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As a member of the Information Services department, the Lead Analyst, Digital Data Governance & Compliance will drive and support our firm-wide electronic governance initiatives. This key role will focus on ensuring integrity, security, accessibility, and compliance of data assets across the organization. The Lead Analyst will serve as a subject matter expert in data mapping, eDiscovery, Litigation Hold, internal data collections, and regulatory compliance - acting as both a strategic and tactical partner to business units, legal, compliance, and IT teams. ESSENTIAL FUNCTIONS: Data Governance Work closely with the Senior Manager, Digital Data Governance & Compliance to lead the strategy, implementation and management of comprehensive electronic data governance frameworks, standards, and policies. Develop and execute data lifecycle management processes for unstructured and structured digital content. Litigation Hold & Internal Data Collections Develop and execute Litigation Hold process, ensuring data relevant to ongoing or anticipated litigation is properly identified, preserved, and tracked throughout Litigation Hold lifecycle. Lead internal data collections in response to audits, investigations or internal reviews, ensuring completeness, chain of custody, and evidentiary standards are met. Data Mapping & Discovery Lead process for maintaining enterprise data map, ensuring all data assets, flows, and repositories are documented, regularly reviewed, and updated for accuracy. Partner with IT, legal, privacy, and business units to identify, classify, and document digital data assets across systems and platforms. Cross-functional Collaboration Collaborate with cross-functional teams (Legal, Compliance, Information Security, IT, Business Units) to identify risks, close control gaps, and support continuous improvement of data governance practices. Prepare and deliver training, guidance, and communications to staff regarding electronic data governance, best practices, and compliance obligations. Work with the Office of the General Counsel to support internal and external audits and investigations. Technology Strategy & Tools Evaluate and implement digital tools for litigation hold, data mapping, governance, and eDiscovery processes. Recommend solutions that improve efficiency, defensibility, and transparency of digital data operations. ADDITIONAL FUNCTIONS: Available to provide support after normal business hours, if required. Additional duties as assigned. QUALIFICATIONS (EXPERIENCE, KNOWLEDGE, SKILLS, AND ABILITIES): Education: Bachelor's degree in Information Management, Computer Science, Business Administration, or a related field. A combination of education and experience will be considered in lieu of a degree. Experience: 7+ years of experience in digital data governance, compliance, data mapping, litigation hold or eDiscovery roles. Knowledge, Skills, & Abilities: Demonstrated experience with data governance programs, particularly in regulated and/or law firm environments. Working knowledge of SQL, PowerShell, and Power BI technologies. Strong understanding of litigation hold and internal investigation protocols. Familiarity with data governance and data management platforms such as Microsoft Purview, Relativity, or similar platforms. Strategic thinker with strong analytical and critical thinking skills. Excellent written and verbal communication skills. High integrity and sound judgment with sensitive information. WORK ENVIRONMENT & PHYSICAL DEMANDS: This job operates in a clerical, office setting. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. PHYSICAL REQUIREMENTS Sedentary work: Exertion of physical strength to lift, carry, push, pull, or otherwise move objects up to 10 pounds. Work involves sitting most of the time. Walking and standing is often necessary in carrying out job duties. VISUAL ACUITY Worker is required to have close visual acuity to perform an activity such as: preparing and analyzing data and figures; transcribing; viewing a computer terminal; extensive reading. COMPENSATION & BENEFITS The salary ranges for this position apply to the respective listed locations. The salary range reflects a variety of factors that are considered in making compensation decisions, including but not limited to experience, education, licensure and/or certifications, geographic location, market demands and other business and organizational needs. It is not typical for an individual to be hired at or near the top of the range for a position. Reasonable estimates of the current ranges for this position are: Las Vegas & Minneapolis: $90,000 to $110,000 Chicago & Atlantic City: $105,000 to $120,000 Denver, Los Angeles, Morristown, Princeton, Washington, DC & Seattle: $115,000 to $126,000 New York & San Francisco: $126,000 to $132,000 For information on Fox Rothschild's compensation and benefits visit: Compensation & Benefits (foxrothschild.com) DISCLAIMER Fox Rothschild LLP is under no obligation to provide sponsorship for this position. Applicants must be currently authorized to work in the United States on a full-time basis now and in the future. The above is intended to describe the general content of and requirements for the performance of this job. It is not a contract or employment agreement and is not to be construed as an exhaustive statement of all functions, responsibilities, or requirements the employee may be required to perform, and the employee may be required to perform additional duties. Additionally, management reserves the right to review and revise the job description at any time. Employment with the firm is at-will. Employees must be able to satisfactorily perform all of the essential functions of the position with or without a reasonable accommodation. If an accommodation request would cause an undue hardship or a safety concern, the individual may not be eligible for the position.

