EU MDR Technical File processes. Core Competencies: Strategic technical planning for regulatory compliance Cross-functional collaboration and communication Data-driven problem-solving and root cause analysis Continuous improvement mindset Strong organizational and project management skills Independent execution of EMC and compliance activities The anticipated pay range for this role is $115,000.00 to $197,800.00 USD Annual The Company maintains highly competitive, performance-based compensation programs. Under current guidelines, this position is eligible for an annual performance bonus in accordance with the terms of the applicable plan. The annual performance bonus is a cash bonus intended to provide an incentive to achieve annual targeted results by rewarding for individual and the corporation's performance over a calendar/performance year. Bonuses are awarded at the Company's discretion on an individual basis. Employees and/or eligible dependents may be eligible to participate in the following Company sponsored employee benefit programs: medical, dental, vision, life insurance, short- and long-term disability, business accident insurance, and group legal insurance. Employees may be eligible to participate in the Company's consolidated retirement plan (pension) and savings plan (401(k)). This position is eligible to participate in the Company's long-term incentive program. Employees are eligible for the following time off benefits: Vacation - up to 120 hours per calendar year Sick time - up to 40 hours per calendar year Holiday pay, including Floating Holidays - up to 13 days per calendar year Work, Personal and Family Time - up to 40 hours per calendar year For additional general information on Company benefits, please go to: https://www.careers.jnj.com/employee-benefits This job posting is anticipated to close on 11/24/25. The Company may however extend this time-period, in which case the posting will remain available on https://www.careers.jnj.com to accept additional applications. Johnson & Johnson is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, age, national origin, disability, protected veteran status or other characteristics protected by federal, state or local law. We actively seek qualified candidates who are protected veterans and individuals with disabilities as defined under VEVRAA and Section 503 of the Rehabilitation Act. Johnson & Johnson is committed to providing an interview process that is inclusive of our applicants' needs. If you are an individual with a disability and would like to request an accommodation, external applicants please contact us via https://www.jnj.com/contact-us/careers . internal employees contact AskGS to be directed to your accommodation resource. Required Skills: Electromagnetic Compatibility (EMC) Compliance, EMC Analysis, IEC 60601, ISO 14971 Risk Management, ISO Standard Preferred Skills: Accelerating, Coaching, Critical Thinking, Design Mindset, Feasibility Studies, Process Improvements, Product Design, Product Knowledge, Program Management, Prototyping, Research and Development, Robotic Automation, SAP Product Lifecycle Management, Smart Systems, Technical Research, Technical Writing, Technologically Savvy The anticipated base pay range for this position is : The anticipated base pay range for this position is $115,000.00 to $197,800.00 Additional Description for Pay Transparency:
Posted 4 weeks ago
Mirion Technologies Inc.Atlanta, GA
The Compliance Analyst is charged with supporting the NERC compliance programs by conducting detailed reviews and analysis of compliance evidence, report findings and maintaining program documents for Certrec Corporation clients. It is also expected that leadership and direction be provided in the following areas: Working with other analysts to ensure that all products are complete and of a high quality. Ensuring that projects are delivered on-time, within scope, and within budget. Maintaining relationships with clients and seeking contract opportunities for the company. The Compliance Analyst reports directly to the ONC Supervisor or Project Manager. The Compliance Analyst works with other analysts as directed by the ONC Supervisor. Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform this list of essential functions that include but are not limited to the following: The essential functions of the Compliance Analyst include, but are not limited to Promote that the priority of each employee at Certrec is the customer and supporting them with quality products and services. Promote company teamwork and support high morale. Visit and/or call clients to develop relationships and support project meetings. Perform Business Development during client interfacing. Look for opportunities and establish rapport with clients and build relationships. Ensure that no scope of work changes have not been initiated until approved by the client. Recognize any project issue that may affect project quality, schedule, or budget to the Supervisor, Manager, and/or Project Manager as soon as it is discovered. Work at a customer location temporarily, if required, to support business needs and requirements. Ensure that billable time is met as directed by the Supervisor. Interpret evidence to ensure it meets the requirements of the NERC Standards. Assist with the development and implementation of client Internal Compliance Programs (ICP). Assist in the development of procedures and training programs specific to the client's applicability to the NERC Reliability Standards. Support Audits, Self-Assessments, Gap Analysis, etc. Research and analyze compliance-related questions. Learn and stay current on all Certrec websites, products, services, and NERC Compliance Standards. Keep the Business Development group apprised of leads, client intelligence, organization changes, client issues, and other key areas of concern. Other duties as assigned. Required Education and Experience An Associate's degree or equivalent college credit hours (60) from a university or equivalent. Experience in regulatory compliance-related activities. Previous experience in regulatory compliance. Skills, Knowledge, and Abilities Communication Skills - must have the ability to clearly communicate verbally and in writing in English. Multi-tasking - must have the ability to simultaneously perform multiple assignments. Interpersonal Skills - team player with ability to interface effectively with different levels of the organization both internally and with clients. Computers and Software - basic working knowledge and ability using Microsoft tools (Excel, Outlook, and Word). Must be able to work independently with some oversight or with a team. Must abide by all Company Policies and Procedures. Background Requirements and Work Authorization US. Citizenship Required. Background Investigation. Background Check.
