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Director, Compliance Location: Denver, CO (In-Office) Job Type: Full-Time Exempt Salary: $121,000 - $194,000/YR Actual offer will be based on experience, location, education, and/or skills Applications should be submitted for consideration no later 07/02/2025 Who We're Looking For You're a strategic compliance leader with deep experience navigating complex regulatory environments. You bring a strong understanding of consumer, commercial, and fiduciary regulations, and you know how to translate legal requirements into practical, bank-wide policies. You thrive in collaborative environments, excel at preparing for regulatory exams, and are comfortable advising senior leadership and boards. If you're passionate about building scalable compliance frameworks and leading a high-performing team, this role is for you. About the Role As Director of Compliance at First Western Trust Bank, you'll oversee the Compliance Management Program, ensuring adherence to state and federal laws across banking operations-including Deposit, Lending, Mortgage, and Trust. You'll manage regulatory audits and examinations, implement proactive policies, advise executive leadership, and help foster a culture of integrity and accountability. This is a highly visible, strategic role reporting directly to the CRO. What You'll Do Lead the development, implementation, and enforcement of compliance policies across all bank departments. Manage the day-to-day administration of compliance activities and oversee the compliance management system. Direct regulatory audit and exam preparation, including interfacing with FDIC and State examiners. Serve as a trusted advisor to senior management on regulatory trends and policy changes. Review and approve compliance-related materials, including Board submissions and marketing content. Provide compliance consulting to internal teams and help build departmental risk mitigation plans. Oversee new hire, annual, and Board of Directors compliance training. Manage key regulatory programs including HMDA, CRA, Fair Lending, FCRA, and FACTA. Lead vendor compliance reviews and ensure all third-party partners adhere to regulatory standards. What You Bring Bachelor's degree in Finance, Law, or a related field (Master's preferred). 7-10 years of direct banking compliance experience with expertise across regulatory frameworks (consumer, mortgage, commercial). 5+ years in a leadership or management role. Strong proficiency with Microsoft Office and compliance-related tools. CRCM certification preferred. Exceptional analytical, problem-solving, and communication skills. Proven experience presenting to executive teams and boards. A collaborative mindset and comfort working across departments and external regulators. What We Offer Competitive base salary: $121,000 - $194,000/YR, plus bonus eligibility. 401(k) with employer match. Paid parking or transportation benefits. Comprehensive health benefits, including: Medical, dental, and vision coverage HSA and FSA options Generous PTO and bank holidays. Professional development and certification support. A culture committed to integrity, collaboration, and client-first solutions. Who We Are At First Western Trust, we're more than just a financial institution-we're a team of forward-thinkers committed to excellence, innovation, and impact. Our culture thrives on teamwork and mutual respect, grounded in the belief that diverse perspectives fuel creativity and help us tackle challenges in fresh, effective ways. We celebrate each other's successes, welcome new ideas, and take personal ownership in everything we do. A genuine desire to positively impact our clients, communities, and one another drives our work. We meet challenges with a growth mindset, act with urgency and accountability, and constantly strive to raise the bar for ourselves and our clients. Leadership at First Western means setting an example and fostering a culture of trust, transparency, and respect. Whether you're just beginning your journey or bringing years of experience, you'll find a welcoming community where your contributions are valued and your potential is boundless. We expect our people to: Demand and reward excellence. Take action and responsibility. Collaborate, communicate openly, and give/receive feedback with trust. Go above and beyond to do what's right-always. If that sounds like you, you'll fit right in. Learn more at myfw.com or email Talent.Management@myfw.com. Equal Opportunity Employer First Western Trust is proud to be an Equal Opportunity Employer. We are committed to creating a diverse, inclusive, and respectful workplace where every team member is valued and given the opportunity to thrive. We welcome applicants of all backgrounds and experiences and do not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other protected status. For accommodation requests, please contact Talent.Management@myfw.com.

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.

Company: MMC Corporate Description: Mercer Investments is recruiting for a US Investments Commercial Compliance Leader who will work three days a week in a local office. This position will be responsible for providing strategic and tactical advice as it relates to broker-dealer and SEC RIA Sales and Marketing requirements, supporting Mercer's investment management and investment consulting businesses in the US and MMC Securities broker-dealer activities. The US Investments Commercial Compliance Leader will be a part of the Legal & Compliance team, and will work closely with other functional teams, and particularly with MMCS leadership and Mercer Investments commercial and sales teams. In this newly created role, you will have the opportunity to add value and make your mark on a fast growing and dynamic business. We will count on you to: Design, execute, document, and report on a robust commercial compliance program focused on addressing and mitigating legal and regulatory risk in our commercial activities, and collaborating with business colleagues to assess and mitigate the firm's risk profile. Maintain relationships with our MMCS regulators, and manage any relevant exams. Be an expert in SEC, FINRA, NFA, ERISA, and other US sales and marketing rules, including private fund marketing. Assess and recommend process and control enhancements to further mitigate risks and/or support future business objectives. Provide best-in-class advice, appropriate second line challenge, and thought partnership on marketing and sales process and control enhancements to meet business needs and future growth. Establish and oversee a framework of controls and processes. Own and manage the Compliance sales and marketing oversight, testing/monitoring, and governance processes. Monitor and understand regulatory developments for any modifications needed to the Compliance programs and provide guidance to relevant stakeholders, leaders, and governance committee on regulatory change that may impact business activities, operations, or objectives. Collaborate across the Global Investments Legal and Compliance teams, and with global commercial leaders. What you need to have: A Bachelor's Degree from a four-year college or university required (JD preferred) A minimum of 7 years of experience, preferably in the financial services industry, with experience managing SEC and FINRA marketing compliance processes and/or managing a broker-dealer compliance program. Independent strategic thinker with experience balancing commercial objectives against risk mitigation goals. Ability to establish and maintain professional relationships with key stakeholders and service providers. Proactive, capable of multi-tasking, and ability to organize and prioritize deliverables to meet deadlines within a growing business environment. An ability to work independently and own risk, exhibit solid judgement and execute effectively. A positive, can-do attitude and creative problem-solving skills. Strong written and oral communication skills. Ability to communicate succinctly. What makes you stand out: FINRA S7, S24 or FINRA S14 licenses Experience at an SEC registered investment adviser working within a compliance department, managing broker-dealer compliance and marketing and sales compliance programs of advisers and funds. Experience implementing workflows and frameworks to generate efficiency while mitigating risk. (e.g. Seismic, Red Oak, Saifr, etc.) Knowledge of Investment Company Act of 1940; Knowledge of ERISA regulations; Knowledge of NFA Rules. 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 $144,300 to $288,400. 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.

