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Sr. Compliance Officer
BMO (Bank of Montreal)Chicago, IL
Application Deadline: Address: 320 S Canal Street Job Family Group: Audit, Risk & Compliance Assists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO Compliance Program. Works with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies and programs to address them. Identifies risks and implements appropriate actions to mitigate them. Develops and maintains compliance information for analysis and reporting. Achieves compliance goals by maintaining current knowledge of regulatory requirements and developments. Maintains functional and regulatory expertise specific to business group, and refers to Compliance Policies & Procedures manuals for requirements. Contributes to business/group results by providing oversight and making recommendations that significantly impact the Bank's ability to monitor regulatory compliance programs, minimize operational risk and align with regulatory agencies. Provides advice and guidance to assigned business/group on implementation of solutions aligned to regulatory risk appetite based on an understanding of business operations and stakeholder needs. Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives. Influences to achieve effective regulatory compliance controls that enable business objectives. Identifies and advises on emerging issues and trends to inform decision-making. Helps determine business priorities and best sequence for execution of business/group strategy. Builds effective professional relationships with business group, internal/external stakeholders and trust with regulators. Analyses and reports on compliance data, and related data to gain insights on regulatory risk. Oversees the development and maintenance of guidelines and procedures, providing advice/rulings as necessary, for a single function within a geographic area. Participates in the design, implementation and management of core business/group processes. Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls. Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group. Identifies, assesses, effectively challenges and oversees the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation. Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution. Analyzes and reports compliance information to Compliance and business/group management. Develops and maintains a high level of expertise in all regulations, directives and guidance which apply to the group(s) supported. Provides input to business/group on emerging risks, regulatory developments and interpretation of regulations. Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls. Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group. Identifies, assesses, effectively challenges and provides oversight on the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation. Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution. Analyzes and reports compliance information to Compliance and business/group management. Advises first line of defense management and employees on compliance matters. Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives. Ascertains training needs and helps develop training based on gaps identified through the compliance monitoring and testing. Identifies enhancements to business group compliance tools and processes and communicates to required stakeholders. Assists business group management in communicating and implementing changes to applicable regulatory policies and procedures. Represents the business/group Compliance team and interacts with examiners/auditors during internal, external and regulatory audits and examinations. Provides regulatory perspective on business group's sales and marketing materials. Anticipates/ identifies and analyses risk and consequences of unaddressed risk factors/ compliance gaps, and recommends appropriate controls. Builds effective professional relationships with business/groups. Operates effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny. Accesses, monitors and reports on sensitive Bank, customer, transactional and employee information to ensure compliance with regulatory requirements. Communicates the roles and importance of each of the three lines of defense, and proactively identifies regulatory risk. Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus. Provides specialized consulting, analytical and technical support. Exercises judgment to identify, diagnose, and solve problems within given rules. Works independently and regularly handles non-routine situations. Broader work or accountabilities may be assigned as needed. Qualifications: Typically minimum of 6 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience. Recognized compliance certificate or equivalent preferred. Detailed knowledge of consumer protection regulations and related marketing and advertising guidelines. Skilled knowledge of regulatory/ compliance requirements and the operations of a single client group. May require experience at regulatory body for one or more compliance area(s). Strong communication, critical thinking, relationship management and project management skills. Deep knowledge and technical proficiency gained through extensive education and business experience. Verbal & written communication skills- In-depth. Collaboration & team skills- In-depth. Analytical and problem solving skills- In-depth. Influence skills- In-depth. Data driven decision making- In-depth. Salary: $79,800.00 - $148,000.00 Pay Type: Salaried The above represents BMO Financial Group's pay range and type. Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position. BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: https://jobs.bmo.com/global/en/Total-Rewards About Us At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world. As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset. To find out more visit us at http://jobs.bmo.com/us/en BMO is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law. BMO 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, please send an e-mail to BMOCareers.Support@bmo.com and let us know the nature of your request and your contact information. Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.
Posted 3 weeks ago
Customer Success Manager (Spanish Speaker) - Governance, Risk & Compliance (Grc) Success
WorkivaDenver, CO
Workiva Customer Success Managers (CSM) are a critical part of our customer-facing team. CSMs serve as the primary point of contact for customers, managing the entire customer lifecycle by focusing on business outcomes; and identifying opportunities for growth within their named accounts post-sale. As a CSM, your primary mission will be to maximize our customers return on investment (ROI) in the Workiva Platform. You will develop and maintain close relationships with management, product adoption sponsors, and/or key stakeholders throughout the customer lifecycle. You will work closely with Workiva's Services team, Support team, Marketing team, and Sales team to drive adoption by ensuring customers are effectively onboarded, trained, and supported throughout the customer journey. What You'll Do Drive customer adoption of Workiva solutions Ensure continuous ROI to your customers Consult on best practices, workflows, and management business reviews Develop multi-purpose relationships throughout customer organizations Identify risks within named accounts & take appropriate actions to manage and/or escalate to an efficient resolution Ensure all customers are continuously working toward key milestones of the Customer Journey using customer-facing Success Plans Advocate for customers internally by providing continuous feedback to Workiva's Sales, Services, Marketing, Product, & Engineering teams Work with Sales to understand the details of upcoming renewals Teach customers how to use the Workiva Platform Use customer management tools to track customer communication, issues, and metrics What You'll Need Minimum Qualifications Undergraduate degree or equivalent combination of experience and education in a related field; an advanced degree may be considered in lieu of professional experience 2 years of related experience (Customer Success, Customer Service, Account Management or Sales) Fluency in Spanish and English Preferred Qualifications Experience supporting a SaaS application preferred Deep commitment to customer success - not just satisfaction Ability to understand complex problems and explain the source of those problems simply Strong communication and presentation skills with a high level of comfort in delivering consultative recommendations Self-starter with strong time management and prioritization skills Travel Requirements & Working Conditions Willingness to travel up to 10% for team and corporate meetings, fostering relationships and representing company interests Reliable internet access for any period of time working remotely, as we embrace flexible work arrangements How You'll Be Rewarded Salary range in the US: $57,000.00 - $91,000.00 A discretionary bonus typically paid annually Restricted Stock Units granted at time of hire 401(k) match and comprehensive employee benefits package The salary range represents the low and high end of the salary range for this job in the US. Minimums and maximums may vary based on location. The actual salary offer will carefully consider a wide range of factors, including your skills, qualifications, experience and other relevant factors. Employment decisions are made without regard to age, race, creed, color, religion, sex, national origin, ancestry, disability status, veteran status, sexual orientation, gender identity or expression, genetic information, marital status, citizenship status or any other protected characteristic. Workiva is committed to working with and providing reasonable accommodations to applicants with disabilities. To request assistance with the application process, please email talentacquisition@workiva.com. Workiva employees are required to undergo comprehensive security and privacy training tailored to their roles, ensuring adherence to company policies and regulatory standards. Workiva supports employees in working where they work best - either from an office or remotely from any location within their country of employment. #LI-JW1
Posted 1 week ago
VP Lending Compliance Manager
First Financial BanksharesAbilene, TX
Address We're always looking for bright individuals to join our growing organization. As a part of the First Financial Family, we will invest in your development and provide a dynamic work environment where you're challenged, valued and empowered every day. We strive to be the best destination for the industry's top talent, creating a diverse, collaborative workplace that celebrates innovation and change. We are one team, working together to get things done. Job Description: Office Location: Abilene, Texas, United States SCOPE/CONTACTS: Incumbent is responsible for assessing the Bank's policies, procedures and practices for compliance with numerous federal regulations and published guidelines, and for evaluating and reporting the level of compliance and identified deficiencies to appropriate line managers. The incumbent will reside in the first line and regularly interact with Bank managers and employees. The incumbent must have good communication skills and exercise diplomacy when discussing compliance matters with management and staff. ESSENTIAL FUNCTIONS: Incumbents responsibilities will include: Maintaining a high level of understanding and expertise in consumer regulatory compliance related to lending and other banking operations; Working within the front line to ensure compliance with applicable laws and regulations; Keeping abreast of new/amended applicable federal regulations and published official guidance; Being familiar with applicable state statutes and regulations; Conduct and oversee ongoing transaction monitoring of lending compliance requirements; Manage team of lending personnel completing ongoing transaction monitoring; Provide coaching and training to Relationship Managers on results of ongoing monitoring; Provide information on the level of compliance to Credit Administration, Line of Business Management, Regional Senior Lenders, and Regional Presidents; Coordinate and manage formal issues, mitigation plans, and risk assessments with the appropriate business line owners to Compliance and/or ERM; Act as a liaison for frontline lending personnel during Compliance Assurance reviews, compliance audits, or compliance examinations; Actively participating in the Customer Service First program, supporting the values of the organization and following established policies and procedures; and Other duties as assigned. MINIMUM QUALIFICATIONS: A bachelor's degree in business, accounting, auditing, or related discipline, Seven years of financial institution regulatory compliance experience, Certified Regulatory Compliance Manager (CRCM) certification required. Additional banking experience related to lending, auditing, and accounting will be helpful. The incumbent must have a working knowledge of Word, Excel, Outlook, and Adobe Acrobat software. Familiarity with other features of Microsoft's Office suite of applications will be helpful. The incumbent should possess the following skills: Attain, develop, and apply good working knowledge of the requirements of numerous state and federal banking laws and regulations; Research, analyze, interpret, and effectively apply banking laws to given situations, Bank products, and services; Exercise discretion and sound judgment, particularly when advising or directing the application of laws and regulations; Communicate effectively with Bank personnel, officers, senior managers and examiners; Perform job responsibilities effectively with minimum supervision; Good oral and written communication skills; Good personnel management skills; Protect confidential information. The above statements reflect the general details considered necessary to decide the principal functions of the job identified and shall not be construed as a detailed description of all work requirements that may be inherent in the job. Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)