Posted 30+ days ago
DLA PiperPhoenix, AZ
$127,262 - $185,489 / year
DLA Piper is, at its core, bold, exceptional, collaborative and supportive. Our people are the backbone, heart and soul of our firm. Wherever you are in your professional journey, DLA Piper is a place you can engage in meaningful work and grow your career. Let's see what we can achieve. Together. Summary The Sr Manager, Employee Relations & Compliance, will work closely with HR Leadership, Office of General Counsel, and others in Firm Leadership and Management to address employee relations matters for lawyers and business professionals. To include the coaching and counseling of firm lawyers, management and business professionals; ensure the firm's compliance with local, state, and federal employment laws in the US; and have accountability and responsibility for HR policy development and review, and the delivery of employment related training. Location This position can sit in our Chicago, Atlanta, Baltimore, Boston, Tampa, Dallas, Houston, Los Angeles, Miami, Minneapolis, Northern Virginia, Philadelphia, Phoenix, Raleigh, San Diego, Seattle, Short Hills, Washington DC, or Wilmington office and offers a hybrid work schedule. Responsibilities Manage the process of responding to and resolving employee issues and concerns, including the management, review and response to requests for reasonable accommodations. Direct and lead conflict resolution between individuals. Apply firm policies to see HR-related disputes through to resolution. Regulatory reporting and partnering with HR Tech & Reporting to align Workday configuration with Firm policy and local, state, and federal regulations. At the direction of the Office of General Counsel, investigate and document complaints and bring to full resolution (discrimination, sexual harassment complaints, hostile work environment, etc.), including but not limited to, interviewing witnesses, maintaining investigation notes, making recommendations for resolution, preparing speaking points, preparing final investigation reports and maintaining investigation files. At the direction of HR Leadership and/or Office of General Counsel, manage approval and processing of involuntary terminations, including communications with payroll and other parties, as applicable. Coach managers and lawyers in facilitating meaningful performance conversations. Partner with Talent regarding lawyer performance matters. Enable the delivery of regular feedback and development planning for business professionals and lawyers. Create and implement a reduction-in-force (RIF) or other downsizing strategy with aligned HRBPs, department/vertical/practice group leadership and Office of General Counsel. Draft agreements, age charts and other RIF related documents. Create tools/resources to assist in supporting RIF actions. Analyze employee performance and create detailed performance improvement plans to bridge identified performance gaps. In collaboration with managers, determine appropriate corrective action steps up to and including recommendation to terminate the employment relationship. Manage the development, revision, planning, approval and execution of HR policies and initiatives, as well as support processes, tools, and training for policy management. Stay current with all federal, state and local regulatory requirements for US offices (inclusive of Puerto Rico), Brazil, and Chile, including awareness of upcoming changes to regulatory requirements. Update or create HR policies to align with regulatory changes. Develop trainings and resources related to employee relations, HR policies, coaching, and performance improvement plans. Deploy on an ongoing basis. Respond to client RFP requests. Other duties as assigned. Desired Skills Able to adapt communication style and message to fit audience; communicates clearly, concisely and able to deliver a compelling message; communicates and influences effectively up, down and across all levels. Exceptional written communication skills to ensure the effective drafting of HR policies, training content, investigative reports and summaries and drafting of effective performance improvement plans, etc. Ability to interact and maintain good relationships with employees, management and leadership. Strong analytical skills to assess workplace situations, evaluate information and draw accurate observations. Able to develop clear action plans with results-oriented goals for measuring success, leads due diligence and project plans for timely completion and takes ownership of quality management for work product. Ability to comprehend, interpret, and apply applicable laws, guidelines, regulations, ordinances, and policies (ADA, Title VII, ADEA, FSLA, etc.). Excellent coaching and presentation