The Alarm.com Cloud Operations & IT Program Management team is responsible for the cross-functional strategy, orchestration, planning, and execution of large-scale initiatives that are significant in scope and impact. This candidate will be supporting the Security & Compliance teams, which collectively are responsible for executing and complying with security strategy and security industry standards. The role is a mix of program, project, and product management, and the key focus is to maintain a broad view of the teams' work, while diving deep into the details of a particular initiative. The candidate will have the opportunity to drive a wide variety of Security and Compliance initiatives, serve as an advocate for our users' needs, and help scale the Program Management team. The ideal candidate will have experience managing complex projects and multiple priorities, working with business and technology subject matter experts to define scope, create accurate project plans, and produce high quality planning documentation needed to support the business objectives. Responsibilities: Collaborates with the Cloud Operations & IT Program Management team on the analysis, development, implementation, and completion of medium and large-scale projects in Cloud (Azure/AWS/GCP) IT infrastructure and Enterprise Security Platforms (InsightVM, Wiz, Nagomi Security, etc.) at Alarm.com Takes ownership of security and compliance responsibilities, including developing security frameworks and compliance protocols, reviewing and updating security policies and procedures, and ensuring adherence to these standards across Cloud and Engineering teams Acts as the primary program liaison between the Cloud and Engineering teams, and a variety of technical and business unit stakeholders to ensure alignment of secure design principles and compliance objectives across Cloud projects Establishes executive, tactical, and operational reporting methodologies and advises on the development of security and compliance-centric departmental and operations KPIs Leads program status reviews, and prepares regular stakeholder and executive communications Develops and maintains systems to manage documentation pertaining to security policies, standards, guidelines, and procedures in support of the organization's risk management and compliance initiatives Works with the Cloud Operations & IT Program Management team to convey security and compliance-related risks, conduct risk assessments, and business impact analyses for all medium and large infrastructure initiatives Ensures correct interpretation and effective implementation of security and compliance objectives so that all team members, peers, and management remain well informed with respect to priorities and deadlines Proposes, refines, and implements process improvements associated with security & compliance, ensuring robust controls, risk management processes, and audit methodologies, and drives efficiencies across Security & Compliance teams Effectively manages change, shifts gears comfortably, decides and acts without having the total picture, maintains focus amidst uncertainty and fosters a culture of security risk awareness and compliance Other duties as assigned REQUIREMENTS Bachelor's degree in Engineering, IT, or business-related programs 1-3 years experience in Program Managment specifically relating to Security and Compliance Working knowledge and experience managing technology and IT infrastructure initiatives Understanding of cloud technologies (AWS, Azure, GCP) and hybrid cloud environments Experience driving cross-functional projects and interfacing with a variety of stakeholders Adept in managing projects, teams, and processes (change control, monitoring, capacity planning etc.) Ability to handle multiple complex tasks across multiple engineering teams and projects Experience establishing and operating program management frameworks and KPIs (Agile, OKRs, etc.) Knowledge of collecting and using data to influence strategy and programs Strong written and verbal communication skills, including the ability to turn around time-sensitive communications in short order Critical to the success of this position is the ability to communicate effectively with multiple stakeholders Proficient in Atlassian productivity suite Understanding of IT General Controls (ITGC) and compliance frameworks (ISO27001, SOX, SOC, etc.) Advanced Technical Writing PREFERRED Past Engineering role experience (System Administrator, DevOps Engineer) SQL and Python for scripting and Data Analysis Dashboarding tools Tableau or PowerBI Project Management certifications: ScrumMaster or PMI certifications preferred WHY WORK FOR ALARM.COM? Collaborate with outstanding people: We hire only the best. Our standards are high and our employees enjoy working alongside other high achievers. Make an immediate impact: New employees can expect to be given real responsibility for bringing new technologies to the marketplace. You are empowered to perform as soon as you join the Alarm.com team! Gain well rounded experience: Alarm.com offers a diverse and dynamic environment where you will get the chance to work directly with executives and develop expertise across multiple areas of the business. Focus on fun: Alarm.com places high value on our team culture. We even have a committee dedicated to hosting a stand-out holiday party, happy hours, and other fun corporate events. Alarm.com values working together and collaborating in person. Our employees work from the office 4 days a week. COMPANY INFO Alarm.com is the leading cloud-based platform for smart security and the Internet of Things. More than 7.6 million home and business owners depend on our solutions every day to make their properties safer, smarter, and more efficient. And every day, we're innovating new technologies in rapidly evolving spaces including AI, video analytics, facial recognition, machine learning, energy analytics, and more. We're seeking those who are passionate about creating change through technology and who want to make a lasting impact on the world around them. For more information, please visit www.alarm.com. COMPANY BENEFITS Alarm.com offers competitive pay and benefits inclusive of subsidized medical plan options, an HSA with generous company contribution, a 401(k) with employer match, and paid holidays, wellness time, and vacation increasing with tenure. Paid maternity and bonding leave, company-paid disability and life insurance, FSAs, well-being resources and activities, and a casual dress work environment are also part of our outstanding total rewards package! Alarm.com is an Equal Opportunity Employer In connection with your application, we collect information that identifies, reasonably relates to or describes you ("Personal Information"). The categories of Personal Information that we may collect include your name, government-issued identification number(s), email address, mailing address, other contact information, emergency contact information, employment history, educational history, and demographic information. We collect and use those categories of Personal Information about you for human resources and other business management purposes, including identifying and evaluating you as a candidate for potential or future employment or future positions, recordkeeping in relation to recruiting and hiring, conducting analytics, and ensuring compliance with applicable legal requirements and Company policies. By submitting your application, you acknowledge that we may retain some of the personal data that you provide in your application for our internal operations such as managing our recruitment system and ensuring that we comply with labor laws and regulations even after we have made our employment decision. Notice To Third Party Agencies: Alarm.com understands the value of professional recruiting services. However, we are not accepting resumes from recruiters or employment agencies for this position. In the event we receive a resume or candidate referral for this position from a third-party recruiter or agency without a previously signed agreement, we reserve the right to pursue and hire those candidate(s) without any financial obligation to you. If you are interested in working with Alarm.com, please email your company information and standard agreement to RecruitingPartnerships@Alarm.com.

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.