Posted 2 weeks ago
Compliance Analyst
Clark Construction GroupLakewood, WA
The Compliance Analyst serves as the project compliance expert on a wide portfolio of Clark's government-funded construction projects. The compliance analyst will work alongside a dedicated team of highly trained compliance professionals to ensure our projects meet their compliance objectives. This is an early-career role with potential for upward mobility within the Project Controls and Compliance department. This role is based in Lakewood, WA, with occasional travel to Seattle and other local job sites. Job Responsibilities: Protect the organization and our trade partners by strictly enforcing compliance with federal, state, and local prevailing wage laws, as well as union and PLA requirements Generate, certify, and submit all Clark craft employee Certified Payroll Reports (CPRs), as well as subcontractor CPRs timely and accurately Manage all prevailing wage related document collection and review for Clark and our trade partners Perform detailed cross-checks of payroll submissions against other project documents to ensure proper payment of wages to all craft workers Collaborate with both project team and corporate leadership on process improvements and issue resolution related to project compliance Assists with complex prevailing wage issues and/or investigations with third parties Maintain confidentiality and compliance with access around sensitive information Create economic opportunity within the communities we work by ensuring Clark and our trade partners meet all goals around worker utilization and small business subcontracting Quickly resolve all internal audit report findings Manage project start-up and close-out for compliance Performs other compliance related duties as required Travel required to one or more project sites locally Candidate Profile: Bachelor's degree (or equivalent) preferred, or similar relevant work experience Highly motivated individual with strong organizational and time management skills Careful attention to detail and reliability of output Ability to learn quickly and work under pressure in a fast-paced team environment Excellent oral and written communication skills Familiarity with federal and state contracting, labor regulations, and FAR regulations a plus Alignment to Clark Standards of Excellence: Self-motivated, results oriented, adaptable, team player, accountable, ethical, innovative, resilient, builds relationships, builds people / teams and followership, sets direction and executes Bilingual with Spanish language preferred Clark offers a total compensation package that includes base salary, bonus potential, and a comprehensive benefits package including health/dental/vision benefits, paid time off, retirement/401k, and Company Contribution plan. Additional benefits include life insurance, commuter benefit, short & long term disability, fitness reimbursement, FSA, tuition reimbursement, back-up daycare, tutoring & family support benefits, EAP/Work-Life assistance, and a holiday contribution program. For this role the base salary range is $72,000-90,000. Compensation may vary outside of this range depending on a number of factors, including a candidate's education, experience, skills, and geographic location. Base pay is one part of the Total Compensation Package that is provided to compensate and recognize employees for their work. https://www.clarkconstruction.com/careers/clark-experience #LI-KS1
Posted 1 week ago
Financial Services Associate Director | Financial Crimes, Risk And Compliance
GuidehouseChicago, IL
Job Family: Risk & Regulatory Compliance Consulting Travel Required: Up to 50% Clearance Required: None What You Will Do: Guidehouse has an aggressive growth strategy for its Financial Crimes, Risk and Compliance (FCRC) practice, and now seeks to expand its team by recruiting an Associate Director who will be fundamental to this growth strategy. This new hire will have Financial Crimes expertise, a business builder mindset and ambition, and the ability to successfully leverage their professional network. Responsibilities will include: Oversee delivery of Digital Onboarding, Perpetual KYC, Transaction Monitoring, Sanctions, Trade Surveillance, Anti-Bribery & Corruption and/or Fraud projects. Lead independent risk assessment, target state design, functional & technical transformation, and regulatory response management to support our client in their modernization and/or regulatory remediation journeys. Develop relationships with current and prospective clients - both externally and internally, establishing credibility with senior Guidehouse colleagues to be recognized as a market leader. Spearhead the development and execution of key go-to-market strategies for Financial Crimes practice including new client development and existing client expansion with personal pursuit. Manage executive level relationships and ensure there are the optimal range of AML solutions to meet client needs as well as to maximize revenue generation and profitability of the firm. Lead the assessment and testing of Financial Crimes compliance programs and implement recommended changes/controls and solutions. Collaborate with other leaders to contribute to the development of intellectual property and thought leadership. Develop collaborative relationships with the other related specialty practices and non-specialty practices across the firm to cross-sell relevant products and services. Lead efforts in identifying and retaining new client relationships through business development and existing or new industry connections. Play a vital role in managing and developing team members in the Financial Services practice, as well as recruiting new team members as part of this strategic initiative to aggressively grow the business. Evaluate internal control structures to help identify weaknesses and associated risks. Develop, perform, and supervise detailed financial, economic, and statistical analysis. What You Will Need: Bachelor's degree. 7-10+ years of Financial Crimes experience at regional and national financial institutions, crypto/digital assets exchanges, Securities / Capital Markets institutions, regulatory/government agencies, and/or consulting firms. Deep understanding of AML regulations, investigations, and enforcement actions. Expertise in OFAC, EDD, KYC, BSA, CDD and/or forensic accounting. Deep understanding of Digital Onboarding and perpetual KYC transformation. Familiarity with common fraud and money laundering schemes Strong understanding of corporate governance and regulatory issues that could affect an organization. Outstanding project management skills in monitoring billing of hours, training, development, and supervision. Outstanding communication and public speaking skills. Ability to travel up to 50%. What Would Be Nice To Have: Master's Degree. Strong preference for candidates local to the New York City or DMV area. Desire to collaborate with other related Guidehouse practices as well as across the entire global firm to cross-sell relevant products and services, in addition to being a growth oriented, vertical thinker. Intellectually adept with negotiation and influencing skills and ability to relate to range of senior level internal and external stakeholders. Elevated level of business acumen and commercial awareness. Extremely driven, energetic, and able to thrive in a results-oriented, entrepreneurial, analytical environment. The annual salary range for this position is $149,000.00-$248,000.00. Compensation decisions depend on a wide range of factors, including but not limited to skill sets, experience and training, security clearances, licensure and certifications, and other business and organizational needs. What We Offer: Guidehouse offers a comprehensive, total rewards package that includes competitive compensation and a flexible benefits package that reflects our commitment to creating a diverse and supportive workplace. Benefits include: Medical, Rx, Dental & Vision Insurance Personal and Family Sick Time & Company Paid Holidays Position may be eligible for a discretionary variable incentive bonus Parental Leave and Adoption Assistance 401(k) Retirement Plan Basic Life & Supplemental Life Health Savings Account, Dental/Vision & Dependent Care Flexible Spending Accounts Short-Term & Long-Term Disability Student Loan PayDown Tuition Reimbursement, Personal Development & Learning Opportunities Skills Development & Certifications Employee Referral Program Corporate Sponsored Events & Community Outreach Emergency Back-Up Childcare Program Mobility Stipend About Guidehouse Guidehouse is an Equal Opportunity Employer-Protected Veterans, Individuals with Disabilities or any other basis protected by law, ordinance, or regulation. Guidehouse will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of applicable law or ordinance including the Fair Chance Ordinance of Los Angeles and San Francisco. If you have visited our website for information about employment opportunities, or to apply for a position, and you require an accommodation, please contact Guidehouse Recruiting at 1-571-633-1711 or via email at RecruitingAccommodation@guidehouse.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodation. All communication regarding recruitment for a Guidehouse position will be sent from Guidehouse email domains including @guidehouse.com or guidehouse@myworkday.com. Correspondence received by an applicant from any other domain should be considered unauthorized and will not be honored by Guidehouse. Note that Guidehouse will never charge a fee or require a money transfer at any stage of the recruitment process and does not collect fees from educational institutions for participation in a recruitment event. Never provide your banking information to a third party purporting to need that information to proceed in the hiring process. If any person or organization demands money related to a job opportunity with Guidehouse, please report the matter to Guidehouse's Ethics Hotline. If you want to check the validity of correspondence you have received, please contact recruiting@guidehouse.com. Guidehouse is not responsible for losses incurred (monetary or otherwise) from an applicant's dealings with unauthorized third parties. Guidehouse does not accept unsolicited resumes through or from search firms or staffing agencies. All unsolicited resumes will be considered the property of Guidehouse and Guidehouse will not be obligated to pay a placement fee.
Posted 5 days ago
Svp, Senior Compliance Officer (Newport Beach)
PimcoNewport Beach, CA
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Overview As a key member within PIMCO's Compliance team, the Senior Compliance Officer will provide strategic oversight and leadership across critical elements of the firm's compliance program. This role includes managing a team of compliance officers at various levels and collaborating closely with senior firm leadership. The successful candidate will bring deep investment management expertise and engage directly with clients to communicate PIMCO's compliance initiatives and program. Responsibilities Lead the implementation, enforcement, and ongoing evaluation of compliance policies and controls, ensuring alignment with business needs and regulatory changes Collaborate with global Compliance teams to drive program enhancements and maintain consistency across regions Identify, assess, and resolve conflicts of interest and other compliance risks proactively Provide regular, comprehensive reporting on compliance program status to senior Legal and Compliance executives and other stakeholders Manage and execute compliance projects and strategic initiatives to strengthen the firm's compliance framework Supervise and develop a high-performing team Requirements Bachelor's degree required; preferred fields include Accounting, Business, Finance, or Economics. Juris Doctor (JD) degree is a plus but not required Minimum 10 years of compliance experience in a large, diverse investment management firm, including experience implementing compliance programs under Rule 206(4)-7 of the Investment Advisers Act At least 5 years of management experience with direct supervisory responsibility Intermediate knowledge of global equity and fixed income markets, including bonds, equities, and derivatives Strong understanding of investment adviser compliance policies and regulatory focus areas Excellent communication and interpersonal skills High integrity and ethical standards Ability to manage multiple priorities and projects with strong attention to detail Adaptable and quick learner, able to embrace new processes and regulatory developments PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance. Salary Range: $ 215,000.00 - $ 260,000.00 Equal Employment Opportunity and Affirmative Action Statement PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws. Applicants with Disabilities PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.