skills. Intermediate to advanced skills with MS Office, HRIS (Workday time and absence knowledge preferred), ServiceNow. Able to predict and offer solutions to internal clients before they know they need them. Able to establish and maintain strong long-term relationships. Partners with stakeholders and leadership to get input on projects. Understands firm vision and business strategy and incorporates into decision making process. Consistently exceeds performance expectations and invested in professional career development. Freely shares expertise and knowledge to support team, demonstrates political savvy, and uses sound judgement in all situations. Other duties as assigned. Minimum Education Bachelor's Degree in Employee Relations, Human Resources or related field. Certificates SHRM-CP, SHRM-SCP/PHR or SPHR certification preferred. Minimum Years of Experience 10+ years' experience as a compliance and employee relations professional with an emphasis on handling sensitive employee relations issues and counseling. Employee relations experience in a professional services firm preferred. Essential Job Expectations While the specific job requirements of a DLA Piper position may vary depending upon scope of the job and area of specialty, there are certain universal requirements that are expected of all DLA Piper employees, which include but are not limited to: Effectively communicate, verbally and in writing, with clients, lawyers, business professionals, and third parties. Produce deliverables, answer phone calls, and reply to correspondence in an efficient and responsive manner. Provide timely, accurate, and quality work product. Successfully meet deadlines, expectations, and perform work duties as required. Foster positive work relationships. Comply with all firm policies and practices. Engage in both physical and sedentary activity, such as (a) working at a computer for extended periods of time, including on-screen reading and typing; (b) participating in digital/virtual conference calls; (c) participating in meetings as needed. Ability to work under pressure and manage competing demands in a fast-paced environment. Perform all other duties, tasks or projects as assigned. Our employees are expected to embrace and uphold our firm values as a part of our DLA Piper culture. We are committed to excellence in how we represent our clients and develop our people. Physical Demands Sedentary work: Exerting up to 10 pounds of force occasionally and/or a negligible amount of force frequently or constantly to lift, carry, push, pull or otherwise move objects, including the human body. Sedentary work involves sitting most of the time. Jobs are sedentary if walking and standing are required only occasionally and all other sedentary criteria are met. Work Environment The individual selected for this position may have the opportunity for a hybrid work arrangement comprised of remote and in-office work, the requirement for which will be determined in coordination with the hiring manager or supervisor and may be modified in the firm's discretion in the future. Disclaimer The purpose of this job description is to provide a concise statement of the work elements and to organize and present the information in a standardized way. It is not intended to describe all the elements of the work that may be performed by every individual in this classification, nor should it serve as the sole criteria for personnel decisions and actions. The job duties, requirements, and expectations for this position may be modified at the Firm's discretion at any time. This job description does not change the at-will nature of employment. Application Process Applicants must apply directly online instead of sending application materials via email. Accommodation Reasonable accommodations may be made upon request to permit individuals with a disability to perform the essential functions and responsibilities of the position or to participate in the job selection process. If you have a request for an accommodation during the application process, please contact careers@us.dlapiper.com. Agency applications will not be considered. No immigration sponsorship is available for this position. The firm's expected hiring range for this position is $127,262 - $185,489 per year depending on the candidate's geographic market location. The compensation offered for employment will also be dependent on other factors including the candidate's experience, skills, educational and professional background, and overall qualifications. We offer a comprehensive package of benefits including medical/dental/vision insurance, and 401(k). #LI-SB1 #LI-Hybrid DLA Piper is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Job applicant poster viewing center.