Responsible for performing regulatory research and analysis for the Compliance Risk Advisory Services Group and advising of the regulatory risks and adequacy of first line of defense operating policies, procedures, and processes. Support Compliance Risk Advisory Services in the collaboration with the first line of defense to identify and mitigate elevated residual compliance risks and establish appropriate compliance controls related thereto Assist our partners in the first line of defense with the development of policies and procedures to ensure adherence to regulations Act as resource for personnel questions on compliance issues and assist with remediation or answers Assist as needed with the bank's complaint management system (Kadince); track investigations of customer complaints to ensure timely response; ensure third party vendor complaints are documented and investigated; maintain complaint status in Kadince; and generate internal complaint dashboard and related management reports Prepare preliminary reports of issues or findings with root cause analysis and improvement recommendations (when warranted) Support tracking, monitoring, and reporting of compliance risks and related activities Conduct follow up with business units on implementation and status of monitoring review recommendations and/or findings, issue-tracking, including notifying business lines of impending due dates, escalating unresolved issues appropriately and performing retesting as directed Assist as needed with maintaining and managing workflow of advertisements and other promotional materials and approval of such (including branch flyers, posters, notices, marketing brochures, internet, social media, email, television, radio, statement messages, etc.) for compliance with applicable laws and regulations Assist as needed with conducting and documenting third party risk management compliance reviews for Tier 1 and Tier 2 vendors Prepares reports by collecting, analyzing, and summarizing information Conducts and/or provides assistance on special projects, as required Assist with the design and delivery of consumer compliance-related training, as needed Adhere to all designated time frames, manage workflow to the specified deadlines and complete responsibilities in a satisfactory manner Maintains professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, benchmarking state-of-the-art practices, and participating in professional societies Coordinate registering Compliance Risk Management Team for training and continuing education; retaining appropriate documentation of such continuing education Create and/or update internal department procedures as necessary Coordinate the Compliance Risk Management Team meeting minutes Performs any other assignments as directed by the Chief Compliance Officer and Director of Compliance Risk Advisory Services Supervisory Responsibilities The incumbent is not responsible for the supervision of employees. Competencies To perform the job successfully, an individual should demonstrate the following competencies: Analytical and Design- Ability to assess risk; Detail oriented, analytical, and critical thinking skills; Strong problem solving and analytical skills required to succeed in this job; Strong technical troubleshooting skills and ability to juggle simultaneous projects. Problem Solving- Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Works well in group problem solving situations; Uses reason even when dealing with emotional topics. Interpersonal Skills/Customer Service- Focuses on solving conflict, not blaming; Maintains confidentiality; Remains open to others' ideas and tries new things; Manages difficult or emotional customer situations; Responds to requests for service and assistance; Meets commitments. Oral and Written Communication- Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions; Demonstrates group presentation skills; Participates in meetings; Writes clearly and informatively; Edits work for spelling, grammar, and legal citation references; Varies writing style to meet needs; Able to read and interpret written information. Teamwork- Ability to work in a collaborative environment, as well as independently; Balances team and individual responsibilities; Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Supports everyone's efforts to succeed. Organizational Support- Follows policies and procedures; Completes administrative tasks correctly and on time; Supports organization's goals and values; Benefits organization through outside activities; Supports affirmative action and respects diversity; Embraces trusted advisor role. Judgment and Motivation- Displays willingness to make decisions; Exhibits sound and accurate judgment; Supports and explains reasoning for decisions; Includes appropriate people in decision-making process; Makes timely decisions; Demonstrates persistence and overcomes obstacles. Planning/Organizing- Ability to multi-task and set priorities; Prioritizes and plans work activities; Uses time efficiently; Sets goals and objectives. Professionalism- Ability to deal with all levels of personnel in a courteous and effective manner; Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration regardless of their status or position. Quantity- Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with interruptions and changing priorities. Adaptability- Adapts to changes in the work environment; Manages competing demands; Changes approach or method to best fit the situation; Able to deal with frequent change, delays, or unexpected events. Attendance/Punctuality and Dependability- Is consistently at work and on time; Ensures work responsibilities are covered when absent; Arrives at meetings and appointments on time; Follows instructions, responds to management direction; Takes responsibility for own actions; Commits to long hours of work when necessary to reach goals. Qualifications To perform this job successfully, knowledge of Compliance Risk Management and related laws and regulations. Incumbent must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Education and/or Experience At least three (3) years, banking compliance experience. General familiarity with federal and state banking regulations preferred. Relevant training and/or certifications as a Compliance Specialist or similar compliance certification. Strong analytical and critical thinking skills. Strong documenting and reporting skills. Attention to detail. Strong verbal and written communication skills. Experience as a compliance auditor and or compliance examiner is acceptable. Computer Skills To perform this job successfully, an individual should have advanced knowledge of Microsoft Office Suite, including Outlook, Word, Excel, and Access. Power BI preferred. Ability to learn bank-specific software. Ability to use basic office machines. Bank Culture/Customer Service Skills Ability and judgment to interact and communicate appropriately with other employees, customers, and supervisor. Ability to serve customers, both internal and external, (community/public) in a manner that will reflect superior customer relations and enhance the overall marketing effort of Origin Bank. Physical Demands While performing the duties of this job, the employee is frequently required to stand; walk; sit; use hands to finger, handle, or feel and talk or hear. The employee is occasionally required to reach with hands and arms; climb or balance and stoop, kneel, crouch, or crawl. The employee must frequently lift and/or move up to 10 pounds and occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision and ability to adjust focus. Mental Demands Incumbent in this position must be able to accommodate reading documents or instruments, detailed work, problem solving, customer contact, reasoning, math, language, presumptions, verbal and written communication, analytical reasoning, stress, multiple concurrent tasks, and constant interruptions. Work Environment The noise level in the work environment is usually moderate. This job description reflects management's assignment of essential functions. It does not prescribe or restrict the tasks that may be assigned. Origin Bank shall, in its discretion, modify or adjust the position to meet the Bank's changing needs. This job description is not a contract and may be adjusted as deemed appropriate in the Bank's sole Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, pregnancy, genetic information, disability, status as a protected veteran, or any other protected category under applicable federal, state, and local laws. Know Your Rights Remote positions are intended to be filled in states within our footprint, which includes: Alabama, Florida, Louisiana, Mississippi, and Texas. Any exception to this policy requires further regulatory review and approval by management.