Posted 30+ days ago
Director, Code Of Ethics Compliance
VirtusHartford, CT
Virtus is dedicated to the success of employees and helping everyone on our team achieve their goals. We are a dynamic, fast-growing organization with the resources of a large firm and the innovative environment of an entrepreneurial company that promotes collaboration and employee engagement. Every member of our team is empowered to make a tangible impact in delivering value for our shareholders and offering clients high-quality investment strategies to meet their financial needs. Here, employees can thrive personally and professionally. Professional development opportunities help employees enhance their skills and grow in their careers. Meaningful financial rewards and a comprehensive package of benefits support employees at every stage of life and encourage work-life balance, and physical, emotional, and mental well-being. We believe in the value of an inclusive and respectful work environment and are committed to making a positive impact in the communities where we live and work. Virtus and our investment managers offer opportunities across the country. Job Description This position leads the team responsible for all matters related to the implementation of the Virtus Code of Conduct and Adviser Code of Ethics, as well as the Gifts, Entertainment and Inducements, Outside Activities, Political and PAC Contributions, and other related policies and procedures (collectively, the "Policies"). The role involves managing the administration team, contributing to policy administration, recommending policy enhancements, and overseeing the design, implementation, and monitoring of compliance protocols. Additionally, the position manages special projects, including system implementations and upgrades of the STARCompliance system, and the integration of new investment managers. Primary Job Responsibilities: Manages compliance staff responsible for administering the Policies and contributes individually as needed. Interprets, advises, administers, and monitors the Policies; conducts inquiries and reviews, and maintains supporting files. Reviews and analyzes personal employee trading and exception reports to identify violations, warnings, or patterns. Demonstrates thorough knowledge of applicable regulations in interpreting fact patterns and identifying potential violations. Administers employee reporting processes, including analysis, follow-up, and compilation of results. Ensures that the Policies are designed to prevent and identify violations of securities laws and are fully implemented and operating effectively. Ensures that forensic testing protocols are functioning properly in compliance monitoring systems and manual calculations as required. Ensure that data feeds and reports to/from the STARCompliance system are complete and accurate. Ensures a robust system of internal controls, including data completeness and accuracy, audit trails, protection of sensitive employee information, and documentation of procedures related to Policy administration. Lead subject matter expert in administering the Policies, demonstrating expertise in regulations and industry developments related to the Policies. Propose necessary Policy amendments and system enhancements. Ideal Qualifications Bachelor's degree, preferably with business focus in accounting/finance. FINRA Series 7 or 24, a plus. Minimum of 5-10 years of progressive experience at investment advisory firms. Must have experience with the design and administration of advisers, mutual fund and broker-dealer codes of ethics, personal trading, and related policies, as well as working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940. 3-5 years of previous experience managing people. Strong communication skills, both written and verbal, are critical as this role requires enterprise-wide visibility. Intermediate knowledge of MS Excel, MS Word and managing large amounts of numeric data. Expertise in employee compliance systems, including STARCompliance, is strongly preferred. Experience in portfolio guidelines systems (Charles River, Bloomberg, BNY DRAS, etc.) a plus. Strong analytical, problem-solving skills, comfortable analyzing large volumes of data, and attention to detail. Ability to influence others to successfully implement compliance initiatives. Ability to prioritize multiple tasks and work under pressure while maintaining attention to detail and collaborate with fellow team members to achieve objectives within the project timeline. The salary range for this position is $113,000 to $138,000. The starting salary offer will vary based on the applicant's education, experience, skills, abilities, geographic location, internal equity, and alignment with market data. This position is also eligible to participate in the annual incentive plan.
Posted 30+ days ago
Health & Safety Compliance Specialist (Contingent Worker)
Cogeco Inc.Berwick, PA
Our culture lifts you up-there is no ego in the way. Our common purpose? We all want to win for our customers. We aim to always be evolving, dynamic, and ambitious. We believe in the power of genuine connections. Each employee is a part of what makes us unique on the market: agile and dedicated. Time Type: Regular Temporary (Fixed Term) Job Description : POSITION SUMMARY: The Contingent worker is responsible for ensuring that health and safety operations across telecommunications infrastructure and field operations comply with national and international laws, standards, and industry best practices. This role is essential for bridging the gap between practical H&S implementation and legal obligations, particularly in high-risk environments like fiber deployment and data center operations. MAIN RESPONSIBILITIES Research legal obligations surrounding employee and public safety regarding telecom installations and high-risk field work. Review and revise internal health and safety policies and procedures to ensure legal compliance with evolving telecom sector regulations. Interpret and validate compliance with state-specific and telecommunications-specific H&S legislation. Develop and deploy action plan to address internal & external audit findings related to various topics (worksite / equipment inspection process and conformity) Participate in deployment and improvement of compliance systems and risks management tools, including contractors management. Monitor compliance to procedures and follow up with stakeholders to improve understanding and compliance to processes and safe working methods. Collaborate with network and operational teams to align safety procedures with industry codes and statutory frameworks. Develop guidance and training materials to communicate compliance requirements to field leadership teams and contractors. Analyze the various applicable standards and provide specific recommendations for protective equipment, develop work tools and techniques to improve efficiency and safety. Perform work accidents data analysis to identify trends and recommend preventive actions to management. Assist and support hazard risk analysis activities and prevention initiatives. Assist, as required, in responding to requests from other business units and participate in special projects or perform other tasks as required. ESSENTIAL SKILLS EDUCATION University degree in Occupational Health and Safety, Law or related discipline, or equivalent combination of education and work experience. PROFESSIONAL EXPERIENCE 5 to 8 years of experience in a health, safety and wellness or legal advisor role. Proven experience conducting legal research and interpreting safety regulations. Experience using legal databases, compliance systems, and risk management tools. Telecom or infrastructure experience, an asset. SKILLS SPECIFIC Knowledge of H&S standards and OSHA regulation, as well as best practices of the industry. Knowledge of Canadian standards and regulation, an asset. Knowledge of French, an asset. Great written communication skills with strong ability to summarize complex information. Precision and legal rigor in safety interpretation. Familiarity of potential risks, equipment and tools present in the telecom industry. Detail-oriented while demonstrating the ability to analyze and identify opportunities for improvement. Interpersonal skills with a positive and professional attitude. Demonstrated autonomy, ability to take initiatives. Ability to work in a fast-paced, dynamic environment. Knowledge of the Google Business Suite, an asset. PHYSICAL DEMANDS AND VISUAL ACUITY none For Cogeco, diversity is an essential asset for the performance of our company. We are committed to providing equal employment opportunities to all competent people, regardless of their differences and personal characteristics. We strive to build teams that reflect the diversity of profiles and experiences of the customers and communities we serve. We are firmly convinced that this sets Cogeco apart from its competitors and contributes to our signature of excellence. Location : Cumberland, MD Company : Breezeline At Cogeco, we know that different backgrounds, perspectives, and beliefs can bring critical value to our business. The strength of this diversity enhances our ability to imagine, innovate, and grow as a company. So, we are committed to doing everything in our power to create a more diverse and inclusive world of belonging. By creating a culture where all our colleagues can bring their best selves to work, we're doing our part to build a more equitable workplace and world. From professional development to personal safety, Cogeco constantly strives to create an environment that welcomes and nurtures all. We make the health and well-being of our colleagues one of our highest priorities, for we know engaged and appreciated employees equate to a better overall experience for our customers. If you need any accommodations to apply or as part of the recruitment process, please contact us confidentially at inclusion@cogeco.com
Posted 3 days ago
Supervisor, Compliance
Hachette Book Group USABoston, MA
Hachette Book Group (HBG), a leading book publisher, is looking for a highly motivated and detail-oriented candidate to help lead our Compliance team as Supervisor, Compliance. The Supervisor, Compliance is responsible for the set up and maintenance of compliance relationships with HBG's retail partners. This includes onboarding new customers, reviewing new requirements for established customers, and assisting with scheduled, proactive reviews of key account websites for updates and new compliance information. The Compliance Department is a proactive team, responsible for representing HBG and our distribution clients with accuracy, integrity and excellent customer service. This position reports to the Compliance Manager and will have a direct report. ESSENTIAL DUTIES AND RESPONSIBILITIES Negotiate sound agreements with retail customers on behalf of HBG and its publishing clients Serve as point of contact for HBG departments, distribution clients (clients), and customers, managing communication of all compliance related information, and assisting in the negotiation of agreements, exemptions, and waivers Lead process improvement projects, training various groups in areas such as new system usage, provide post account launch support, and work with customer web portals Train new hires Assist with creating and maintaining compliance reports and metrics Leads archiving digital and paper documentation in Knowledgebase Other duties as needed KNOWLEDGE, SKILLS AND ABILITIES REQUIRED 3 to 4 years relevant work experience Demonstrated leadership experience Demonstrated communication (written & verbal) and collaboration skills, with the ability to work and communicate effectively with both individuals and groups, at all levels of an organization Friendly and professional demeanor with a positive, customer service oriented attitude Flexibility to handle varying assignments simultaneously, and ability to accommodate shifting priorities Self-starter with a high desire to achieve goals Attention to detail/accuracy in work Excellent analytical and decision-making skills Proven ability to work independently on a project, and see it through to completion Resourcefulness - ability to think creatively to find solutions Desire to effect change and improve processes Vendor Compliance, Customer Management and/or Supply Chain experience (strongly preferred) Familiarity with EDI a plus OFFICE SOFTWARE/SYSTEMS EXPERIENCE Demonstrated expertise in MS Office Suite, particularly Excel Willingness to learn and use unfamiliar technology/systems Zendesk and Syncrofy experience a plus HOW TO APPLY: To be considered, please submit both a resume AND a cover letter. We ask for a cover letter so that we can understand how your skills or experience can apply to our open role. As a leading book publisher, we believe that including and representing diverse voices in all aspects of our business is fundamental to what we do. Our publishing programs must reflect the broad range of backgrounds, experiences, political views and ideas that shape our society and publish books for all readers. Hachette Book Group provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training. The compensation range for this position is $57,000 - $60,000. Salary can vary based on a number of factors including skills, experience, and location - talk with your recruiter to learn more. There may be times that you will be required (or requested) to work overtime due to the nature of your role or exceptional workload issues or special projects. The following benefits are offered by the company: medical, dental, vision, basic and supplemental life, short-term and long-term disability, accidental death and dismemberment, critical illness, hospital indemnity, long-term care, health and dependent care FSA, commuter benefit plan, employee assistance program, tuition reimbursement, travel assistance, 401(k), discretionary bonus program, PTO (15 vacation days, 3 personal days, 10 holidays and generous sick leave) and group discounts on auto and home insurance and legal services. Eligibility requirements apply to some benefits and may depend on your job classification, hours worked and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms.