Snapshot The role of the Program Management Team is to shape and accelerate the delivery of GDM's highest priority programs to make fast-paced progress towards our mission. We continually pursue scalable and sustainable ways to optimise our work, striving to ensure we cultivate an environment where people can be both highly collaborative and deeply creative, making progress at pace. We build positive relationships with teams, bringing clarity to ambiguity and providing stability during change. We are active, curious and thoughtful about deepening our understanding of people and driving successful outcomes on programs.. We continually deepen our domain knowledge to ensure all our work is advancing towards our mission. About Us Artificial Intelligence could be one of humanity's most useful inventions. At Google DeepMind, we're a team of scientists, engineers, machine learning experts and more, working together to advance the state of the art in artificial intelligence. We use our technologies for widespread public benefit and scientific discovery, and collaborate with others on critical challenges, ensuring safety and ethics are the highest priority. The role This role is part of the GDM CORE Programs team, supporting the newly formed GDM Technical Compliance team, situated within the GDM Privacy & Security organization. The team's mission is to enable GDM to innovate responsibly by establishing and overseeing an effective, scalable, and robust technical compliance framework. The team provides critical oversight, validation, and guidance on compliance matters across GDM and its applications to ensure alignment with internal standards and the rapidly evolving global regulatory landscape. In this role you will lead and coordinate high-priority, GDM-wide, cross-functional technical compliance programs, such as regulatory readiness efforts, risk management and assurance, responding to regulatory requests for information, and establishing effective data governance and policy adherence frameworks. You will be key in ensuring that GDM addresses, with the appropriate level of precision and nuance, the breadth and depth of the regulatory scrutiny it faces today and in the future. This role requires an experienced TPgM who can build structure amidst complex and rapidly evolving requirements and needs, craft innovative solutions to simplify and scale technical compliance, and develop strong partnerships with an array of senior stakeholders across GDM Legal, Engineering, RCI, Regulatory Affairs, and other critical functions to anticipate and manage risk while enabling the development of world-class AI. Strong communication skills - translating needs across functions, influencing in cross-functional spades, and gaining trust as an advocate for compliance matters across a range of stakeholders - are essential to the successful candidate. Key Responsibilities: Program Delivery & Stakeholder Management Manage large-scale, high-priority, cross-functional technical compliance programs, including readiness initiatives for critical regulations. Oversee the intake, scoping, and coordination of responses to regulatory requests for information in partnership with senior xGoogle stakeholders. Partner effectively with senior stakeholders across GDM Legal, Engineering, RCI, and Regulatory Affairs. Develop and leverage a deep technical understanding of GDM's models, products, and systems to drive effective progress on technical compliance initiatives. Translate complex regulatory and policy requirements into actionable guidance for GDM teams. Risk Management & Reporting Own the tracking, reporting, and validation, in partnership with the GDM Compliance Lead, of technical remediation for findings relevant to GDM. Drive the development and operationalization of a GDM-specific risk management program, ensuring timely and accurate reporting of risks to leadership. Create and maintain a comprehensive portfolio view of all technical compliance programs, ensuring we have a comprehensive set of controls, dynamically tracking their status, resource allocations, and surfacing risks whenever necessary to ensure timely progress and execution. Operational Excellence & Strategy Collaborate with cross-functional senior leadership to translate compliance requirements and obligations into actionable roadmaps, with clear objectives, proactively managing risks and anticipating issues. Partner effectively with the GDM Compliance Lead and the engineering team to design scalable infrastructure and unified monitoring tools needed to continually increase the efficiency of our compliance efforts. Develop an effective strategy to strengthen knowledge management and institutional memory across compliance and regulation throughout GDM, including leveraging GenAI tools where beneficial. About you In order to set you up for success as a Technical Program Manager at Google DeepMind, we look for the following skills and experience: Extensive experience in managing sizable technical compliance programs in a fast-paced and evolving environment, with proven skill to navigate through ambiguity and adjust and adapt program strategies as conditions change. Experience of operational improvement programs, including process, policy, systems, and operating model change. Proven ability to manage complex, cross-organizational programs and drive meaningful organizational change, particularly in response to regulation and standards. A background that intersects with both legal/policy and technical domain, allowing you to translate between legal requirements and engineering realities. Significant experience partnering with and influencing senior stakeholders across legal, policy, compliance, and engineering organizations to navigate conflicting priorities, and drive aligned interpretations and outcomes. Proven experience managing responses to regulatory requests for information, including the coordination, scoping, and right-sizing of such requests. An understanding of the technologies that underpin large-scale AI model development and product deployment. Strong communicator with an ability to quickly develop meaningful relationships with key partners and use them to influence action. The US base salary range for this full-time position is between $156,000 - $229,000 + bonus + equity + benefits. Your recruiter can share more about the specific salary range for your targeted location during the hiring process. Note: In the event your application is successful and an offer of employment is made to you, any offer of employment will be conditional on the results of a background check, performed by a third party acting on our behalf. For more information on how we handle your data, please see our Applicant and Candidate Privacy Policy At Google DeepMind, we value diversity of experience, knowledge, backgrounds and perspectives and harness these qualities to create extraordinary impact. We are committed to equal employment opportunity regardless of sex, race, religion or belief, ethnic or national origin, disability, age, citizenship, marital, domestic or civil partnership status, sexual orientation, gender identity, pregnancy, or related condition (including breastfeeding) or any other basis as protected by applicable law. If you have a disability or additional need that requires accommodation, please do not hesitate to let us know.

About Marvell Marvell's semiconductor solutions are the essential building blocks of the data infrastructure that connects our world. Across enterprise, cloud and AI, automotive, and carrier architectures, our innovative technology is enabling new possibilities. At Marvell, you can affect the arc of individual lives, lift the trajectory of entire industries, and fuel the transformative potential of tomorrow. For those looking to make their mark on purposeful and enduring innovation, above and beyond fleeting trends, Marvell is a place to thrive, learn, and lead. Your Team, Your Impact As a Cybersecurity Risk and Compliance Manager at Marvell Technology, you will lead our cybersecurity team in ensuring the organization's adherence to industry regulations, standards, and internal policies. Your role is pivotal in safeguarding our data infrastructure, protecting both company and customer information from potential threats. What You Can Expect Leadership: Supervise and mentor a team of cybersecurity professionals, fostering a culture of security awareness and continuous improvement. Policy Development: Create, implement, and maintain comprehensive security policies, standards, and procedures in line with industry regulations and best practices. Risk Assessment: Conduct regular risk assessments and vulnerability analyses to identify potential threats and implement mitigation strategies. Compliance Management: Ensure compliance with regulations and relevant frameworks such as NIST 800-53, NIST 800-171, ISO 27001, and others pertinent to our industry. Audit Coordination: Prepare for and coordinate internal and external audits, addressing findings and implementing corrective actions as necessary. Incident Response: Lead the development and execution of incident response plans, ensuring swift and effective action during security events. Training and Awareness: Develop and deliver cybersecurity training programs to enhance organizational awareness and adherence to security protocols. What We're Looking For Educational Background: Bachelor's degree in Information Technology, Cybersecurity, or a related field. Experience: A minimum of 13 years in progressive cybersecurity roles, with significant experience in risk management and compliance. Certifications: Relevant certifications such as CISSP, CISM, CRISC, or ISO 27001 Lead Implementer/Auditor are highly desirable. Technical Proficiency: Strong understanding of cybersecurity frameworks, risk assessment methodologies, and compliance requirements. Leadership Skills: Proven ability to lead and develop high-performing teams, manage complex projects, and drive organizational change. Communication: Excellent verbal and written communication skills, with the ability to effectively convey complex security concepts to diverse audiences. Problem-Solving: Strong analytical and problem-solving abilities, with a proactive approach to identifying and mitigating risks. Expected Base Pay Range (USD) 124,870 - 187,000, $ per annum The successful candidate's starting base pay will be determined based on job-related skills, experience, qualifications, work location and market conditions. The expected base pay range for this role may be modified based on market conditions. Additional Compensation and Benefit Elements At Marvell, we offer a total compensation package with a base, bonus and equity.Health and financial wellbeing are part of the package. That means flexible time off, 401k, plus a year-end shutdown, floating holidays, paid time off to volunteer. Have a question about our benefits packages - health or financial? Ask your recruiter during the interview process. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, sexual orientation, gender identity, disability or protected veteran status. Any applicant who requires a reasonable accommodation during the selection process should contact Marvell HR Helpdesk at TAOps@marvell.com. #LI-JS22