Industry/Sector Pharma and Life Sciences Specialism Conduct and Compliance Management Level Manager Job Description & Summary At PwC, our people in risk and compliance focus on maintaining regulatory compliance and managing risks for clients, providing advice, and solutions. They help organisations navigate complex regulatory landscapes and enhance their internal controls to mitigate risks effectively. In regulatory risk compliance at PwC, you will focus on confirming adherence to regulatory requirements and mitigating risks for clients. You will provide guidance on compliance strategies and help clients navigate complex regulatory landscapes. Enhancing your leadership style, you motivate, develop and inspire others to deliver quality. You are responsible for coaching, leveraging team member's unique strengths, and managing performance to deliver on client expectations. With your growing knowledge of how business works, you play an important role in identifying opportunities that contribute to the success of our Firm. You are expected to lead with integrity and authenticity, articulating our purpose and values in a meaningful way. You embrace technology and innovation to enhance your delivery and encourage others to do the same. Examples of the skills, knowledge, and experiences you need to lead and deliver value at this level include but are not limited to: Analyse and identify the linkages and interactions between the component parts of an entire system. Take ownership of projects, ensuring their successful planning, budgeting, execution, and completion. Partner with team leadership to ensure collective ownership of quality, timelines, and deliverables. Develop skills outside your comfort zone, and encourage others to do the same. Effectively mentor others. Use the review of work as an opportunity to deepen the expertise of team members. Address conflicts or issues, engaging in difficult conversations with clients, team members and other stakeholders, escalating where appropriate. Uphold and reinforce professional and technical standards (e.g. refer to specific PwC tax and audit guidance), the Firm's code of conduct, and independence requirements. As part of the Regulatory Risk and Compliance Generalist team you deliver exceptional healthcare compliance consulting services to clients in the pharmaceutical and medical device industries. As a Manager you supervise, develop, and coach teams, manage client service accounts, and drive assigned client engagement workstreams by supervising teams and independently solving and analyzing complex problems to develop exceptional deliverables. You provide strategic guidance and subject matter specialization to clients regarding compliance with relevant laws, regulations, and industry standards. Responsibilities Deliver healthcare compliance consulting services to pharmaceutical and medical device clients Supervise, develop, and coach teams Manage client service accounts and drive engagement workstreams Solve and analyze complex problems to produce top-quality deliverables Provide strategic guidance on compliance with laws, regulations, and industry standards Foster client relationships and inspire team members Utilize firm methodologies and technology resources Assure adherence to regulatory requirements What You Must Have Bachelor's Degree 7 years of experience What Sets You Apart Degree in Management Information Systems, Accounting, Data Processing/Analytics/Science, Computer and Information Science, Economics, Finance, Business Administration/Management, Engineering preferred Broad experience in pharmaceutical industry regulatory environment Proficiency in healthcare compliance regulations and industry codes Strength in leadership and project management skills Proven track record in building and maintaining client relationships Specialization in global compliance program strategy and design Knowledge of compliance automation solutions and AI Experience in compliance monitoring and risk assessments Ability to communicate complex compliance concepts effectively Travel Requirements Up to 60% Job Posting End Date Learn more about how we work: https://pwc.to/how-we-work PwC does not intend to hire experienced or entry level job seekers who will need, now or in the future, PwC sponsorship through the H-1B lottery, except as set forth within the following policy: https://pwc.to/H-1B-Lottery-Policy . As PwC is an equal opportunity employer, all qualified applicants will receive consideration for employment at PwC without regard to race; color; religion; national origin; sex (including pregnancy, sexual orientation, and gender identity); age; disability; genetic information (including family medical history); veteran, marital, or citizenship status; or, any other status protected by law. For only those qualified applicants that are impacted by the Los Angeles County Fair Chance Ordinance for Employers, the Los Angeles' Fair Chance Initiative for Hiring Ordinance, the San Francisco Fair Chance Ordinance, San Diego County Fair Chance Ordinance, and the California Fair Chance Act, where applicable, arrest or conviction records will be considered for Employment in accordance with these laws. At PwC, we recognize that conviction records may have a direct, adverse, and negative relationship to responsibilities such as accessing sensitive company or customer information, handling proprietary assets, or collaborating closely with team members. We evaluate these factors thoughtfully to establish a secure and trusted workplace for all. The salary range for this position is: $99,000 - $232,000. Actual compensation within the range will be dependent upon the individual's skills, experience, qualifications and location, and applicable employment laws. All hired individuals are eligible for an annual discretionary bonus. PwC offers a wide range of benefits, including medical, dental, vision, 401k, holiday pay, vacation, personal and family sick leave, and more. To view our benefits at a glance, please visit the following link: https://pwc.to/benefits-at-a-glance

Why Ryan? Flexible Work Environment Award-Winning Culture World-Class Benefits and Compensation Accelerated Career Path Community Outreach Mentorship Opportunities Wellness-Centric Benefits Senior Business Analyst collaborates with US & Offshore Transaction Tax teams to understand business requirements and develop technology-driven workflow solutions. This role involves managing and integrating data from various platforms, including MS Excel, MS Access, SharePoint, and SQL Server. It also includes the use of automation tools, RPA, and T SQL for process optimization. Duties and responsibilities: People: Contribute to a positive team experience Collaborate with IT teams, ensuring compliance with technical standards and best practices. Coordinate with US DST, Manila, and India teams to achieve goals. Client: Assist with new client onboarding Data Process and ETL Automation and Software Implementations Assist with designing and implementing Tax Technology solutions Implement various Transactional Tax Software packages Design, build, and maintain data flow and ETL processes with SQL Server, Alteryx, and various software packages Design, build, and maintain RPA solutions Design, build, and maintain custom solutions built in various programming languages Help prepare process documentation. Education and Experience: Master's or bachelor's degree in computer engineering, Information Technology, or Computer Science. Minimum of 3 years of relevant experience, preferably in accounting or financial systems. Ability to analyze data and organize as per the requirement Exposure in documenting procedures, projects, and quality management. Preferred Skills: Oral Communication, Written Communication, Time Management, Knowledge of Microsoft Office, and SQL Server. Technical Skills: Advanced SQL skills Experience with Software Implementations and ETL preferred Intermediate to advanced proficiency in Microsoft Word, Excel, and Outlook. Experience with Visual Basic, .NET, T-SQL, and API development. Strong Analytical, Technical, problem-solving, troubleshooting, and programming skills. Work Environment: Current work schedule is 9 PM - 6 AM Manila Time. Shift change is anticipated depending on US work hours/time zones and business needs. Hybrid setup. A reasonable amount of overtime may be required as needed. The position requires regular interaction with employees in the US via email and telephone.