Posted 2 weeks ago
Compliance Specialist
Werner Enterprises IncOmaha, NE
ESSENTIAL JOB FUNCTIONS The job functions listed below represent the essential job duties and responsibilities of the above listed position. Provide customer service to drivers calling in and in person with questions regarding compliance to their hours of service. Identify the drivers needs and provide immediate feedback. Ability to communicate any problems to our driver associates and provide feedback and resolution. Research drivers requests to make log corrections through the computer system. Verify validity through the computer system and update accordingly. Respond back to driver on all researched corrections whether valid or not. Work various audit reports by using the computer system screens. Using the reports, research for violations of the hours-of-service regulations and determine disciplinary action. Handle audit calls and carry out disciplinary action. In addition, ensure the computer is updated with the proper information. Monitor drivers with in-cab device communication issues and ensure timely resolution or repair. Review paper logs used during malfunctions for accuracy and violations of the hours-of-service regulations and document any issues discovered. Document various driver incidents and complaint reports as well as any necessary coaching and counseling. Review MVR's that are ran on current drivers to be sure we are DOT legal. Performs other related duties as assigned by supervisory personnel in assisting with additional Hazmat briefings and general hazardous material compliance questions. Locate and view video captured by cameras on Werner equipment (Samsara, Bendix, etc.) of any accident or other Risk event and ensure appropriate length of video is saved with the accident record in our claims administration system. Update Risk systems and personnel as appropriate based on the contents of the video(s). Answer incoming calls from drivers, claimants, and customers pertaining to Liability, WC, and Cargo issues. Project a professional company image through phone interaction. Transfer calls to appropriate staff. Identify, research, and resolve customer internal and external issues using the computer system. General clerical duties including opening mail, building files, ordering police reports, electronic file attachment and typing. Initial claim investigation and triage handling - Enter claim types: Liability BI, PD and WC Units based on repair order bills, damage estimates, and/or vendor bills for resolution of damages. Intake and documentation via telecommunication on nonwork-related driver illness and injuries. Intake and documentation via telecommunication on motorist and internal complaints and coach and counsel. Intake and documentation via telecommunication on CSA violations and citations in AS400 and incident reporting. Perform other related duties as assigned by supervisory personnel. KNOWLEDGE, SKILLS, AND ABILITIES The requirements listed below are representative of the knowledge, skills, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Knowledge of D.O.T. regulations and company requirements, policies, and procedures. Excellent listening skills. Ability to communicate in a courteous and professional manner. Skill in operating a P.C. and various office equipment. Knowledge of AS-400, Microsoft Office and other office database systems. Ability to relate well with Drivers. Skill in operating a multi-line telephone and various office equipment. Ability to meet deadlines. Ability to work well with others and follow direction from adjusters and management. Excellent organizational skills. Excellent interpersonal and communication skills. Excellent customer service skills. EDUCATION AND EXPERIENCE High school Graduate or General Education Degree (GED). Safety Specialist Experience preferred. Maintain any credentials required to perform safety functions. Familiarity with spreadsheet and database information systems preferred. We know benefits are critical and we are committed to offering comprehensive and affordable options for you and your loved ones. This position is eligible for benefits, which include medical, dental and vision plans. We also offer a 401(k) plan, stock purchase plan, paid time off, life insurance, disability plans and other optional supplemental coverage. Werner Enterprises provides equal employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, marital status, genetic information or veteran status or other status protected by law. We encourage applicants of all ages as we do not discriminate on the basis of an applicant's age. By clicking "Submit" you are expressly consenting to our Privacy Policy (available at https://www.werner.com/privacy-policy/ ) and to Werner Enterprises, Inc., its representatives, and affiliates ("Werner") contacting you about your inquiry, and that Werner may collect sensitive information about you to consider your employment as explained further in our Privacy Policy. All information collected will be handled and retained as explained in the Privacy Policy.
Posted 1 day ago
Senior Compliance Officer, Operations
Clark InsuranceNew York, NY
Company: MMC Corporate Description: Marsh McLennan Agency (MMA) is seeking a Senior Compliance Officer, Operations to build out and enhance the infrastructure of a best-in-class compliance program and to provide trusted advice to business colleagues. Please note that there's a 3-day per week in-office requirement for this role. What you can expect: Reporting to MMA's Chief Compliance Officer, you will be responsible for designing and executing on the operational elements of MMA's compliance program. You will build relationships and work closely with Operations teams across MMA's regions and businesses and will provide pragmatic and timely advice to MMA's business colleagues. The Legal, Compliance and Public Affairs (LCPA) department promotes a culture in which ethical, lawful, and risk mindful behavior is encouraged and reinforced. LCPA develops and implements policies and procedures, systems and controls, training and communications, monitoring activities, and management reporting to prevent, detect and respond to violations of law and company policies. We will count on you to: Lead in building out and enhancing policies, systems and processes to support MMA's compliance program and strategic priorities. Ensure MMA's compliance policies are fit for purpose and accessible to all colleagues. Enhance communication channels for MMA colleagues to contact Compliance with inquiries. In partnership with other members of the Compliance team, develop and ensure adherence to schedules for monitoring, training and regulatory filings. Create data-driven dashboards of compliance actions and decisions. Collaborate effectively with Operations teams to implement process changes and promote compliance with applicable law. Work with other functions - including Finance, Controllership, Internal Audit, Tech, Marketing/Communications and HR - to maximize the effectiveness of the compliance program. Manage inquiries received by compliance inboxes and hotlines, and respond to requests or triage as appropriate Provide leadership and strategic direction to colleagues performing operational compliance responsibilities. What you need to have: A bachelor's degree A minimum of 10 years of relevant industry experience. Open to considering individuals with legal, compliance or operational experience. Operational excellence: an ability to keep up with the pace of a fast-moving and rapidly growing business, attention to detail, superb organizational skills, and technological savviness. Are comfortable working in the areas of MMA's offerings - primarily commercial insurance, employee health and benefits, private lines and retirement services. Can address issues involving licensing, surplus lines, professional standards, transparency and disclosure, privacy and data protection, and M&A due diligence and integration, while maintaining a perspective that is both independent of and sensitive to commercial objectives. Have a strong knowledge of laws applicable to MMA in areas such as rebating, referral fees, and surplus lines; trade sanctions; cybersecurity, data protection and privacy; conflicts of interest and services provided to insurers; and third-party risk. What makes you stand out: Personal integrity and sound judgement. The ability to collaborate effectively and the courage to uphold ethical standards, even under pressure. Demonstrable experience leading compliance operations or governance within an organization of a similar size and/or regulatory profile. Proficiency in analyzing and utilizing data sets to create dynamic dashboard reports. Strong project management skills. A track record of working with and advising senior business partners on compliance matters. Demonstrated ability to understand and analyze strategic, commercial and operational issues facing a complex, regulated business, and to work with key stakeholders to arrive at practical solutions within applicable legal and ethical bounds. Exceptional business judgment and strategic thinking capabilities; crisp decision-making skills. Strong emotional intelligence, evidenced by the capacity to listen and develop relationships of trust. Why join our team: We help you be your best through professional development opportunities, interesting work, and supportive leaders. We foster a vibrant and inclusive culture where you can work with talented colleagues to create new solutions and have impact for colleagues, clients, and communities. Our scale enables us to provide a range of career opportunities, as well as benefits and rewards to enhance your well-being. Marsh McLennan (NYSE: MMC) is a global leader in risk, strategy and people, advising clients in 130 countries across four businesses: Marsh, Guy Carpenter, Mercer and Oliver Wyman. With annual revenue of $24 billion and more than 90,000 colleagues, Marsh McLennan helps build the confidence to thrive through the power of perspective. For more information, visit marshmclennan.com, or follow on LinkedIn and X. Marsh McLennan is committed to embracing a diverse, inclusive and flexible work environment. We aim to attract and retain the best people and embrace diversity of age background, disability, ethnic origin, family duties, gender orientation or expression, marital status, nationality, parental status, personal or social status, political affiliation, race, religion and beliefs, sex/gender, sexual orientation or expression, skin color, veteran status (including protected veterans), or any other characteristic protected by applicable law. If you have a need that requires accommodation, please let us know by contacting reasonableaccommodations@mmc.com. Marsh McLennan is committed to hybrid work, which includes the flexibility of working remotely and the collaboration, connections and professional development benefits of working together in the office. All Marsh McLennan colleagues are expected to be in their local office or working onsite with clients at least three days per week. Office-based teams will identify at least one "anchor day" per week on which their full team will be together in person. The applicable base salary range for this role is $116,600 to $233,300. The base pay offered will be determined on factors such as experience, skills, training, location, certifications, education, and any applicable minimum wage requirements. Decisions will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives. We are excited to offer a competitive total rewards package which includes health and welfare benefits, tuition assistance, 401K savings and other retirement programs as well as employee assistance programs.