Company Overview: Headquartered in suburban Atlanta, Georgia, Artivion, Inc. is a medical device company focused on developing simple, elegant solutions that address cardiac and vascular surgeons' most difficult challenges in treating patients with aortic diseases. Artivion has over 1,400 employees worldwide with sales representation in over 100 countries. The Company has manufacturing facilities located in Atlanta, Georgia, Austin, Texas and Hechingen, Germany. Additionally, it has sales and distribution offices in various countries throughout Europe, Asia, and South America. For additional information about Artivion, visit our website, www.artivion.com. Position Objective: To assist in the implementation of compliance and quality within the Clinical Research Department by supporting the management of clinical investigations, audits, vendor qualifications and helping establish department metrics. This role may also assist with ensuring company compliance to GCP regulations, internal procedures, and policies in cooperation with peers. Responsibilities: Collaborate with stakeholders in conducting ongoing risk assessment of clinical trial/activity to identify compliance metrics for tracking and monitoring high-risk vendors. Review and evaluate updates to standards including but not limited to ICH, GCP, and ISO to conduct gap assessments to internal SOPs and procedures. Act as point of contact for internal clinical mock and external audits, as well as notified body communications. Participate as a member of governance teams for assigned product specific studies. Assist in setting annual audit schedules for active studies and vendors, in addition to reviewing budgets. Manage and/or conduct clinical research external site, vendor audits, vendor qualification, and commercial partner audits in conjunction with QA personnel according to Federal, State, and local regulations, Develop audit management plans and audit strategy with clients for ongoing clinical trials. Management includes reviewing audit reports and supporting documents from Clinical Research Organizations (CROs) and independent auditors, as applicable. Assist in the development of & implementation of new clinical trial quality/compliance/risk Standard Operating Procedures (SOPs) and systems. Drafting and improving work instructions, forms, and templates. Perform document record review including protocols, general study files, clinical study reports, monitoring plans, and site-specific study files across product lines. Analyze trends, thresholds, and risk impact of quality events. Review and approve audit response, evaluate adequacy of corrective and/or preventative actions, and ensure corrective actions are implemented in a timely manner. Develop strong relationships with personnel across product lines to provide compliance guidance as needed. Identify and escalate significant compliance issues and company risks to leadership. Maintain a high level of expertise in applicable regulations and government, industry, and company GCP standards. Present GCP, compliance, and FDA BIMO inspection readiness proficiency training on an as needed basis. Support global inspection readiness and make recommendations for its improvement. Support CAPA and NC owners with appropriate resolutions and quality checks. Lead in developing study specific risk mitigation plans and corresponding metrics. Assist in the development and management of TMF system Ensure compliance with all Federal, State, local, and company regulations, policies, and procedures. Ensure a culture of clinical quality compliance Use risk-based strategy to prioritize and support clinical trial activities and identify and escalate compliance issues. Assist in the development of metrics identifying performance improvements initiatives with clinical trial sites and vendors. Qualifications: BS or MS degree in biological science, epidemiology, engineering, statistics, or other science related field. 3-4 years of experience within the medical/biomedical industry OR 5-7 years of relevant medical device and/or quality compliance experience within the medical/biomedical industry. Ability to work independently and think outside the box to support a variety of company products. Previous experience managing quality and GCP compliance issues preferred. Previous experience with vendor audits and vendor qualifications preferred. Previous experience with site monitoring and site compliance preferred. Previous experience with electronic TMF systems preferred. Expert knowledge of international GCP regulations is a plus (FDA, MHRA, PMDA, and ICH). Excellent written and oral communication and presentation skills. Strong personal leadership skills, as well as strong analytical and critical thinking skills. Excellent interpersonal skills and ability to work in a team-based, collaborative environment. Demonstrate strength in analytical and strategic assessment of regulatory compliance risks and the ability to articulate potential business impact. Ability to independently plan, organize, coordinate, manage and execute assigned tasks and multiple projects. Willingness to travel. Good understanding of applicable regulations.

This is Adyen Adyen provides payments, data, and financial products in a single solution for customers like Meta, Uber, H&M, and Microsoft - making us the financial technology platform of choice. At Adyen, everything we do is engineered for ambition. For our teams, we create an environment with opportunities for our people to succeed, backed by the culture and support to ensure they are enabled to truly own their careers. We are motivated individuals who tackle unique technical challenges at scale and solve them as a team. Together, we deliver innovative and ethical solutions that help businesses achieve their ambitions faster. Senior Compliance Officer - Card Networks Our fast-paced Compliance team is looking for a Senior Compliance Officer for our San Francisco Office with experience with Card Networks, payments and/or finance industry. The successful candidate must have strong analytical skills and be able to work as a business partner to connect with a wide range of teams, including risk, legal, finance and sales, and provide pragmatic advice and guidance to build sustainable growth. What you'll do Proactively identify compliance obligations based on Card Network and Local Payment Methods Rules; Translate identified obligations into relevant Policies and Procedures to be communicated and implemented across the global business; Represent the team on a variety of work streams and products to establish strategies that align with global objectives and ensure controlled and compliant growth; Strengthen knowledge and education management across the global business; Participate in Product Risk Assessments and advise other compliance verticals; Support and maintain oversight of the first line; Handle escalations from global internal and external stakeholders; Consider opportunities and risks from a variety of angles to achieve compliant solutions that align with commercial and strategic objectives; Advise internal stakeholders and liaise with external stakeholders as well as relevant auditors. Who you are You have at least 5 years' experience in payments/Credit Card industry and/or second line compliance functions; Your knowledge of the finance and/or payment industry will be well established; with experience dealing with Card Networks and Scheme Rules; You bring deep knowledge of the US market and have exposure to global business. You are an analytical thinker who can both draft, and monitor on the implementation of, relevant Policies and Procedures; You have solid interpersonal skills, specifically you will be able to liaise and connect with a variety of internal and external stakeholders and Merchants from varying disciplines and cultures; You feel comfortable addressing senior management. You are able to influence across all levels of the organization; You have a good sense of business and technical acumen; Your strong sense of initiative and self-motivation will add value to a fast-growing business. The annual base salary range for this role is $145,000 - 195,000; to learn more about our compensation philosophy, please click here. Our Diversity, Equity and Inclusion commitments Our unique approach is a product of our diverse perspectives. This diversity of backgrounds and cultures is essential in helping us maintain our momentum. Our business and technical challenges are unique, and we need as many different voices as possible to join us in solving them - voices like yours. No matter who you are or where you're from, we welcome you to be your true self at Adyen. Studies show that women and members of underrepresented communities apply for jobs only if they meet 100% of the qualifications. Does this sound like you? If so, Adyen encourages you to reconsider and apply. We look forward to your application! What's next? Ensuring a smooth and enjoyable candidate experience is critical for us. We aim to get back to you regarding your application within 5 business days. Our interview process tends to take about 4 weeks to complete, but may fluctuate depending on the role. Learn more about our hiring process here. Don't be afraid to let us know if you need more flexibility.