Job Req ID: 26710 About Supermicro: Supermicro is a Top Tier provider of advanced server, storage, and networking solutions for Data Center, Cloud Computing, Enterprise IT, Hadoop/ Big Data, Hyperscale, HPC and IoT/Embedded customers worldwide. We are the #5 fastest growing company among the Silicon Valley Top 50 technology firms. Our unprecedented global expansion has provided us with the opportunity to offer a large number of new positions to the technology community. We seek talented, passionate, and committed engineers, technologists, and business leaders to join us. Job Summary: We are looking for a highly motivated leader to join our growing Global SOX Compliance team. This role will be responsible for operating as the Second Line of Defense within the Controllership Organization, establishing and maintaining policies and procedures that help monitor and enhance the company's global control environment and support management (First Line) in the identification of emerging risks. The Director, Global SOX Compliance Manager will be a trusted business partner helping to design and optimize business processes and controls, while also operating as the primary liaison with internal audit (Third Line) and our external auditors on SOX compliance. The ideal candidate has a detailed knowledge of SOX and COSO framework, strong business process acumen, excellent communication and critical thinking skills, and an ability to collaborate effectively across a range of internal and external partners. This role offers a great opportunity to learn and grow within a high energy and innovative organization. Your Daily Impact at Supermicro: Work within the Second Line of Defense (Global SOX Compliace) team, acting as an advisor to the business and driving the design, implementation and monitoring of Super Micro Computer Inc.'s risk and control framework Develop and maintain/update process documentation, procedures and controls, including flowcharts and Risk and Control Matrices; document narratives as vital. Conduct process walkthroughs and risk assessments, evaluating design effectiveness of key business process controls; if deficiencies are identified, partner with management to design appropriate remediation plans with feasible timelines and monitor remediation to completion. Provide guidance and support to control owners if they propose process or system changes (e.g. Implementation of new systems, impact assessment for changes in people, process or technology). Provide timely and proactive updates to the SOX & Finance leadership team on key risks, gaps, process enhancements, or any areas of potential concern. Prepare and provide regular training on SOX and control requirements, risk management, and other relevant areas (e.g. management review controls, IPE procedures, etc.) to educate business process owners and reiterate the importance of compliance Partner with the IT organization teams to ensure alignment on SOX approach, timing, controls reliance, external audit reliance, etc. Provide creative input that will drive process efficiency across the organization and make valuable contributions to the audit process. Establish and maintain excellent relationships within the team and cross-functional teams. Find opportunities to leverage IT solutions to automate processes and create efficiencies in financial processes and strengthen internal controls. Coordinate activities and strategies with internal and external auditors. Participate in the preparation of leadership and Audit Committee materials. Perform other related special studies or projects as assigned, meeting deadlines. What You Bring to Supermicro: BA/BS degree in Accounting/Finance or related field. CPA, CIA, or CISA preferred. 15+ years of relevant Internal Audit or SOX experience Mix of private and public accounting experience (assurance or advisory). Experience with a Big 4 accounting firm is a plus. Strong knowledge of Sarbanes-Oxley, US GAAP, COSO framework, PCAOB auditing standards, risk and controls standards, and business process best practices. Excellent communication, collaboration, and presentation skills, with the ability to engage with senior management and external auditors. Strong business process acumen and knowledge of standard processes and best practice, with direct experience with Order-to-Cash, Procure-to-Pay, Inventory and Financial Statement Close processes. Working knowledge of IT systems - SAP, Blackline, Workiva, home grown systems, etc. and data analytics tools. Highly organized, motivated, meticulous with the ability to work independently in a fast-paced environment. Flexible and able to adapt quickly in a fast-moving environment; able to easily manage competing priorities and deadlines. Salary Range $203,000 - $227,000 The salary offered will depend on several factors, including your location, level, education, training, specific skills, years of experience, and comparison to other employees already in this role. In addition to a comprehensive benefits package, candidates may be eligible for other forms of compensation, such as participation in bonus and equity award programs. EEO Statement Supermicro is an Equal Opportunity Employer and embraces diversity in our employee population. It is the policy of Supermicro to provide equal opportunity to all qualified applicants and employees without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veteran status or special disabled veteran, marital status, pregnancy, genetic information, or any other legally protected status. Job Segment: Cloud, Data Center, Manager, SAP, ERP, Technology, Management

About the Role: As Head of Compliance at Perpay, you will lead the development, execution, and continuous improvement of our enterprise-wide Compliance Management System (CMS) in support of our mission to build inclusive financial products that improve the lives of our members. With the Perpay Credit Card, issued by Celtic Bank, and future innovations on the horizon, this is a high-impact leadership opportunity to shape how compliance enables responsible innovation. You will serve as a strategic partner across Product, Engineering, Data Science, and Operations to find creative, compliant paths to bring new ideas to life-balancing consumer protection, regulatory expectations, and business growth. You will also lead our efforts to strengthen and scale our BSA/AML compliance framework in alignment with evolving risk profiles and bank partner requirements. Our greatest strength is our people and we'd love for you to be one of them! Why You'll Love It Here: Creative Influence: Help shape the future of financial products while building risk-aware and innovation-friendly solutions Leadership Opportunity: Define the vision and build the compliance function as Perpay scales its offerings and footprint Mission-Aligned Work: Ensure responsible access to credit for underserved consumers while maintaining regulatory integrity Collaborative Culture: Work cross-functionally with smart, mission-driven teams in a fast-paced, entrepreneurial environment What You'll Do: Own the vision, design, and day-to-day operation of Perpay's CMS, ensuring it evolves with regulatory expectations, business strategy, and partner bank standards Serve as the internal authority and advisor on compliance and BSA/AML matters, driving education, accountability, and alignment across all teams Build and lead a growing