Posted 2 weeks ago
Compliance Spec Electrical Engineer -Assoc-Staff
El Paso Electric CoEl Paso, TX
COMPANY OVERVIEW: El Paso Electric (EPE) is a regional energy provider that is engaged in generation, transmission, and distribution service to power approximately 460,000 customers in a 10,000-square mile area of the Rio Grande Valley in west Texas and southern New Mexico. We invite you to visit epelectric.com to learn more about EPE and our strategic initiatives. Join our EPE Team, and TOGETHER, we will transform the energy landscape. DATE POSTED: 06/11/25 CLOSING DATE: 06/18/25 GRADE LEVEL: 52-53 DEPARTMENT: RELIABILITY COMPLIANCE STARTING SALARY: $68,700 - $106,000 Salary is commensurate with experience. JOB FAMILY SUMMARY PURPOSE: The Compliance Specialist will be responsible for ensuring that our organization adheres to the standards set forth by the North American Electric Reliability Corporation (NERC). This role requires a deep understanding of electrical engineering principles, electric utility operations, regulatory requirements, and compliance processes. EDUCATION: Bachelor's degree in Electrical Engineering, Power Engineering or related degree preferred; or related combination of education, training and experience. *Advanced degree, preferred but not required. NERC Certification, preferred but not required. EXPERIENCE: 3 - 10 years in electric utility industry (or equivalent education) or other industry that is subject to standards development and adherence to work processes The ideal candidate will have: Electrical Engineering knowledge and skills to provide Operations and Planning (O&P) business units audit services and consulting associated with compliance and operational practices. Industry knowledge relative to internal control frameworks, standards, best practices, reliability and trust models and guidelines supporting O&P practices. Knowledge of internal control competencies relative to O&P applications and emerging practices and technologies. Ability to execute and sustain O&P related audits, internal controls, and procedures, including business process mapping and control identification. Ability to developing technical audit plans, documenting work papers, providing proper documentation of audit steps performed, gathering evidence and ensuring audit issues are well defined and root causes are identified. Ability to make audit conclusions; generating technical recommendations for process improvements; preparing technical written reports and written/oral presentations; supervises conduct of selected projects, provides onsite technical and administrative direction/training, and packaging audit information for review. Ability to manage compliance catalog in a software environment by tracking subject matter expert's (SME) assigned tasks, performance due dates and documentation to maintain compliance posture. MINIMUM KNOWLEDGE, SKILLS & ABILITIES: Collaborate with engineering and operations teams to develop and implement compliance programs. Analyze and interpret NERC standards and guidance, providing clarity to technical teams. Able to provide training and support to staff on compliance-related matters. Propensity to participate in the electric utility industry activities that are subject to NERC standards development and adherence to regulatory mandates. Experience/education and training in the electronic management and development of procedures, work plans, technical documents and training materials. Experience/education and training in research and analyzing complex technical data, performing self-audits, audit plans, compliance activities, change assessments, and developing mitigation plans. Knowledge of auditing principles and procedures, and project management. Ability to be client-focused, including being responsive and understanding customer knowledge gaps to develop needed training. Knowledge of GRC (governance, risk, and compliance) systems to continuously monitor compliance activities, operational controls, exceptions, risks, document life cycles, and performance testing to develop reporting metrics, dashboards, and evidence artifacts. Ability to recommend changes and modifications to programs, policies, and procedures to ensure compliance with all applicable reliability standards. Ability to effectively manage several concurrent projects and tasks. Proficient with Microsoft Office Suite software applications. Effective verbal and written communication skills while conducting work in a professional manner. Ability to maintain effective working relationships with officers, managers, fellow employees, and the general public. Ability to maintain a strong sense of propriety concerning confidential matters. ESSENTIAL JOB FUNCTIONS: Support applicable business units within EPE in identifying, assessing, managing, and reporting compliance with the NERC standards. Analyze large amounts of technical data and structure information for the purposes of clearly documenting, determining, and demonstrating compliance with applicable requirements. Participates in and remains current in NERC, WECC and industry trade group's standards development, discussions, experience panels, and balloting processes. Monitor changes in NERC regulations and assess their impact on our operations. Participates in training business units on all reliability standards and EPE compliance tools such as compliance tracking software and electronic document database. Preparing for, coordinate and participates in EPE's audit response teams for both FERC and NERC audits of EPE's NERC internal compliance program and associated evidence. Manages assigned requirements' compliance activities through applicable software by leveraging metrics and dashboards to maintain a strong culture of compliance. Communicate technical knowledge and practical compliance advice to a broad audience, including management, various business unit personnel, and leadership to maintain and/or mitigate compliance. Participate in NERC audits, mock audits, operational tabletop or live exercises, and actual events and emergencies to ensure compliance. Prepare and submit compliance reports to regulatory bodies and internal stakeholders. Evaluate, track, and determine compliance of EPE documentation and performance data and develop reports on compliance progress. Perform self-assessments on EPE's compliance processes and procedures. Recommend appropriate solutions to address gaps in compliance related materials. Provides compliance recommendations on disaster recovery plans, incident response plans, coordinates and participates in exercises, and actual events. Work closely with cross-functional teams, consultants, engineering, power plant, market operations, legal, and construction, to integrate and resolve NERC compliance considerations into strategic planning, project development, training, and operational processes. Develops compliance materials for all affected business units to include writing of policy and procedures; evidence collection and documentation processes; implementation and continuous improvement of compliance procedures and evidence collection. Maintain a valid driver's license and remain in compliance with the Company's Driving Program policy. Complies with all applicable Company policies, procedures and code of ethics as well as all applicable governmental laws and regulations to include employment, safety and environmental standards and regulations. If interested in applying for this position, you must apply on-line by 5:00 PM, June 18, 2025. (Please scroll back up to the "Apply Now" button
Posted 5 days ago
Sr. Compliance Consultant
Integrity Marketing GroupUrbandale, IA
Job Title: Sr. Compliance Consultant Business Unit: WealthFirm Location: Norfolk, NE About Retirement Plan Consultants Retirement Plan Consultants, a partner with Integrity Marketing Group, has been in Downtown Norfolk, Nebraska since 2008. Our office services over 1,800 plans and 17,500 participants for companies across the United States. We are focused on providing a customized plan to assist participants on their way to retirement and in doing so, have established an outstanding reputation for quality service. We believe in the growth of our employees and provide opportunity for advancement by providing the training and education needed to be successful. Retirement Plan Consultants offers big-city careers while encouraging community engagement and work/life balance. We are looking for individuals who fit our workplace culture and take pride in having a "service personality" with expert knowledge. Job Summary The Sr. Compliance Consultant is the dedicated contact for a high-profile group of clients and is responsible for guiding each client in maintaining compliance with IRS/DOL rules as it relates their retirement plan. This individual is the face of RPC to the client and must build and foster these pre-existing client relationships. We pride ourselves on exceptional customer service and want the Compliance Consultant to showcase this in each client interaction. This role requires a thorough understanding of IRS/DOL rules, but also the ability to clearly explain these rules to the client in simple terms. The Sr Compliance Consultant role involves more expertise, autonomy, leadership responsibilities, and client management. Primary Responsibilities: Dedicated Contact for assigned group of clients (Typically 80-100 High Profile Plans) Assist the client in ensuring the plan is meeting all retirement plan qualification guidelines Train and mentor junior administrators. Recommend changes to plan design or operation as needed Review and approve participant requests for your assigned clients Lead complex plan administration, including designing custom solutions for unique client needs. Oversee annual compliance, nondiscrimination testing, and plan audits, ensuring accuracy and timeliness. Preparation & Filing of Annual IRS Required Forms Prepare Formal Plan Documents & Amendments Perform reviews of testing and IRS filings prepared by associate level staff. Primary Skills & Requirements: 8+ Years of Experience in industry specific Compliance Consultant related work. ASPPA QKA Certification Proficiency in Ftwilliams and FIS Relius software Computer & Technical Literacy (Microsoft Office Suite) Exceptional Communication Skills (Written & Verbal) Accountable & Self-Sufficient Ability to Adhere to Deadlines Desire to Provide Extraordinary Customer Service About Integrity Integrity is one of the nation's leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead. Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you'll love, and we'll love you back. We're proud of the work we do and the culture we've built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind. Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are - in person, over the phone or online. Integrity's employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com. Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.
Posted 3 weeks ago
Jr. Compliance Analyst (12-Month Contract)
FilevineSalt Lake City, UT
Filevine is forging the future of legal work with cloud-based workflow tools. We have a reputation for intuitive, streamlined technology that helps professionals manage their organization and serve their clients better. We're also known for our team of extraordinary and passionate professionals who love working together to help organizations thrive. Our success has catapulted Filevine to the forefront of our field-we are ranked as one of the most innovative and fastest-growing technology companies in the country by both Deloitte and Inc. Our Mission Filevine is building the seamless intersection between legal and business by creating a world- class platform to help professionals scale. About Filevine Filevine is forging the future of legal work with cloud-based workflow tools. We have a reputation for intuitive, streamlined technology that helps professionals manage their organization and serve their clients better. We're also known for our team of extraordinary and passionate professionals who love working together to help organizations thrive. Our success has catapulted Filevine to the forefront of our field-we are ranked as one of the most innovative and fastest-growing technology companies in the country by both Deloitte and Inc. Department Statement The IT Audit team is responsible for performing timely audits and ensuring compliance and risk assessment efforts are aligned with industry standards and best practices. Filevine is looking for a High Security Compliance Analyst to join our Information Security team to ensure that our platform, applications, and infrastructure are compliant and secured at the highest levels thus protecting and enhancing customer trust. If you are bright, hardworking, ambitious, and enjoy taking ownership of security and compliance, we want to talk to you. This is an exciting opportunity to join a world-class team. Responsibilities: Manage CJIS obligations, including monthly and yearly audits, clearances for employees, and associated CJIS efforts Assist with Federal and international government security audits (e.g. FedRAMP, StateRAMP, Canadian government compliance obligations Strategize and outline goals and objectives of the GRC (IT Audit and Risk management) programs. Assist with security efforts to meet HIPAA, SOC 2 Type I & II, and other compliance requirements. Work directly with Information Security, Legal, HR, Compliance and Development teams to ensure secure IT and IS best practices are fully adopted at Filevine. Help train employees on auditing secure coding techniques to mitigate the need for break-fix/out-of-band patching. Review audit, compliance and risk assessment issues that arise and manage them to resolution. Provide audit frameworks and risk assessment methodologies contemplating new software solutions to help mitigate security vulnerabilities and other business risks. Maintain documented Policy and Procedure libraries for compliance purposes. Complete Third-party vendor risk management and security questionnaires for Filevine. Provided annual Internal audit and risk assessment functions. Facilitate and lead annual penetration testing and auditing efforts. Develop a familiarity with new auditing and risk assessment tools and techniques. Qualifications: Bachelor's Degree or equivalent in Computer Science, Computer Engineering, Information Technology, or related field 2+ years of experience in IT Auditing, Compliance Analyst and/or direct experience related to risk assessment methodologies. Proven work experience as IT Audit & Risk Assessor with a passion for details and security. Familiarity with auditing and assessing the OWASP Top 10. Experience with managing risks, fraud, and security threats. Knowledge of web related technologies (Web applications, Web Services and Service Oriented Architectures, Web Databases) and of network/web related protocols. Experience assessing, testing, or auditing technical IT and security controls. Working knowledge of and demonstrated experience with ISO 27701, ISO 27018, ISO 27001 Experience with FedRAMP is preferred, as well as SOC II Type I & II, HIPAA Security Rule, CJIS, GDPR, CCPA/CPRA and other compliance frameworks. Demonstrated knowledge of assessing development methodologies (Agile, Waterfall). Ability to work in a fast-paced environment. Must exhibit excellence in partnering, teamwork, and quality performance. Able to effectively give, receive, and respond to feedback. Excellent oral and written communication skills with the ability to communicate security concepts to a technical and non-technical audience including senior management. Demonstrated ability to establish relationships and build rapport to influence colleagues at all levels, uncover issues, and identify needs. Preferred Qualifications: Experience with auditing frameworks, formal audits, and risk assessment experience. Experience with automated auditing and compliance tools. GRC tool Certification or equivalent experience. CISSP Certification or equivalent experience. CISM Certification or equivalent experience. CISA Certification or equivalent experience. CIPP/US Certification or equivalent experience. CRISC Certification or equivalent experience. Filevine is an Equal Opportunity Employer. Qualifications for employment, promotion and other terms and conditions of employment are based upon the ability to perform the job. Equal-employment opportunities are provided to all applicants and employees without regard to race, creed, religion, color, age, national origin, sex, disability, veteran status, or other legally protected class. Filevine is committed to providing reasonable accommodations for qualified individuals with disabilities. If you need assistance or accommodation due to disability, or if you have concerns related to Filevine's equal employment opportunities, you may contact us at legal@filevine.com Cool Company Benefits: A dynamic, rapidly growing company, focused on helping organizations thrive Medical, Dental, & Vision Insurance (for full-time employees) Competitive & Fair Pay Maternity & paternity leave (for full-time employees) Short & long-term disability Opportunity to learn from a dedicated leadership team Centrally located open office building in Sugar House Top-of-the-line company swag Privacy Policy Notice Filevine will handle your personal information according to what's outlined in our Privacy Policy.