Posted 30+ days ago
FormlabsSomerville, MA
$100,000 - $140,000 / year
About Formlabs: To reinvent an industry, you have to build the best team. Join Formlabs if you want to join us in our mission to build the tools that make it possible for anyone to bring their ideas to life. Formlabs is looking for highly motivated individuals to join us as we bring groundbreaking professional 3D printers to every designer, engineer, factory floor and medical institution throughout the world! Companies like Google, Tesla, Gillette, and New Balance rely on the products and services that Formlabs provides, and the list is always growing. Join the exciting 3D printing industry where the possibilities are endless, innovation is at the core of what we do, and we strive to solve unique customer challenges. Your Impact: Formlabs printers are sold in over 40 countries and counting. Ensuring our hardware products meet safety and regulatory standards in each geography takes strategic thinking, engineering know-how and exploration of varying regulatory landscapes. The Hardware Compliance Engineer partners with design engineers, product managers, manufacturing engineers and salespeople to establish and execute compliance certification strategies through new product introduction and continued market expansion. If you are excited to take a hands-on role within the product lifecycle and further develop your regulatory, quality, and project management skills to work then join us as a Senior Hardware Compliance Engineer. What You'll Do: Leverage a core knowledge of industrial product regulations to identify relevant standards, translate guidelines into engineering requirements and review product designs for compliance. Employ strong analytical, organizational and communication skills to define testing requirements, assess risk, manage design documents, oversee test lab activities and communicate project status across engineering, regulatory agencies, sales partners, manufacturing and senior leadership. Deep involvement and hands on product solution/modification to mitigate EMC/Safety/Other problems found during verification and reviews. Sample setup preparation for both electronic and firmware components. Shepherd new products through compliance assessments, product testing, certification processes and design updates for user safety and regulatory compliance. Work on international approval projects to support Formlabs expanding in new international markets. Maintain compliance of released products and update certifications as regulations change. Prepare regulatory documents and submit to agencies and third party service providers. Partner with the Hardware Compliance Manager and adjacent compliance functions to enhance processes and systems to be more predictive, lean and expedient. About You: Bachelor's Degree in Engineering 5-7 years of experience Demonstrated Critical thinking and analytical skills Exposure to consumer or industrial electronics product development for international markets Highly collaborative and results driven. Constantly striving to improve, accelerate delivery and mitigate risk Outstanding verbal and written communication skills with demonstrated ability to manage concurrent tasks Compensation: We are all owners of Formlabs and direct beneficiaries of our success. We believe that equity is a critical component of compensation at Formlabs, and we want our newest team members to understand the potential value of their equity compensation. Full time employees receive equity, in the form of RSUs. Your financial investment will grow with us in accordance to your impact. At Formlabs, base pay is one part of our total compensation package and is determined within a range. The base pay range for this role is between $100,000 and $140,000, and your base pay will depend on your skills, qualifications, experience, location and expected impact on the organization. Bonus Skills: Familiarity with international standards including EMC, Safety, Wireless, etc Experience working with international manufacturing partners Past experience working with compliance labs Our Benefits & Perks: Robust equity program to build future wealth through RSUs Comprehensive healthcare coverage (Medical, Dental, Vision) Low cost fund options in our 401K and access to advisors Generous paid Parental Leave (up to 16 weeks) Tenure-based paid Sabbatical Leave (up to 6 weeks) Flexible Out of Office Plan - Take time when you need it Ample on-site parking & pre-tax commuter benefits Healthy on-site lunches, snacks, beverages, & treats Regular sponsored professional development opportunities Many opt-in culture events across our diverse community And of course… unlimited 3D prints We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. Even if you don't check every box, but see yourself contributing, please apply. Help us build an inclusive community that will change the face of 3D printing.
Posted 3 days ago
Senior Audit Manager - Wealth Management, Capital Markets And Commercial Compliance
US BankMinneapolis, MN
$149,515 - $175,900 / year
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Job Description
At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One.
Job Description
Job Description
The Corporate Audit Services (CAS) Senior Audit Manager - Wealth, Commercial, Capital Markets is a senior level management position that supports the Regulatory Compliance Audit Director/Senior Audit Director of the Risk Management and Compliance audit team. This role supports the Audit Director/Senior Audit Director, in providing the Audit Committee and senior management with independent assurance and advisory services designed to evaluate and improve the effectiveness of risk management, control, and governance processes of U.S. Bancorp (USB), affiliates, wholly owned subsidiaries and entities where USB owns a majority (controlling) interest.
The Senior Audit Manager is responsible for providing strategic direction, leadership, and coordination of compliance risk coverage for USB's Wealth, Commercial, Capital Markets business lines with demonstrated expertise and the ability to effectively communicate requirements of laws and regulations to non-compliance business partners and key stakeholders in the following areas:
- Wealth Management laws and regulations (e.g., Broker Dealer, Trust Services, Wealth Management, Securities and Exchange Commission (SEC) Regulations, Financial Industry Regulatory Authority (FINRA) Regulations, 12CFR9 Regulation, Investments, Wealth Operations, Private Banking)
- Capital Market laws and regulations (e.g., Broker Dealer, Trust Services, Wealth Management, SEC Regulations, FINRA Regulations, 12CFR9 Regulation, Investments, Wealth Operations, Private Banking)
- Laws and regulations applicable to Corporate and Commercial Banking business lines
The Senior Audit Manager also has strong knowledge of Compliance Management Systems.