compliance team, setting clear priorities and scaling systems to support our expanding credit products Oversee critical CMS functions including Complaint Management, Vendor Oversight, Issue Management, Monitoring & Testing, and Compliance Training Develop, maintain, and oversee the execution of an effective BSA/AML program, including risk assessments, transaction monitoring, and suspicious activity reporting in collaboration with external partners Work cross-functionally to identify risks and creatively design compliant solutions that support new product initiatives and operational changes Monitor the regulatory environment for changes and lead implementation of new requirements with agility and precision Report regularly to executive leadership and the Board on key compliance and AML trends, risks, and program performance Interface with external partners, including bank partners, to represent the compliance function Cultivate a compliance-forward culture rooted in transparency, curiosity, and proactive risk mitigation What You'll Bring: 5+ years of leadership experience in compliance within a financial services or fintech environment, including direct experience with BSA/AML frameworks Strong knowledge of relevant consumer protection laws and regulations (e.g., TILA, ECOA, FCRA, UDAAP, GLBA), and how they apply to credit cards and bank-partnered fintechs Experience designing and implementing scalable compliance and AML processes in high-growth or entrepreneurial environments Proven ability to balance regulatory requirements with business innovation, providing actionable, creative guidance on new ideas and product launches Excellent communication and stakeholder management skills, with the ability to work cross-functionally and influence at all levels A pragmatic, proactive approach to compliance that focuses on finding solutions and building trust and relationships between internal stakeholders and external partners Hey, we know not everybody checks all the boxes, so if you're interested, please apply because you could be just what we're looking for!

Are you looking for an exciting job where you can put your skills and talents to work at a company you can feel proud to be a part of? Do you want a workplace that will challenge you and offer you opportunities to learn and grow? A position at Xcel Energy could be just what you're looking for. Position Summary Provide professional safety/technical training consulting across the Company/Enterprise. Utilize systematic approaches to training to develop and maintain training materials. Design evaluation instruments and analyze trainee and stakeholder feedback for program improvements. Position may require extended periods of time at the customer site. Manage training programs. Coordinate apprenticeship programs within regions. Essential Responsibilities Utilize systematic approach to training to deliver effective training, and adhere to records management requirements. Design and develop skills enhancement strategies and practices to support continuous improvement of personnel necessary to meet/exceed business and organizational goals and to be successful in meeting industry and competitive challenges . Provide oversight and work direction for apprenticeship programs, continuing technical training, and instructional staff. Support continuous improvement of field staff to meet/exceed organizational goals. Fully utilize business processes (scorecard, marketing strategies, manufacturing-analysis, design, development, delivery and evaluation) and project management in implementing training. Consult with customer to identify business needs and objectives. Provide customer contact for all training services, products and programs. Design and maintain effective testing instruments and perform statistical analysis to quantitatively and qualitatively evaluate overall effectiveness, cost benefit and ultimate bottom line impact of the training/consulting product or service provided. Perform technical and process improvement consulting. Meet continuing technical and instructional requirements by adhering to Training Process Procedures. Coordinate and facilitate special projects. Minimum Requirements Bachelor's degree in Engineering, Education, or technical field related to the subject(s) in which the individual will provide instruction is preferred, or a combination of education and experience providing equivalent knowledge (specialized trade school, instructor certification, military training, journeyman training) is required. Five years of training experience or equivalent technical work experience related to subject area of instruction. Strong communication and presentation skills are required. Demonstrated knowledge and application of adult learning principles. Demonstrated knowledge of and ability to effectively use Microsoft Office applications. As a leading combination electricity and natural gas energy company, Xcel Energy offers a comprehensive portfolio of energy-related products and services to 3.4 million electricity and 1.9 million natural gas customers across eight Western and Midwestern states. At Xcel Energy, we strive to be the preferred and trusted provider of the energy our customers need. If you're ready to be a part of something big, we invite you to join our team. All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Individuals with a disability who need an accommodation to apply please contact us at recruiting@xcelenergy.com. Non-Bargaining The anticipated starting base pay for this position is: $84,900.00 to $120,566.00 per year This position is eligible for the following benefits: Annual Incentive Program, Medical/Pharmacy Plan, Dental, Vision, Life Insurance, Dependent Care Reimbursement Account, Health Care Reimbursement Account, Health Savings Account (HSA) (if enrolled in eligible health plan), Limited-Purpose FSA (if enrolled in eligible health plan and HSA), Transportation Reimbursement Account, Short-term disability (STD), Long-term disability (LTD), Employee Assistance Program (EAP), Fitness Center Reimbursement (if enrolled in eligible health plan), Tuition reimbursement, Transit programs, Employee recognition program, Pension, 401(k) plan, Paid time off (PTO), Holidays, Volunteer Paid Time Off (VPTO), Parental Leave Benefit plans are subject to change and Xcel Energy has the right to end, suspend, or amend any of its plans, at any time, in whole or in part. In any materials you submit, you may redact or remove age-identifying information including but not limited to dates of school attendance and graduation. You will not be penalized for redacting or removing this information. Deadline to Apply: 01/23/26 EEO is the Law | EEO is the Law Supplement | Pay Transparency Nondiscrimination | Equal Opportunity Policy (PDF) | Employee Rights (PDF) All Xcel Energy employees and contractors share responsibility for protecting the company's information and systems by adhering to cybersecurity policies, standards, and best practices, recognizing that cybersecurity is everyone's responsibility. ACCESSIBILITY STATEMENT Xcel Energy endeavors to make https://www.xcelenergy.com/ accessible to any and all users. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact Xcel Energy Talent Acquisition at recruiting@xcelenergy.com. This contact information is for accommodation requests only and cannot be used to inquire about the status of applications.