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 leadership team by recruiting a strong business-building executive who will be fundamental to this growth strategy. This new hire will be a senior business builder with a high-profile personal network with Financial Crimes expertise. 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 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 Proven track record of successful new business generation, and demonstrable ability (or commercial potential) to sell, deliver and manage highly visible engagements demonstrated by year over year credited sales generation of $2M+ 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 and/or Washington, DC, metropolitan areas 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 $197,000.00-$328,000.00. 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.

About the Role The Trade Compliance Analyst role is responsible for supply chain data analysis, with focus on tariffs cost and freight costs. This job plays a critical role in providing insight analysis for our multinational import and export business. In addition, this individual will assist internal controls, and drives improvement in the key processes. What You'll Do Records keeping for import & export day-to-day entry filings and activities. Support classification in Harmonized Tariff Schedule (HTS), Schedule B, Harmonized System Code (HSC) that will result in compliant imports, export, duty savings and ultimately benefit the program. Evaluate documentation associated with imports/export prior to shipment for accuracy for duty drawback opportunities. Support post entry corrections, where necessary, and maintain all records. Create reporting metrics for internal audit, clearance accuracy, duty, tax, and other visibilities. Assist in the implementation of corrective actions resulting from internal audits and compliance issues. Monitor all import and export transactions are in conformance with the laws and regulations of the countries involved. Handle basic issues and problems under supervision, while escalating more complex issues to appropriate staff or team What You'll Bring Bachelor's Degree in International Business, Finance, Accounting (International specialization is a plus) or similar degree programs CCS or CES certifications strongly preferred Minimum of 2+ years of experience experience in freight forwarding, ocean/air logistics, international transportation or E-commerce preferred. Experience with global import and export trade activities and custom compliance is preferred Hands-on experience with SAP is preferred Advanced proficiency in Microsoft Excel (Pivot tables, vlookups) is required and additional experience with Power BI is highly desirable. Demonstrate ability to use critical thinking for problem-solving Detail oriented and Organized Excellent communication, written, and presentation skills Demonstrate willingness to learn new skills and responsibilities Bi/multilingual abilities in addition to English (e.g., Mandarin, Korean, Japanese, Dutch, French, or Spanish) is desirable. Compensation Range: $66,375.00 - $110,625 #LI:SL1 #LI:OnSite About ZT Systems At ZT Systems, you'll get to do work you are proud of alongside smart, passionate people. Every day, there are opportunities to collaborate with the best in the industry to design, build, and deliver impactful solutions to world-class customers. Along the way, you will gain hands-on experience in a face-paced environment that's challenging, rewarding, and career-defining. A culture built around our values we work hard and think fast. We view challenges as opportunities-to do better, push harder, and be faster than we were the day before. When we fail, we learn from it and move on together. And when we succeed, we use the momentum to go even further. We create value with everything we do, building the foundation of today-and transforming the future of tomorrow. Join ZT Systems and help us build technology infrastructure that connects the world. What We Offer When you join ZT, you'll enjoy a range of world-class, inclusive employee benefits designed to grow with you and our company. From competitive compensation to 401K matching to comprehensive health & wellness programs and tuition reimbursement, ZT Systems offers industry leading benefits packages for eligible employees designed to help you get the most out of life. ZT Group Int'l. is an Equal Opportunity Employer and prohibits discrimination and harassment of any kind. ZT Systems 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.

LPL Financial seeks an experienced attorney to join its corporate legal advice team as Senior Vice President, Associate General Counsel - Broker-Dealer Regulatory Compliance. This SVP will report to the Executive Vice President responsible for providing strategic legal advice to various business units. This team focuses primarily on the LPL's broker-dealer and custodial platform business but also provides support to the investment advisory business. This position entails advising LPL's senior leadership within Compliance Supervision and Risk as well as its Business Development (recruiting) and Corporate Development (M&A) regarding regulatory compliance with said activities. The position will also cover counseling the firm's Product Review group with due diligence requirements, sales practices and controls around alternative investments. The ideal candidate is one who can thrive in a fast-paced business environment and can manage a substantial docket autonomously. A qualified candidate will have at least 10 years of relevant experience within a law firm, counseling the financial services industry, specifically the broker-dealer and retail investment advisory business with respect to federal, state and SRO regulatory compliance, enforcement defense, and/or agency or private civil litigation/arbitration defense. In-house experience within a top financial services firm will also be considered. Responsibilities: Day-to-day legal support for LPL's financial services business, including providing legal analysis and advice with respect to compliance with applicable rules, regulations and legal risks relating to the brokerage and investment advisory business. Reviewing, revising and developing internal policies and procedures in response to business initiatives and regulatory developments. Performing legal research and drafting memoranda concerning compliance with applicable laws, rules and regulations. Interacting with other members of the Legal Department as well as other LPL business units including, among other departments, Supervision, Compliance and Risk. Managing a team of experienced attorneys staffed against LPL's brokerage and control-based business lines throughout the organization. Providing strategic counseling with respect to M&A transactions and the regulatory approval process. Counseling on due diligence standards and establishing proper protocols for the onboarding and sale of alternative investments. Requirements: 10+ years of experience in dealing with issues arising under the Securities Exchange Act, Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA rules and regulations as well as related federal and state securities laws. A demonstrable record of successful representation of financial services parties in enforcement proceedings, Federal and State Court, SRO arbitrations, and other administrative proceedings strongly preferred. Proficiency in legal writing, performing legal research (LexisNexis preferred) and written communication skills. Strong working knowledge of federal securities laws and rules making process; regulatory notices; interpretive guidance; and agency interpretations. Working understanding of alternative investments, including but not limited to, hedge funds, VC funds, private equity funds, public non-traded products, business development corporations and private placements. Understanding of regulatory landscape applicable to broker-dealers and registered investment advisers, including a familiarity with regulatory processes (SEC and FINRA). Experience drafting, filing and managing continuing membership applications with FINRA. Pay Range: $207,075-$345,125/year Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Company Overview: LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. Join LPL Financial: Where Your Potential Meets Opportunity At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services. Why LPL? Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here! Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here! Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here! Impactful Work: Our size is just right for you to make a real impact. Learn more here! Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here! Community Focus: We care for our communities and encourage our employees to do the same. Learn more here! Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here! Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947. EAC1.22.25