Global Corporate Compliance (GCC) is responsible for developing, maintaining, and tracking the implementation of GCC Policies, Procedures, and Country Requirements. GCC oversees USB's compliance with applicable laws and regulations through execution of the compliance risk management framework across the first and second lines of defense, including: risk identification, change management, risk assessments, management reporting, and provide consultation and credible challenge to support the development of effective business line control environments subject to compliance risk.
We are seeking an experienced senior business audit executive that has strong knowledge of audit, risk management, and regulatory expectations (e.g., Office of the Comptroller of Currency's Heightened Standards and Federal Reserve Board's Large Financial Institution Rating System) at large financial institutions. This individual will have skills and experience to effectively manage deliverables, own and lead the compliance risk management audit plan, provide oversight of audit activities over the risk management activities mentioned above, and deliver updates to operating committees, senior management and key stakeholders.
Primary Responsibilities
Coordinating with the Audit Director/Senior Audit Director in developing and driving the execution and coordination of the risk-based Annual Audit Plan for Wealth, Commercial, Capital Markets. Includes identifying auditable entities and assessing compliance risk across all auditable entities; determining appropriate audit cycles and audit strategy for the compliance risk framework; and determining necessary audit resources and estimated expenses associated with completion of a forward looking 12-18-month audit plan. Maintaining an effective Continuous Monitoring Program which monitors key risks within auditable entities across multiple business lines and identifies any key emerging/evolving risks by routinely interfacing with independent peer banks on regulatory trends and industry events. Also includes monitoring adequacy of CAS resources and adjusting the audit plan when appropriate and communicating key results of Continuous Monitoring to applicable members across CAS.
Lead a team of managers and audit professionals and is expected to recruit, hire, and develop assigned personnel in accordance with U.S. Bank Human Resources Policies and Corporate Audit Services Policies, Standards and Guidelines. These duties include active participation in recruiting activities; establishing and managing development plans for assigned personnel; and providing quarterly performance feedback and annual performance evaluations for assigned personnel. Also includes addressing performance problems promptly.
Supervise audit managers in the completion of audit engagements, ensuring the highest quality of work is delivered timely. Supervision includes:
Coordinating with senior audit managers and managers to plan audit engagements.
Ensuring reviews are performed to ensure audit engagement work contains relevant facts to support audit scope and conclusions and adhere to internal audit policies and procedures.
Reviewing audit reports which communicate audit opinions and audit issues in a timely, clear, and concise manner.
Monitoring progress of audit engagements against plan and schedule and working with senior audit managers/audit managers to make necessary adjustments.
Supporting the Audit Director/Senior Audit Director by creating and ensuring board, committee and other stakeholders reporting for completeness, consistency with other internal audit material and accuracy of the most up-to-date information. Overseeing ongoing progress and remediation by management for all outstanding operations issues across the entire enterprise and supporting other Senior Audit Directors/Audit Directors. Presenting as needed at Sr. Operating Committee and Sub-Committee meetings.
Develop and deepen relationships through regular interactions with key internal and external stakeholders that include but are not limited to: senior management; internal control partners; regulatory agencies; external auditors; external subject matter experts; and industry peers. This includes regular participation within industry peer groups.
Collaborating across the three lines of defense regarding business processes, risks, and controls. Coordinating audit activities by integrating other internal audit subject matter teams (e.g., Business Lines, Technology, Anti-Money Laundering, Model, Risk Management, Data, etc.) to ensure appropriate and efficient coverage of the business products, services, and processes. Managing the team's workload to assist other audit teams when resources are needed for areas of higher risk.
Drive automation and data analytics opportunities within their portfolio.
Performing other duties as requested by Audit Director/Senior Audit Director.
Preferred Skills/Experience
- Bachelor's degree, or equivalent work experience
- Typically more than 10 years of applicable experience
- Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
- Advanced understanding of the business line's operations, products/services, systems, and associated risks/controls
- Thorough knowledge of Risk/Compliance/Audit competencies
- Strong leadership and management skills of processes, projects and people
- Effective written and verbal communication skills
- Strong analytical, problem-solving and negotiation skills
- Proficient computer skills, especially Microsoft Office applications
- Applicable professional certifications
Location Expectations
This role requires working from a U.S. Bank location three (3) or more days per week.
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants.
Benefits:
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
Healthcare (medical, dental, vision)
Basic term and optional term life insurance
Short-term and long-term disability
Pregnancy disability and parental leave
401(k) and employer-funded retirement plan
Paid vacation (from two to five weeks depending on salary grade and tenure)
Up to 11 paid holiday opportunities
Adoption assistance
Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
E-Verify
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program.
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $149,515.00 - $175,900.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
Posting may be closed earlier due to high volume of applicants.
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