You desire impactful work. You're RGA ready RGA is a purpose-driven organization working to solve today's challenges through innovation and collaboration. A Fortune 200 Company and listed among its World's Most Admired Companies, we're the only global reinsurance company to focus primarily on life- and health-related solutions. Join our multinational team of intelligent, motivated, and collaborative people, and help us make financial protection accessible to all. The Senior Vice President, Global Chief Compliance Officer (Global CCO) is RGA's most senior compliance executive and a key member of the Global Law & Compliance leadership team. Reporting to the EVP & Chief Legal Officer, and working closely with Enterprise Risk Management, the Global CCO is responsible for establishing, leading, and continuously enhancing RGA's global compliance, ethics, fraud, and privacy program. This role ensures strong governance, a culture of integrity, and sustainable business growth across RGA's international footprint. Location: Ideally located in one of RGA's offices in a hybrid work arrangement (St. Louis, MO Headquarters, RGA's newly-opened office in New York City, RGA International's Toronto office), the successful candidate may also work in a full remote arrangement. What you will do: Enterprise Compliance Leadership, Strategy & Framework Lead the design, execution, and oversight of RGA's global compliance, ethics, fraud, and privacy programs. Partner with the Chief Legal Officer to align compliance strategy with legal risk management, regulatory obligations, and enterprise objectives. Maintain an objective, independent compliance function that integrates effectively with Global Law & Compliance. Establish and govern a global compliance framework-policies, standards, and programs-ensuring consistent application across all regions. Ensure compliance governance aligns with ERM and supports RGA's risk appetite and risk-based decision-making. Ethics, Conduct, Investigations & Fraud Oversight Lead the global Speak Up / Whistleblower Program, ensuring strong protections and consistent investigative standards. Oversee investigations involving conduct breaches, sanctions/AML matters, conflicts of interest, and financial crime. Partner with Risk and Internal Audit to ensure consistent investigative outcomes and remediation as well as coordinated crisis response and risk assurance activities. Policy Governance, Privacy, Regulatory Monitoring & Emerging Risk Oversee development, adoption, training, and enforcement of enterprise-wide policies, including: Code of Conduct, Conflicts of Interest, Anti-Bribery & Corruption, Sanctions/AML, Anti-Fraud/SIU, and Privacy. Partner with Technology and Risk to establish governance for data, cyber, and AI-related compliance policies. Collaborate with Legal to monitor regulatory developments across all regions. Identify and assess evolving risks (e.g., AI, ESG/sustainability, operational resilience, vendor/outsourcing oversight, cross-border data transfers) and recommend mitigation strategies. Partner with Risk to assess the operational readiness to comply with new/emerging regulations. Compliance Support for Transactions & Business Growth Provide compliance guidance for complex transactions, including reinsurance, pension risk transfer, asset-intensive structures, structured finance, and M&A. Advise global and regional leadership on compliance considerations related to new products, market entry, distribution, and client engagement. Global Team Leadership & Organizational Influence Lead and develop a global compliance team across all regions. Mentor senior compliance leaders and drive professional development, succession planning, and alignment to enterprise standards. Build a collaborative and culturally aware global compliance community that champions ethics and integrity. Serve as a role model for professionalism, judgment, and accountability. Manage compliance resources and budgets effectively. Executive & Board Reporting Prepare and present clear, forward-looking compliance reports to the Board, its committees, and senior leadership. Provide insights on regulatory trends, compliance risks, conduct themes, investigative outcomes, and remediation progress. What you bring to the table: Education & Experience Bachelor's degree in Law, Business, Finance, Risk, or related field. Preferred: JD, LLM, MBA, or professional credentials (AIRC, CCP, CCEP, CAMS, FRM, CIA). 15+ years senior leadership experience in compliance, legal, regulatory affairs, or risk management, preferably in global financial services, insurance, or reinsurance. 10+ years managing teams in matrixed global organizations, including experience leading through significant organizational change. Demonstrated success designing and operating global compliance programs, governance frameworks, and associated budgets. Experience supporting large, complex transactions is highly desirable. Skills & Abilities Exceptional executive presence with the ability to influence the Board, executive leadership, and global business teams. Strong commercial judgment and the ability to balance compliance rigor with business practicality. High cultural fluency and capability to lead teams across diverse geographies. Strategic thinker able to anticipate regulatory shifts and position RGA proactively. Collaborative, diplomatic, and effective in navigating ambiguity. Deep knowledge of global financial services regulatory frameworks. Mastery of compliance risk management, conduct risk, privacy, sanctions/AML, AI/model governance, investigations, and ethics programs. Experience leveraging compliance and legal technology, analytics, automation, and reporting systems. #LI-DL1 #LI-HYBRID What you can expect from RGA: Gain valuable knowledge from and experience with diverse, caring colleagues around the world. Enjoy a respectful, welcoming environment that fosters individuality and encourages pioneering thought. Join the bright and creative minds of RGA, and experience vast, endless career potential. Compensation Range: $294,100.00 - $443,167.00 Annual Base pay varies depending on job-related knowledge, skills, experience and market location. In addition, RGA provides an annual bonus plan that includes all roles and some positions are eligible for participation in our long-term equity incentive plan. RGA also maintains a full range of health, retirement, and other employee benefits. RGA is an equal opportunity employer. Qualified applicants will be considered without regard to race, color, age, gender identity or expression, sex, disability, veteran status, religion, national origin, or any other characteristic protected by applicable equal employment opportunity laws.