Posted 30+ days ago
Senior People (Hr) Compliance Manager
OpenAISan Francisco, CA
About the Team OpenAI's People team is committed to hiring, engaging, and supporting world-class talent to help safely build and deploy universally beneficial Artificial General Intelligence (AGI). The Global Employee Relations, Employment Investigations, and People Standards team brings together expertise in employee relations, workplace investigations, and people policy and compliance. We play a critical role in shaping how OpenAI supports its people through complexity, growth, and change. Our team guides and supports the company through some of its most nuanced and high-impact people challenges. We operate with deep context and care, balancing trust, judgment, and creativity in every situation. We don't default to predefined frameworks. Instead, we take a principled yet flexible approach, designing thoughtful, tailored solutions that reflect our values, the needs of our employees, and the unique pace of OpenAI. About the Role We're seeking a Senior People Compliance Manager to support the design, execution, and continuous improvement of OpenAI's global People compliance programs. Reporting to the Head of People Standards & Compliance, this role will lead cross-functional initiatives, analyze policy and regulatory impacts, and help operationalize people processes that meet evolving legal requirements and internal standards and align with OpenAI's goals and values. This is a highly collaborative and detail-oriented position that will work closely with Legal, People, Finance, and other internal teams to ensure our programs are effective, auditable, and scalable. Your Responsibilities: Lead and manage project plans for global People compliance initiatives, coordinating timelines, resources, and execution across stakeholders. Analyze current and upcoming employment laws (e.g., FLSA, ADA, FMLA, GDPR) to assess impact on policies and processes; support in drafting updates or new policies as needed. Support People risk assessments, audits, and internal reviews; identify gaps and help implement mitigation strategies. Create and maintain documentation frameworks and matrices that ensure our policies and practices are compliant, accessible, and consistently applied across regions. Partner cross-functionally with Legal, Global Mobility, Internal Audit, Recruiting and other teams to ensure operational compliance related to employee records, immigration, classification, and global expansion. Build and track key compliance and audit metrics, prepare dashboards and reporting for leadership visibility, and make data-informed recommendations. Contribute to the development and rollout of employee training materials and process documentation that support compliance awareness and adherence and track administration of such training. Support periodic program reviews and audits to assess effectiveness and identify areas for improvements to further promote a culture of compliance. Assist in the coordination of external audits, regulatory reviews, or legal requests related to People practices and records and support mandatory government filings. Maintain strong knowledge of relevant global employment legislation, staying current on new developments and contributing to scenario planning and risk preparedness. Experience with executing against global compliance goals and supporting office global expansion strongly preferred. Strategic thinker with a proactive and pragmatic approach to addressing compliance issues. We're Seeking: 6-8+ years of experience in program management, compliance, People operations, or risk/audit functions-preferably in fast-scaling, global environments. Deep familiarity with U.S. and international employment law concepts and People compliance practices. Experience coordinating multi-stakeholder programs with legal, People Team, or operational complexity. Proven ability to manage documentation, audit trails, and operational rigor in a dynamic environment. Highly organized with a strong attention to detail and ability to independently manage multiple priorities. Analytical mindset with experience building reports, metrics, or dashboards to track performance and risk. Strong written communication skills, particularly for policies, project summaries, and audit documentation. A calm, discreet, and ethical approach to sensitive data and interpersonal dynamics. Workplace & Location This role is based in our San Francisco office and we aren't considering remote applications. We offer relocation support to new employees, and we use a hybrid work model: three days in the office per week with optional work from home on Thursdays and Fridays. Our open-plan offices have height-adjustable desks, conference rooms, phone booths, well-stocked kitchens full of snacks and drinks, three in-house prepared meals daily, a private outdoor space for working in the sun or socializing, nap rooms, private bike storage, and more. About OpenAI OpenAI is an AI research and deployment company dedicated to ensuring that general-purpose artificial intelligence benefits all of humanity. We push the boundaries of the capabilities of AI systems and seek to safely deploy them to the world through our products. AI is an extremely powerful tool that must be created with safety and human needs at its core, and to achieve our mission, we must encompass and value the many different perspectives, voices, and experiences that form the full spectrum of humanity. We are an equal opportunity employer, and we do not discriminate on the basis of race, religion, color, national origin, sex, sexual orientation, age, veteran status, disability, genetic information, or other applicable legally protected characteristic. For additional information, please see OpenAI's Affirmative Action and Equal Employment Opportunity Policy Statement. Qualified applicants with arrest or conviction records will be considered for employment in accordance with applicable law, including the San Francisco Fair Chance Ordinance, the Los Angeles County Fair Chance Ordinance for Employers, and the California Fair Chance Act. For unincorporated Los Angeles County workers: we reasonably believe that criminal history may have a direct, adverse and negative relationship with the following job duties, potentially resulting in the withdrawal of a conditional offer of employment: protect computer hardware entrusted to you from theft, loss or damage; return all computer hardware in your possession (including the data contained therein) upon termination of employment or end of assignment; and maintain the confidentiality of proprietary, confidential, and non-public information. In addition, job duties require access to secure and protected information technology systems and related data security obligations. We are committed to providing reasonable accommodations to applicants with disabilities, and requests can be made via this link. OpenAI Global Applicant Privacy Policy At OpenAI, we believe artificial intelligence has the potential to help people solve immense global challenges, and we want the upside of AI to be widely shared. Join us in shaping the future of technology.
Posted 1 week ago
Sr Director, Legal - Ethics & Compliance
Equinix, Inc.Denver, CO
Who are we? Equinix is the world's digital infrastructure company, operating over 260 data centers across the globe. Digital leaders harness Equinix's trusted platform to bring together and interconnect foundational infrastructure at software speed. Equinix enables organizations to access all the right places, partners and possibilities to scale with agility, speed the launch of digital services, deliver world-class experiences and multiply their value, while supporting their sustainability goals. A career at Equinix means you will collaborate on work that impacts the world and be surrounded by endless opportunities to learn new skills and grow in varied directions. We embrace diversity in thought and contribution and are committed to providing an equitable work environment that is foundational to our core values as a company and is vital to our success. Job Summary You will serve as the global leader specializing in Ethics & Compliance reporting to the VP, Risk and Compliance Officer. You will be the leader of our Ethics & Compliance work and team. This is a key leadership role responsible for developing, implementing, and maintaining an effective ethics and compliance program that aligns with the company's core values, legal obligations and strategic goals. The Senior Director, Legal - Ethics & Compliance will work to foster a culture of integrity and ethical decision-making across the organization, ensuring compliance with laws, regulations, and internal policies in the increasingly regulated environment of the data center industry. Responsibilities Ethics and Compliance Strategy Compliance Strategy: Design, develop and implement a comprehensive compliance strategy that is risk based, proportionate, and aligned with the organization's goals and objectives. This includes establishing policies, procedures and controls to ensure compliance with applicable laws, regulations and industry standard Staying current: Stay up to date with relevant laws, regulations, and industry best practices to ensure the organization's compliance, particularly as the organization extends its presence in high-risk jurisdictions. Monitor changes in the ethics and compliance regulatory landscape and assess their impact on the organization's operations Risk Assessment: Conduct regular risk assessments in partnership with our Risk team to identify potential compliance risks and develop strategies to mitigate them. This may involve evaluating internal processes, conducting audits, and implementing risk management frameworks. Evaluate risk-tailored resource allocations and make recommendations based on assessments Lessons learned: Create and maintain a process for tracking and incorporating lessons learned from risk assessment and prior issues, including from other companies operating in the same industry/region into compliance strategy Responsibility for Operational Integration Develop and enforce policies addressing ethical conduct, conflicts of interest, whistleblowing, anti-bribery, and corruption. Where required develop versions of the policies for specific jurisdictions or business lines Responsible for integrating policies and procedures and ensuring employees' understanding of the policies Evaluate how compliance policies and procedures are reinforced through internal controls, working with other relevant functions Training key gatekeepers in the control processes to identify and escalate concerns Build Culture and Trust Champion an ethical culture across the organization by developing and leading training programs on ethics, compliance, and integrity and by being a visible advocate for integrity and good corporate citizenship Serve as a trusted advisor to the Executive Team and Board of Directors on ethical practices, compliance matters, and emerging regulatory trends Provide guidance and support to employees on ethical decision-making and encourage a strong compliance mindset throughout the organization. Encourage open dialogue and accountability at all levels of the organization through clear communication and accessible reporting mechanisms Foster "open door" atmosphere across organization to ensure that concerns and issues come to the attention of the ethics and compliance organization Ethical Risk Management Identify and assess ethics-related risks in business activities in partnership with the Risk team, including supply chain operations, third-party relationships, and customer engagements. Promote and uphold the company's core values and ethical standards in all business operations Violations & Investigations Evaluate effectiveness of reporting mechanisms, including employee awareness of reporting methods Responsible for developing processes for evaluating complaints and reports and performing investigations. Instruct and work with internal investigations team to ensure that investigations are properly evaluated, scoped, and documented for compliance purposes Work closely with Litigation and Investigations teams when outside investigations are required Monitoring and Reporting Oversee compliance audits and monitoring activities to evaluate the effectiveness of the ethics and compliance program Report on program effectiveness, key findings, and risk mitigation efforts to the Board of Directors and executive leadership Ensure accurate and timely disclosures to regulatory authorities and stakeholders Leadership and Collaboration Lead and develop a team of compliance and ethics professionals, fostering a high-performance culture Collaborate with cross-functional teams, including Legal, Human Resources, IT, and Operations, to integrate ethical standards and compliance measures into all business processes Create a collaborative, transparent and entrepreneurial culture, in partnership with corporate leadership Motivate employees around a shared vision and effectively manage change Qualifications 10+ years legal experience in a relevant practice area(s) Deep knowledge of ethics and compliance standards, anti-bribery laws and sanctions Strong leadership, problem-solving, and decision-making skills Exceptional interpersonal and communication skills to effectively engage with stakeholders at all levels Demonstrated ability to think broadly about risk, not only from a compliance perspective Experience executing against global compliance goals and objectives Experience building and/or operating an Ethics & Compliance program at a global company, including developing markets Executive presence with the ability to influence cross-functional executives High business acumen around multiple legal disciplines Adept at balancing short-term pressures with long-term goals Ability to inspire behavior change and motivate teams Strategy and planning experience with the ability to designate priorities and be decisive when faced with ambiguity Execution and results driven Establish high performance standards, goal setting, and following through with plans while holding teams accountable for results Speaking a language in addition to English is a plus Certifications Bachelor's Degree and Juris Doctorate from an accredited law school or another degree with significant experience in the areas set forth above Relevant certifications (e.g., Certified Compliance & Ethics Professional, Certified Fraud Examiner) are highly desirable The United States targeted pay range for this position in the following location is / locations are: San Francisco Bay Area: $270,000 to $350,000 per year Colorado: $250,000 to $320,000 per year Our pay ranges reflect the minimum and maximum target for new hire pay for the full-time position determined by role, level, and location. Individual pay is based on additional factors including job-related skills, experience, and relevant education and/or training. This position may be offered in other locations. Your recruiter can share more about the specific pay range for your preferred location during the hiring process. The targeted pay range listed reflects the base pay only and does not include bonus, equity, or benefits. Employees are eligible for bonus, and equity may be offered depending on the position. Equinix is committed to ensuring that our employment process is open to all individuals, including those with a disability. If you are a qualified candidate and need assistance or an accommodation, please let us know by completing this form. Equinix is an Equal Employment Opportunity and, in the U.S., an Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to unlawful consideration of race, color, religion, creed, national or ethnic origin, ancestry, place of birth, citizenship, sex, pregnancy / childbirth or related medical conditions, sexual orientation, gender identity or expression, marital or domestic partnership status, age, veteran or military status, physical or mental disability, medical condition, genetic information, political / organizational affiliation, status as a victim or family member of a victim of crime or abuse, or any other status protected by applicable law.