About the Role >>> Director, Clinical Compliance Operations As the Director of Clinical Compliance and Documentation, reporting to the VP of Clinical Development Operations, you will partner with the clinical and quality assurance (QA) departments to ensure that Olema's clinical trials, processes, and oversight are compliant with global regulatory standards (e.g. FDA, EMA, and other international regulatory authorities) and GCP. This position will support the company's business goals and objectives while building and maintaining a strong culture of compliance throughout the Clinical Department. This role is based out of our Cambridge or San Francisco office and will require 15% travel. Your work will primarily encompass: Provide strategy and oversight of clinical trial compliance in support of clinical study teams across different stages of development. Leadership of risk and issue management process for CDO focusing on clinical study delivery. Oversight and Management of Process improvements within the Clinical Department including providing trends and other relevant reporting to Process Owners and Clinical Department Leadership Team (CDLT) and help translate trends to enable smart risk taking and process improvement. Lead the development of Clinical SOPs, work instructions, process flows, forms, and storyboards through partnership with Clinical Department Heads and QA. Collaborate with QA in the response and completion of clinical audits and inspections. Develop and manage Clinical and CRO Key Performance Indicators (KPIs) in order to provide oversight of our vendors and mitigate study operational risk. Partner with QA to define strategy and methodology for Clinical risk/issue management; create annual risk management plan to ensure inspection readiness, review periodically the outcomes of risk management/ management monitoring; escalate to appropriate governance and adapt accordingly. Oversight for completion of Root Cause Analysis of Issues and Clinical CAPAs and provide CDLT with reports of CAPA completion data (late, near due, due later). Management and oversight of internal Clinical Systems (ex. eTMF) to ensure efficiency and standards of excellence. Oversight of the Clinical Documentation and Trial Master File Team. Onboarding of clinical department staff. Protocol/Informed Consent/Manual Review and QC. Ideal Candidate Profile >>> A love of challenging, important work. We are a pragmatic team, driven to imagine and develop meaningful therapies for improving lives. All employees within our company play a unique and crucial role in our success, both in accomplishing our mission and building a positive company culture. As such, we are looking for someone with the right combination of knowledge, experience, and attributes for this role. Knowledge: Bachelor's degree is required, Master's degree is preferred. Extensive understanding of GCPs, FDA, EU and ICH regulatory standards/guidance documents. Experience: 12+ (BS) or 10+ (MS) years of experience working in clinical research, biotech, and/or pharmaceutical company, with 5 years of specific experience working in clinical compliance and TMF management roles. 5+ years of people management experience. Late-stage clinical trial experience required. Extensive process and storyboard writing experience. Strong experience of ICH GCP guidelines, DIA TMF reference model, and FDA regulations. Experience in inspection readiness and conducting FDA inspections. Experience in building risk-based quality systems. Experience in analyzing data, detecting and presenting trends/patterns related to auditing, monitoring and investigation findings. Oncology experience is highly preferred. Attributes: Proactive mindset. Strong communication skills and the ability to effectively collaborate with key stakeholders. Strong project management and time management skills. Ability to mentor others. Ability to execute on day-to-day responsibilities with minimal supervision. The base pay range for this position is expected to be $230,000- $245,000 annually, however the base pay offered may vary depending on location, market, job related knowledge, skills and capabilities, and experience. The total compensation package for this position also includes equity, bonus, and benefits. #LI-CK1

Return to Job Search Regulatory Compliance Analyst he Regulatory Compliance Analyst supports the Compliance, Actuarial, and Finance teams in the administration of Med Supp rate filings, regulatory tracking, and policyholder communications. This position assists in ensuring compliance with Medicare Supplement regulations, coordinating with internal teams on state filings, and maintaining documentation for regulatory approvals. Key Responsibilities: Regulatory Filings & Compliance Support Assist in the preparation and submission of Med Supp rate filings with state regulators. Monitor and track filing deadlines, approvals, and required documentation. Research and summarize regulatory requirements related to Med Supp pricing and policyholder notifications. Support Compliance leadership in responding to regulatory requests or objections. Cross-Department Coordination Work closely with Actuarial and Finance to collect data needed for rate filings. Assist in reviewing and drafting policyholder notices related to rate changes. Support Operations and Customer Service in implementing and explaining rate updates. Track and document changes in compliance policies affecting Med Supp products. Regulatory Monitoring & Reporting Monitor changes in Med Supp regulations at both state and federal levels. Prepare summaries and compliance updates for internal stakeholders. Assist in compliance audits to ensure adherence to regulatory filings and approved rates. Maintain organized records of all filings, approvals, and correspondence with regulators. Qualifications: Education: Bachelor's degree in Business, Finance, Insurance, Risk Management, related field or related educational experience. Experience: 1-2 years of experience in insurance compliance, regulatory affairs, actuarial support, or operations (Med Supp experience preferred but not required). Skills: Basic understanding of insurance compliance and state filing processes. Strong organizational skills and attention to detail. Ability to analyze regulatory documents and summarize key points. Good communication and teamwork skills. Proficiency in Microsoft Excel and compliance tracking systems. Growth Path: This role provides an opportunity to grow into a Regulatory Compliance Manager or Senior Compliance Analyst with additional experience and regulatory knowledge. Task Breakdown (Daily, Weekly, Monthly) Daily Tasks: Track and update filing deadlines and status. Assist in preparing filing documentation and policyholder notices. Research regulatory changes and summarize findings. Communicate with internal teams about compliance requirements. Weekly Tasks: Support Med Supp Rate Committee meetings by preparing compliance updates. Work with Actuarial and Finance teams to ensure accurate filing submissions. Monitor regulatory agency websites for any changes affecting Med Supp rates. Monthly Tasks: Help draft compliance reports for internal stakeholders. Assist in responding to regulatory inquiries or objections. Maintain an organized filing system for regulatory approvals. This role is ideal for an entry-level to early-career professional looking to gain experience in Med Supp compliance and eventually grow into a leadership position. U-Haul Offers: Full Medical coverage Prescription plans Dental & Vision Plans New indoor fitness gym Gym Reimbursement Program Registered Dietitian Program Weight Watchers Onsite medical clinic for you and your family Career stability Opportunities for advancement Valuable on-the-job training Tuition reimbursement program Free online courses for personal and professional development at U-Haul University Business and travel insurance You Matter Employee Assistance Program Paid holidays, vacation, and sick days Employee Stock Ownership Plan (ESOP) 401(k) Savings Plan Life insurance Critical Illness/Group Accident 24-hour physician available for kids Subsidized gym/ membership MetLaw Legal program MetLife auto and home insurance Mindset App Program Discounts on cell phone plans, hotels, and more LifeLock identity Theft Savvy consumer wellness programs- from health care tips to financial wellness Dave Ramsey's SmartDollar Program U-Haul federal credit union Wellness Program U-Haul is an equal opportunity employer. All applications for employment will be considered without regard to race, color, religion, sex, national origin, physical or mental disability, veteran status, or any other basis protected by applicable federal, provincial, state, or local law. Individual accommodations are available on requests for applicants taking part in all aspects of the selection process. Information obtained during this process will only be shared on a need to know basis.