Department BSD OCR - Regulatory Compliance About the Department The responsibilities of the Human Research Protections Program (HRPP) in the Biological Sciences Division include: establish, communicate, and implement policies for the oversight of human subjects research for issues both within and outside of the purview of the internal IRBs provide administrative support for the internal IRBs provide continuing education to IRB members human subjects research training requirements for divisional faculty and staff compliance of exempt or non-human subjects research with institutional and local policies review of protocols that rely upon an external IRB review of protocols reviewed by internal IRBs Federal regulations outline the responsibilities of the Institution, including maintaining adequate documentation of IRB activities, identification and appointment of IRB members, maintenance of all records relating to research, institutional reliance considerations, and other responsibilities. The HRPP assumes these responsibilities in conjunction with University Research Administration and the Institutional Official. The HRPP and IRB administrative offices report up to the Vice Dean of Clinical Sciences Research. Job Summary The job maintains regulatory compliance programs, including the interpretation of systems to identify areas of risk and may coordinate internal audits. With a moderate level of direction, participates in compliance documentation, compliance training, and compliance committee formation. The Regulatory Compliance Administrator (RCA) is a member of the Institutional Review Board Staff. The RCA team provides administrative support to the Institutional Review Boards in the Division of Biological Sciences and the University of Chicago Medical Center. The RCA reviews human subject research protocols to ensure compliance with international, federal, state, and local rules and regulations and ethical principles regarding use of human subjects in research and the use of radioisotopes and radioactive drugs in humans. The RCA handles all aspects of committee management, function and development including the responsibility for the review of approximately 3,500 new and continuing projects each year and will work on other special projects as assigned. Responsibilities The RCA will advise investigators regarding the preparation of protocols, the interpretation of federal, state, and local regulations, and the implementation of institutional or HRPP/IRB policies. The RCA will review each submitted protocol to identify and resolve problems prior to IRB review and ensure the integrity of information, including making the initial determination as to the scope of the protocol and therefore its review requirements. The RCA will prepare comments for investigators concerning submissions and respond to researcher inquiries regarding IRB or RADRAC policies/procedures, requests for reports, or renewal information. The RCA will compose summaries (federally‐mandated minutes) of the IRB Committees' technical deliberations and outcome letters for dissemination to research teams which highlight Committee concerns, decisions and need for follow‐up activity. The RCA will participate in the planning and execution of training programs, in the preparation of training and informational materials, including the IRB Website, and development of communications with faculty and administrators. Prepares, completes and submits all compliance documentation on a routine basis. Coordinates compliance committee meetings. Coordinates department or clinic compliance with moderate level of guidance. Plans and executes internal and external audits and activities to support regulatory agency inspections. Performs other related work as needed. Minimum Qualifications Education: Minimum requirements include a college or university degree in related field. Work Experience: Minimum requirements include knowledge and skills developed through 2-5 years of work experience in a related job discipline. Certifications: -- Preferred Qualifications Education: College or university degree in related field. Experience: Knowledge and skills developed through 2-5 years of work experience in a related job discipline. Preferred Competencies Ability to work independently with a high degree of initiative, including problem-solving and decision-making. Ability to work as part of a team. Ability to maintain confidentiality. Ability to work on multiple projects simultaneously, set priorities, and meet deadlines. Strong organizational and project-management skills. Expertise in Microsoft Word, Excel. Excellent written and verbal communication skills. Analytical skills. Ability to manage stressful situations. Working Conditions Office setting. Application Documents Resume (required) Cover Letter (required) When applying, the document(s) MUST be uploaded via the My Experience page, in the section titled Application Documents of the application. Job Family Legal & Regulatory Affairs Role Impact Individual Contributor Scheduled Weekly Hours 40 Drug Test Required No Health Screen Required No Motor Vehicle Record Inquiry Required No Pay Rate Type Salary FLSA Status Exempt Pay Range $65,000.00 - $90,000.00 The included pay rate or range represents the University's good faith estimate of the possible compensation offer for this role at the time of posting. Benefits Eligible Yes The University of Chicago offers a wide range of benefits programs and resources for eligible employees, including health, retirement, and paid time off. Information about the benefit offerings can be found in the Benefits Guidebook. Posting Statement The University of Chicago is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender, gender identity, or expression, national or ethnic origin, shared ancestry, age, status as an individual with a disability, military or veteran status, genetic information, or other protected classes under the law. For additional information please see the University's Notice of Nondiscrimination. Job seekers in need of a reasonable accommodation to complete the application process should call 773-702-5800 or submit a request via Applicant Inquiry Form. All offers of employment are contingent upon a background check that includes a review of conviction history. A conviction does not automatically preclude University employment. Rather, the University considers conviction information on a case-by-case basis and assesses the nature of the offense, the circumstances surrounding it, the proximity in time of the conviction, and its relevance to the position. The University of Chicago's Annual Security & Fire Safety Report (Report) provides information about University offices and programs that provide safety support, crime and fire statistics, emergency response and communications plans, and other policies and information. The Report can be accessed online at: http://securityreport.uchicago.edu . Paper copies of the Report are available, upon request, from the University of Chicago Police Department, 850 E. 61st Street, Chicago, IL 60637.