Posted 3 weeks ago
Manager, Legal And Compliance
GartnerStamford, CT
About the role: We are seeking a highly organized and detail-oriented Corporate Paralegal to join our legal team. The successful candidate will play a crucial role in supporting our Board of Directors, managing corporate governance matters, and ensuring compliance with NYSE and SEC regulations. This position requires a proactive individual with excellent communication skills and a strong understanding of corporate legal processes. What you'll do: Corporate Governance Matters: Prepare drafts of Board and Committee agendas, presentations, minutes and other materials. Assist in managing Board and Committee materials on shared site. Collaborate with the Compensation and Benefits team on executive compensation matters as needed. Assist with Institutional Shareholder Services (ISS) and corporate responsibility requests NYSE/SEC Compliance: Support corporate attorneys in securities law compliance matters, including Form 10-K, Form 10-Q, proxy statement, and Form 8-K, as well as Section 16 filings. Facilitate the preparation and coordination of the Annual Meeting of Stockholders. Support the preparation of Directors and Officers (D&O) questionnaires. Prepare NYSE filings. Additional Support: Support Mergers & Acquisitions (M&A) and corporate finance transactions. Perform notary functions as required. Assist with special projects as assigned. What you'll need: Bachelor's degree in paralegal studies or related field OR Paralegal certification (preferred). Minimum of 8 years of experience as a corporate paralegal for a major multinational corporation, or as a paralegal in a major law firm, with emphasis on corporate paralegal work and supporting public companies. CT notary OR TX notary (preferred). Occasional travel may be required. Understanding of corporate governance, SEC regulations, and other public company matters. Excellent written and verbal communication skills. Ability to manage multiple tasks and prioritize effectively. Detail-oriented with strong organizational and excellent time management skills. Dependable team player who works collaboratively and cooperatively with others in a team-oriented environment. Ability to work independently, take initiative, assume responsibility, and own accountability for success. #LI-TR3 #LI-Hybrid Who are we? At Gartner, Inc. (NYSE:IT), we guide the leaders who shape the world. Our mission relies on expert analysis and bold ideas to deliver actionable, objective insight, helping enterprise leaders and their teams succeed with their mission-critical priorities. Since our founding in 1979, we've grown to more than 21,000 associates globally who support ~14,000 client enterprises in ~90 countries and territories. We do important, interesting and substantive work that matters. That's why we hire associates with the intellectual curiosity, energy and drive to want to make a difference. The bar is unapologetically high. So is the impact you can have here. What makes Gartner a great place to work? Our sustained success creates limitless opportunities for you to grow professionally and flourish personally. We have a vast, virtually untapped market potential ahead of us, providing you with an exciting trajectory long into the future. How far you go is driven by your passion and performance. We hire remarkable people who collaborate and win as a team. Together, our singular, unifying goal is to deliver results for our clients. Our teams are inclusive and composed of individuals from different geographies, cultures, religions, ethnicities, races, genders, sexual orientations, abilities and generations. We invest in great leaders who bring out the best in you and the company, enabling us to multiply our impact and results. This is why, year after year, we are recognized worldwide as a great place to work. What do we offer? Gartner offers world-class benefits, highly competitive compensation and disproportionate rewards for top performers. In our hybrid work environment, we provide the flexibility and support for you to thrive - working virtually when it's productive to do so and getting together with colleagues in a vibrant community that is purposeful, engaging and inspiring. Ready to grow your career with Gartner? Join us. Gartner believes in fair and equitable pay. A reasonable estimate of the base salary range for this role is 84,000 USD - 116,000 USD. Please note that actual salaries may vary within the range, or be above or below the range, based on factors including, but not limited to, education, training, experience, professional achievement, business need, and location. In addition to base salary, employees will participate in either an annual bonus plan based on company and individual performance, or a role-based, uncapped sales incentive plan. Our talent acquisition team will provide the specific opportunity on our bonus or incentive programs to eligible candidates. We also offer market leading benefit programs including generous PTO, a 401k match up to $7,200 per year, the opportunity to purchase company stock at a discount, and more. The policy of Gartner is to provide equal employment opportunities to all applicants and employees without regard to race, color, creed, religion, sex, sexual orientation, gender identity, marital status, citizenship status, age, national origin, ancestry, disability, veteran status, or any other legally protected status and to seek to advance the principles of equal employment opportunity. Gartner is committed to being an Equal Opportunity Employer and offers opportunities to all job seekers, including job seekers with disabilities. If you are a qualified individual with a disability or a disabled veteran, you may request a reasonable accommodation if you are unable or limited in your ability to use or access the Company's career webpage as a result of your disability. You may request reasonable accommodations by calling Human Resources at +1 (203) 964-0096 or by sending an email to ApplicantAccommodations@gartner.com. Job Requisition ID:100578 By submitting your information and application, you confirm that you have read and agree to the country or regional recruitment notice linked below applicable to your place of residence. Gartner Applicant Privacy Link: https://jobs.gartner.com/applicant-privacy-policy For efficient navigation through the application, please only use the back button within the application, not the back arrow within your browser.
Posted 2 weeks ago
License Compliance Specialist
Bureau Of National AffairsArlington, VA
This role will serve as a contributor for data collection and analysis around license/product compliance issues. Further, this role will actively conduct outreach to internal stakeholders and collaborators regarding ongoing investigations. The role will work with the team to execute appropriate monitoring and compliance processes, providing regular updates to compliance managers. Primary Responsibilities: Act in a support capacity for data collection and analysis around INDG Product/License Compliance. Adapt current investigation strategies to accommodate additional products and compliance areas. Collaborate across Bloomberg INDG units (e.g., Sales, Legal, Business Units, and Finance) to gather data and share information with various stakeholders. Interpret and advise on data related to product usage and potential license violations. Acquire status reports from ongoing investigations and manage the intake and upkeep of compliance cases. Assist with the collection and presentation of compliance findings for sales partners. Coordinate, schedule, support and/or lead meetings between license compliance, clients, sales, and other stakeholders as required. Independently evaluate complex data sets, maintain analytics for all Product/License Compliance issues and share key insights with stakeholders. Continuously review current processes and make recommendations for improving operational effectiveness and efficiency. Help with other areas as assigned, including compliance related matters and policy-based research. Education and Experience: Bachelor's Degree in Business, Accounting, Finance, Economics, or equivalent experience. Demonstrated experience or knowledge in one of the following areas: License Compliance; Contracts Administration; Sales/Customer Support; Pricing and License Administration; Compliance; Risk Management; data collection/analysis; operational process improvement or project management (including lean six sigma or agile development). Demonstrated experience with excel and CRM/Project Management tools (JIRA, Salesforce, Tableau, SAP, and/or Confluence). Equal Opportunity Bloomberg Industry Group maintains a continuing policy of non-discrimination in employment. It is Bloomberg Industry Group's policy to provide equal opportunity and access for all persons, and the Company is committed to attracting, retaining, developing, and promoting the most qualified individuals without regard to age, ancestry, color, gender identity or expression, genetic predisposition or carrier status, marital status, national or ethnic origin, race, religion or belief, sex, sexual orientation, sexual and other reproductive health decisions, parental or caring status, physical or mental disability, pregnancy or maternity/parental leave, protected veteran status, status as a victim of domestic violence, or any other classification protected by applicable law ("Protected Characteristic"). Bloomberg prohibits treating applicants or employees less favorably in connection with the terms and conditions of employment, in all phases of the employment process, because of one or more Protected Characteristics ("Discrimination").