The Human Resources Compliance Specialist is responsible for ensuring an organization is aware of and adheres to all federal, state, and local employment laws by monitoring HR policies and procedures, identifying potential compliance risks, conducting internal audits, providing training on compliance matters, and implementing corrective actions to maintain a legally compliant workplace; essentially acting as a subject matter expert on employment regulations and advising management on best practices to mitigate legal risks. What You'll Do: Staying updated on employment laws: Actively tracking changes in federal, state, and local employment laws and regulations to ensure the company remains compliant. Policy development and maintenance: Creating, reviewing, and updating HR policies and procedures to align with legal requirements and company practices. Compliance audits and investigations: Conducting internal audits to assess compliance with employment laws, identifying areas of concern, and initiate resolution. Employee training and awareness: Developing and delivering training programs to educate employees on company policies. Reporting and documentation: Preparing compliance reports, maintaining detailed documentation related to compliance activities, and tracking compliance metrics. Consulting with management: Advising management on compliance issues, providing guidance and direction on implementation Responding to compliance inquiries: Addressing employee questions regarding compliance matters and providing clear explanations of company policies. Managing compliance-related projects: Leading initiatives to implement new compliance requirements or address identified issues. What We're Looking For: Strong understanding of employment laws: Thorough knowledge of federal and state employment laws including EEO, ADA, FMLA, FLSA, and OSHA regulations. Analytical skills: Capability to analyze data, identify trends, and assess potential compliance risks. Communication skills: Excellent written and verbal communication skills to effectively convey compliance information to employees and management. Attention to detail: Ability to meticulously review documents, data, and processes to ensure compliance accuracy. Problem-solving skills: Capability to identify and address compliance issues proactively, developing solutions to complex problems. 5+ years prior direct experience in Human Resources, preferably with a focus on compliance. Knowledge of HR information systems (HRIS) and data management. #LI-JJ1 Key Skills What's In It For You? Elective Benefits: Our programs are tailored to your country to best accommodate your lifestyle. Grow Your Career: Accelerate your path to success (and keep up with the future) with formal programs on leadership and professional development, and many more on-demand courses. Elevate Your Personal Well-Being: Boost your financial, physical, and mental well-being through seminars, events, and our global Life Empowerment Assistance Program. Diversity, Equity & Inclusion: It's not just a phrase to us; valuing every voice is how we succeed. Join us in celebrating our global diversity through inclusive education, meaningful peer-to-peer conversations, and equitable growth and development opportunities. Make the Most of our Global Organization: Network with other new co-workers within your first 30 days through our onboarding program. Connect with Your Community: Participate in internal, peer-led inclusive communities and activities, including business resource groups, local volunteering events, and more environmental and social initiatives. Don't meet every single requirement? Apply anyway. At TD SYNNEX, we're proud to be recognized as a great place to work and a leader in the promotion and practice of diversity, equity and inclusion. If you're excited about working for our company and believe you're a good fit for this role, we encourage you to apply. You may be exactly the person we're looking for! We are an equal opportunity employer and committed to building a team that represents and empowers a variety of backgrounds, perspectives, and skills. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, gender, gender identity or expression, sexual orientation, protected veteran status, disability, genetics, age, or any other characteristic protected by law. TD SYNNEX is an E-Verify company

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 leadership team by recruiting a strong business-building executive who will be fundamental to this growth strategy. This new hire will be a senior business builder with a high-profile personal network with Financial Crimes expertise. 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 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 Proven track record of successful new business generation, and demonstrable ability (or commercial potential) to sell, deliver and manage highly visible engagements demonstrated by year over year credited sales generation of $2M+ 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 and/or Washington, DC, metropolitan areas 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 $197,000.00-$328,000.00. 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.

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.