Posted 30+ days ago
Compliance Manager
Ameriprise FinancialCharlotte, NC
We are searching for a Compliance Manager/Officer within the General Counsel's Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals who will support the Field Office Inspections department through conducting required Branch Office and Office of Supervisory Jurisdiction inspections, including Ameriprise Advisor Center, Centralized Supervision Unit and other applicable locations as determined by the Firm. You will work in a collaborative culture where you will interact with a diverse set of business partners. Come and demonstrate your flexible, creative, and detailed oriented skills. Ameriprise is an organization that is committed to diversity and inclusion that supports work-life balance, structured mentoring, and career progression! Are you ready to get started and continue growing your career? Come apply today! Key Responsibilities Complete independent research and analyze various information and reports prior to, and during an exam, to identify potentially problematic behavior, violations, red flags, trends and potential areas of risk. Conduct initial interviews and exit interviews with Registered Principals, advisors, and staff. Review and report on the effectiveness of field compliance supervision, including identification of potential advisor sales practice violations. Provide education to field members relating to subject matter which include, but are not limited to, recommending action steps to improve compliance supervisory tasks based on company and regulatory policy and procedure, hot regulatory topics, firm trends, best practices, etc. Escalate issues as appropriate related to Registered Principal supervisory practices and/or advisor practices. Write, deliver, and follow up with RPs on Commitment to Action plans for the resolution of identified findings. Communicate and discuss results to all levels of field leadership and serve as a point of contact for inspections. Maintain current knowledge of industry and firm practices, developments, and risks. Partner with leadership and reach out to other teams (within and outside of compliance) to identify/understand risks, share results, escalate issues, and clarify policies and procedures. Work with other examiners when appropriate to ensure consistency of process. Identify process and procedure improvement opportunities and work collaboratively with colleagues/leadership to implement effective solutions. Engage in day-to-day operations of the Field Office Inspection team and/or department wide projects/initiatives. Required Qualifications Bachelor's Degree or equivalent. 5+ years of relevant work experience. Knowledge of FINRA, SEC and other regulatory rules/requirements. Knowledge of risks pertinent to industry and firm, and ability to strategically focus branch office/OSJ exams depending on relevant risks. Excellent analytical skills, including the ability to evaluate a broad scope of data to define potential risks. Demonstrated investigative skills, including the ability to follow an instinct while retaining an overall objective viewpoint. Demonstrated ability to interview various levels of leadership. Demonstrated ability to formulate practical solutions to technical issues. Excellent organization skills, ability to manage multiple priorities, ability to meet time sensitive deadlines. Demonstrated leadership competency, including the ability to build relationships and collaborate with other groups in the corporate office as well as the field. Excellent communication skills, both written and verbal. Proven ability to communicate with employees at all levels of the firm. Ability to tactfully craft difficult messages. Demonstrated ability to take initiative and operate independently, while able to work effectively in a team environment. Series 7 preferred for consideration. However, 5+ years of industry experience in lieu of the Series 7 will be taken into consideration if candidate does not have Series 7 at the time of application, which will be required within the allocated time after hiring. Series 9/10 or 24 required, or ability to obtain within corporate timeframes. Travel: Approximately 20%. Preferred Qualifications Experience in an audit function, familiarity with audit methodologies. Leadership experience. About Our Company We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world. Base Pay Salary The estimated base salary for this role is $85,700 / $115,700 year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances. Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law. Full-Time/Part-Time Full time Exempt/Non-Exempt Exempt Job Family Group Legal Affairs Line of Business GCO General Counsel's Organization
Posted 4 days ago
Health & Safety Compliance Specialist (Contingent Worker)
Cogeco Inc.Belmont, NH
Our culture lifts you up-there is no ego in the way. Our common purpose? We all want to win for our customers. We aim to always be evolving, dynamic, and ambitious. We believe in the power of genuine connections. Each employee is a part of what makes us unique on the market: agile and dedicated. Time Type: Regular Temporary (Fixed Term) Job Description : POSITION SUMMARY: The Contingent worker is responsible for ensuring that health and safety operations across telecommunications infrastructure and field operations comply with national and international laws, standards, and industry best practices. This role is essential for bridging the gap between practical H&S implementation and legal obligations, particularly in high-risk environments like fiber deployment and data center operations. MAIN RESPONSIBILITIES Research legal obligations surrounding employee and public safety regarding telecom installations and high-risk field work. Review and revise internal health and safety policies and procedures to ensure legal compliance with evolving telecom sector regulations. Interpret and validate compliance with state-specific and telecommunications-specific H&S legislation. Develop and deploy action plan to address internal & external audit findings related to various topics (worksite / equipment inspection process and conformity) Participate in deployment and improvement of compliance systems and risks management tools, including contractors management. Monitor compliance to procedures and follow up with stakeholders to improve understanding and compliance to processes and safe working methods. Collaborate with network and operational teams to align safety procedures with industry codes and statutory frameworks. Develop guidance and training materials to communicate compliance requirements to field leadership teams and contractors. Analyze the various applicable standards and provide specific recommendations for protective equipment, develop work tools and techniques to improve efficiency and safety. Perform work accidents data analysis to identify trends and recommend preventive actions to management. Assist and support hazard risk analysis activities and prevention initiatives. Assist, as required, in responding to requests from other business units and participate in special projects or perform other tasks as required. ESSENTIAL SKILLS EDUCATION University degree in Occupational Health and Safety, Law or related discipline, or equivalent combination of education and work experience. PROFESSIONAL EXPERIENCE 5 to 8 years of experience in a health, safety and wellness or legal advisor role. Proven experience conducting legal research and interpreting safety regulations. Experience using legal databases, compliance systems, and risk management tools. Telecom or infrastructure experience, an asset. SKILLS SPECIFIC Knowledge of H&S standards and OSHA regulation, as well as best practices of the industry. Knowledge of Canadian standards and regulation, an asset. Knowledge of French, an asset. Great written communication skills with strong ability to summarize complex information. Precision and legal rigor in safety interpretation. Familiarity of potential risks, equipment and tools present in the telecom industry. Detail-oriented while demonstrating the ability to analyze and identify opportunities for improvement. Interpersonal skills with a positive and professional attitude. Demonstrated autonomy, ability to take initiatives. Ability to work in a fast-paced, dynamic environment. Knowledge of the Google Business Suite, an asset. PHYSICAL DEMANDS AND VISUAL ACUITY none For Cogeco, diversity is an essential asset for the performance of our company. We are committed to providing equal employment opportunities to all competent people, regardless of their differences and personal characteristics. We strive to build teams that reflect the diversity of profiles and experiences of the customers and communities we serve. We are firmly convinced that this sets Cogeco apart from its competitors and contributes to our signature of excellence. Location : Cumberland, MD Company : Breezeline At Cogeco, we know that different backgrounds, perspectives, and beliefs can bring critical value to our business. The strength of this diversity enhances our ability to imagine, innovate, and grow as a company. So, we are committed to doing everything in our power to create a more diverse and inclusive world of belonging. By creating a culture where all our colleagues can bring their best selves to work, we're doing our part to build a more equitable workplace and world. From professional development to personal safety, Cogeco constantly strives to create an environment that welcomes and nurtures all. We make the health and well-being of our colleagues one of our highest priorities, for we know engaged and appreciated employees equate to a better overall experience for our customers. If you need any accommodations to apply or as part of the recruitment process, please contact us confidentially at inclusion@cogeco.com
Posted 3 days ago
Sr. Compliance Officer
BMO (Bank of Montreal)Chicago, IL
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Job Description
Application Deadline:
Address:
320 S Canal Street
Job Family Group:
Audit, Risk & Compliance
Assists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO Compliance Program. Works with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies and programs to address them. Identifies risks and implements appropriate actions to mitigate them. Develops and maintains compliance information for analysis and reporting. Achieves compliance goals by maintaining current knowledge of regulatory requirements and developments. Maintains functional and regulatory expertise specific to business group, and refers to Compliance Policies & Procedures manuals for requirements. Contributes to business/group results by providing oversight and making recommendations that significantly impact the Bank's ability to monitor regulatory compliance programs, minimize operational risk and align with regulatory agencies.
- Provides advice and guidance to assigned business/group on implementation of solutions aligned to regulatory risk appetite based on an understanding of business operations and stakeholder needs.
- Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.
- Influences to achieve effective regulatory compliance controls that enable business objectives.
- Identifies and advises on emerging issues and trends to inform decision-making.
- Helps determine business priorities and best sequence for execution of business/group strategy.
- Builds effective professional relationships with business group, internal/external stakeholders and trust with regulators.
- Analyses and reports on compliance data, and related data to gain insights on regulatory risk.
- Oversees the development and maintenance of guidelines and procedures, providing advice/rulings as necessary, for a single function within a geographic area.
- Participates in the design, implementation and management of core business/group processes.
- Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.
- Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements.
- Supports root cause analysis in response to material control failures in business/group.
- Identifies, assesses, effectively challenges and oversees the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation.
- Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.
- Analyzes and reports compliance information to Compliance and business/group management.
- Develops and maintains a high level of expertise in all regulations, directives and guidance which apply to the group(s) supported.
- Provides input to business/group on emerging risks, regulatory developments and interpretation of regulations.
- Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.
- Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.
- Identifies, assesses, effectively challenges and provides oversight on the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation. Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.
- Analyzes and reports compliance information to Compliance and business/group management.
- Advises first line of defense management and employees on compliance matters.
- Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.
- Ascertains training needs and helps develop training based on gaps identified through the compliance monitoring and testing.
- Identifies enhancements to business group compliance tools and processes and communicates to required stakeholders.
- Assists business group management in communicating and implementing changes to applicable regulatory policies and procedures.
- Represents the business/group Compliance team and interacts with examiners/auditors during internal, external and regulatory audits and examinations.
- Provides regulatory perspective on business group's sales and marketing materials.
- Anticipates/ identifies and analyses risk and consequences of unaddressed risk factors/ compliance gaps, and recommends appropriate controls.
- Builds effective professional relationships with business/groups.
- Operates effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny.
- Accesses, monitors and reports on sensitive Bank, customer, transactional and employee information to ensure compliance with regulatory requirements.
- Communicates the roles and importance of each of the three lines of defense, and proactively identifies regulatory risk.
- Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus.
- Provides specialized consulting, analytical and technical support.
- Exercises judgment to identify, diagnose, and solve problems within given rules.
- Works independently and regularly handles non-routine situations.
- Broader work or accountabilities may be assigned as needed.
Qualifications:
- Typically minimum of 6 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
- Recognized compliance certificate or equivalent preferred.
- Detailed knowledge of consumer protection regulations and related marketing and advertising guidelines.
- Skilled knowledge of regulatory/ compliance requirements and the operations of a single client group.
- May require experience at regulatory body for one or more compliance area(s).
- Strong communication, critical thinking, relationship management and project management skills.
- Deep knowledge and technical proficiency gained through extensive education and business experience.
- Verbal & written communication skills- In-depth.
- Collaboration & team skills- In-depth.
- Analytical and problem solving skills- In-depth.
- Influence skills- In-depth.
- Data driven decision making- In-depth.
Salary:
$79,800.00 - $148,000.00
Pay Type:
Salaried
The above represents BMO Financial Group's pay range and type.
Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position.
BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: https://jobs.bmo.com/global/en/Total-Rewards
About Us
At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.
As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.
To find out more visit us at http://jobs.bmo.com/us/en
BMO is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law.
BMO 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, please send an e-mail to BMOCareers.Support@bmo.com and let us know the nature of your request and your contact information.
Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.