The IT Compliance Analyst I is a key entry-level role within Regal Cineworld, focusing on supporting compliance, audit, IT process control, and privacy assurance activities. This position will assist in maintaining the corporate Governance, Risk, and Compliance (GRC) program and help manage organizational risks, policies, controls, and audit requests. The Analyst will work under the guidance of senior team members to monitor compliance, assist in preparing for audits, and support IT governance processes across the organization. This role requires collaboration with various teams to ensure adherence to IT compliance standards and assist in resolving compliance-related issues. The Analyst will also support training initiatives and assist in implementing best practices. KEY RESPONSIBILITIES COMPLIANCE COORDINATION Assist in the monitoring and testing of IT compliance controls to ensure adherence to relevant standards and frameworks (e.g., SOX, PCI, etc.). Collaborate with team members to support IT compliance requirements and objectives across the organization. Help maintain risk, policy, and audit documentation within the GRC platform (e.g., ServiceNow). Support the tracking and resolution of IT compliance issues, ensuring timely and effective resolution. Contribute to the development and maintenance of an IT compliance training program, ensuring end-users understand compliance requirements. Assist in preparing for audits and facilitate audit engagements, ensuring compliance with IT systems and applications. AUDIT COORDINATION: Support the planning and execution of audits related to IT systems and applications. Assist in audit preparation, helping to gather evidence and prepare necessary documentation. Track and support the resolution of audit findings, ensuring corrective actions are completed in a timely manner. Assist in conducting end-user reviews to ensure compliance with security best practices. IT PROCESS CONTROL Help in the development and maintenance of IT compliance policies and procedures, ensuring adherence to industry standards and regulatory requirements. Support change control processes, helping establish guidelines for managing IT infrastructure changes. Assist in providing recommendations for process improvements to address potential risks or system issues. Qualifications: To be successful in this role, an individual must be able to perform the essential duties satisfactorily. The requirements below represent the knowledge, skills, and abilities required for the position. Reasonable accommodation can be made for individuals with disabilities. Professional Skills: Basic knowledge of IT compliance regulations and industry standards. Understanding of risk management, audit processes, and IT governance at a foundational level. Ability to analyze and report compliance data under supervision. Strong problem-solving and decision-making skills, with the ability to work through issues methodically. Good communication skills, with the ability to explain technical concepts to non-technical audiences. Ability to prioritize tasks and manage multiple responsibilities. Familiarity with Microsoft Office Suite (Word, Excel, PowerPoint). Detail-oriented and organized, with a proactive approach to work. Ability to work effectively in a team-oriented environment. Strong interpersonal skills and the ability to build relationships across teams. Education/Experience: Bachelor's degree in computer science, Information Systems, Business Administration, or a related field, or equivalent work experience. 1-2 years of experience in IT compliance, privacy, or related support roles. Experience with regulatory frameworks such as SOX, PCI, or other industry standards is required. SOX audit (Sarbanes-Oxley Act) experience required Exposure to GRC platforms (e.g., ServiceNow) and auditing tools is preferred. Certificates, Licenses, Registrations: Privacy and Data Protection or SOX related certifications is desirabLe but not required. Other relevant certifications are desirable but not required. Language Ability: Must have good reading, writing, and speaking skills to effectively communicate with managers, and co-workers. Math Ability: Ability to add, subtract, multiply, and divide in all units of measure, using whole numbers, common fractions, and decimals. Ability to compute rate, ratio, and percent, and to develop and interpret charts. Reasoning Ability: Ability to define problems, collect data, establish facts, and draw valid conclusions. Ability to interpret an extensive variety of technical instructions in mathematical or diagram form and deal with several abstract and concrete variables. Computer Skills: Demonstrate advanced skills with Microsoft Office Suite including, but not limited to Word, PPT, Excel, and Project. Supervisory Responsibilities: This position has no direct supervisory responsibilities Work Environment: The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions. The noise level in the environment is moderate. Physical Demands: The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions. While performing the duties of this job the employee is frequently required to stand, walk, sit, and use hands to finger, handle, or feel; reach with hands and arms; climb or balance; stoop, kneel, crouch, or crawl and talk or hear. The vision requirements include close vision, distance vision, peripheral vision, depth perception, and the ability to adjust focus. The employee is occasionally required to lift up to 50 pounds.

About Clear Street: Clear Street is modernizing the brokerage ecosystem. Founded in 2018, Clear Street is a diversified financial services firm replacing the legacy infrastructure used across capital markets. We started from scratch by building a completely cloud-native clearing and custody system designed for today's complex, global market. Our platform is fully integrated with central clearing houses and exchanges to support billions in trading volume per day. We've agonized about our data model abstractions, created horizontal scalability, and crafted thoughtful APIs. All so we can provide a best-in-class experience for our clients. By combining highly-skilled product and engineering talent with seasoned finance professionals, we're building the essentials to compete in today's fast-paced markets. At Clear Street, we are committed to excellence in investment banking and providing comprehensive advisory and capital raising services to our clients. Our dynamic investment banking team connects capital with opportunity, creating value for our clients. We are currently seeking a dedicated and experienced Capital Markets Compliance Officer to join our Compliance team who will be responsible for providing compliance advice and building a compliance program to support our growing investment banking offering. The Role: As a Capital Markets Compliance Officer, you will play a critical role in supporting the regulatory compliance infrastructure of our Investment Banking and Equity Research divisions. You will be responsible for providing compliance guidance to the team and for monitoring the activities within investment banking and research for compliance with applicable internal policies and procedures and applicable federal securities laws and implementing rules and regulations. Your insights and analysis will help mitigate risks and uphold the integrity of our business practices. Responsibilities: Operationalize the policies, procedures and written supervisory procedures for the investment banking and research divisions and related products including corporate access. Conduct compliance reviews, surveillance and monitoring of investment banking transactions to monitor for compliance for SEC, FINRA and other applicable rules and regulations. Lead the development and implementation of written policies and procedures for investment banking, research and corporate access. Oversee the restricted list, watch list and other control room processes. Provide real-time advice and guidance to investment bankers on regulatory and compliance issues, including but not limited to conflicts of interest, regulatory filing requirements, insider trading and market manipulation. Provide advice to the sales and trading desks on questions that arise in connection with investment banking transactions and the publication of research. Conduct training on compliance matters to foster a culture of compliance across the Clear Street organization. Prepare and submit regular compliance reports to senior management. Coordinate with Legal and the CCO on compliance issues that impact investment banking, research or corporate access. Identify, escalate and assist in the remediation of any compliance issues that arise. Prepare and submit responses to regulatory inquiries involving investment banking, corporate access and/or research. Stay abreast of new regulations or changes in law and advise on implications for the business. Requirements: At least five (5) years of professional experience implementing and maintaining compliance programs for investment banking and research. Bachelor degree in Finance, Economics, pre-law or other similar discipline. Experience facing off with regulators and designing compliance programs for SEC, FINRA and other relevant rules and regulations as it relates to research and investment banking Excellent analytical and problem-solving skills, with the ability to interpret complex legal documents. Exceptional communication and interpersonal skills, including the ability to explain complex compliance issues clearly and persuasively. Ability to be commercial when working with senior stakeholders while balancing business opportunities and compliance needs. Proficiency in using compliance monitoring tools and conducting research to address questions. We Offer: The Base Salary Range is $175,000 - $225,000. These ranges are representative of the starting base salaries for this role at Clear Street. Which range a candidate fits into and where a candidate falls in the range will be based on job related factors such as relevant experience, skills, and location. These ranges represent Base Salary only, which is just one element of Clear Street's total compensation. The ranges stated do not include other factors of total compensation such as bonuses or equity. At Clear Street, we offer competitive compensation packages, company equity, 401k matching, gender neutral parental leave, and full medical, dental and vision insurance. Our belief has always been that we are better as a business when we are all together in person. We are requiring employees to be in the office 4 days per week. In-office benefits include lunch stipends, fully stocked kitchens, happy hours, a great location, and amazing views. Our top priority is our people. We're continuously investing in a culture that promotes collaboration. We help each other through challenges and celebrate each other's successes. We believe that modern workplaces succeed by virtue of having high-performance workforces that are diverse - in ideas, in cultures, and in experiences. We put in the effort to make such a workplace a daily reality and are proud to be an equal opportunity employer. #LI-Hybrid