Wolters Kluwer is a global leader in professional information services that combines deep domain knowledge with specialized technology. Our portfolio offers software tools coupled with content and services that customers need to make decisions with confidence. Every day, our customers make critical decisions to help save lives, improve the way we do business, build better judicial and regulatory systems. We help them get it right. Who We Are: Wolters Kluwer: The world is a big place, find your place here. What We Offer: The Senior Content Management Analyst- Tax Compliance role offers growth potential opportunities, professional development, an engaging small team environment, the ability to work a hybrid schedule, and amazing benefits. Fully remote work may be considered if you're not located near a Wolters Kluwer office. Our Locations: Contact Wolters Kluwer | Wolters Kluwer What You'll be Doing: As a Senior Content Management Analyst- Tax Compliance, you'll be a pivotal force behind our digital content strategy. Leveraging your expertise, you'll manage content projects, optimize user engagement through analytics, and ensure seamless collaboration among team members. Your work will directly impact our brand's online presence and user experience. A successful candidate for the position will have a minimum of 3 years' experience in tax compliance and a strong working knowledge of U.S. Federal and state tax laws. This position reports to the Content Manager for the Axcess Advisor team, TAA R&L. Key Tasks: Track changes to tax law and monitor developments in the tax community to identify items that can be iQ events (tied to fields on tax forms) Work with cross-functional teams (software, developers, product management, production and editorial) on the development and maintenance of CCH Axcess IQ/Advisor is also required. The candidate must also have an understanding of federal and state tax returns and how to interpret information from tax developments (legislation, regulations, guidance from tax authorities, court rulings, real-world events) in a manner that leads to an understanding of how that information would impact a taxpayer's reporting requirements Knowledge of CCH Axcess is required Act as advisor on advanced and broad-ranging projects Participate in new product development as needed Create and build queries in Excel to identify affected taxpayers within Axcess using the tax form fields Create ELPs/explanations to inform practitioners of these tax developments Write sample client letters that practitioners can send to their clients explaining tax developments On a rotating basis, coordinate the loading of content to Axcess/AC across several teams Assist with content creation for federal legislative developments in the preparation/loading of federal ELPs and queries Assist with reviewing/editing outside author material and creation of ELPs for new product development (Advisory Services) You're a Great Fit if You Have: Advanced Writing: Skilled in content creation and editing. Collaborative Coordination: Strong teamwork and collaboration skills. Trend Analysis: Ability to research and apply industry trends. Mentorship: Skills in guiding and mentoring junior staff. Tax Planning: Leverage tax expertise to create taxpayer impact scores that assess the effect of recent tax changes or specified areas of law and identify opportunities for cash savings. Education: CPA & bachelor's degree Minimum of three years' experience working in tax compliance Good organizational and planning ability Solid knowledge of U.S. tax legislation Good motivational skills Ability to work as a cross-functional team member Good oral and written communication skills Troubleshooting issues (taking initiative) We are an incredibly supportive team that truly enjoys what we do and who we do it with. We play a key role within WK and assist in driving the daily success. If you have a passion for making a true difference within an organization, while working alongside a genuinely caring and supportive team, we highly encourage you to apply. #Bethedifference Additional Information: Wolters Kluwer offers great benefits and programs to help meet your needs and balance your work and personal life, including Medical, Dental, & Vision Plans, 401(k), FSA/HSA, Commuter Benefits, Tuition Assistance Plan, Vacation and Sick Time, and Paid Parental Leave. Full details of our benefits are available at https://www.mywolterskluwerbenefits.com/index.html Diversity Matters: Wolters Kluwer strives for an inclusive company culture in which we attract, develop, and retain diverse talent to achieve our strategy. As a global company, having a diverse workforce is of the utmost importance. We've been recognized by employees as a European Diversity Leader in the Financial Times, as one of Forbes America's Best Employers for Diversity in 2022, 2021 and 2020 and as one of Forbes America's Best Employers for Women in 2021, 2020, 2019 and 2018. In 2020, we placed third in the Female Board Index, and were recognized by the European Women on Boards Gender Diversity Index. Wolters Kluwer and all of our subsidiaries, divisions and customer/departments is an Equal Opportunity / Affirmative Action employer. The above statements are intended to describe the general nature and level of work being performed by most people assigned to this job. They're not intended to be an exhaustive list of all duties and responsibilities and requirements. Our Interview Practices To maintain a fair and genuine hiring process, we kindly ask that all candidates participate in interviews without the assistance of AI tools or external prompts. Our interview process is designed to assess your individual skills, experiences, and communication style. We value authenticity and want to ensure we're getting to know you-not a digital assistant. To help maintain this integrity, we ask to remove virtual backgrounds and include in-person interviews in our hiring process. Please note that use of AI-generated responses or third-party support during interviews will be grounds for disqualification from the recruitment process. Applicants may be required to appear onsite at a Wolters Kluwer office as part of the recruitment process. Compensation: Target salary range CA, CT, CO, DC, HI, IL, MA, MD, MN, NY, RI, WA: $81,400 - $113,800

About Us Hippocratic AI has developed a safety-focused Large Language Model (LLM) for healthcare. The company believes that a safe LLM can dramatically improve healthcare accessibility and health outcomes in the world by bringing deep healthcare expertise to every human. No other technology has the potential to have this level of global impact on health. Why Join Our Team Innovative Mission: We are developing a safe, healthcare-focused large language model (LLM) designed to revolutionize health outcomes on a global scale. Visionary Leadership: Hippocratic AI was co-founded by CEO Munjal Shah, alongside a group of physicians, hospital administrators, healthcare professionals, and artificial intelligence researchers from leading institutions, including El Camino Health, Johns Hopkins, Stanford, Microsoft, Google, and NVIDIA. Strategic Investors: We have raised a total of $278 million in funding, backed by top investors such as Andreessen Horowitz, General Catalyst, Kleiner Perkins, NVIDIA's NVentures, Premji Invest, SV Angel, and six health systems. World-Class Team: Our team is composed of leading experts in healthcare and artificial intelligence, ensuring our technology is safe, effective, and capable of delivering meaningful improvements to healthcare delivery and outcomes. For more information, visit www.HippocraticAI.com. We value in-person teamwork and believe the best ideas happen together. Our team is expected to be in the office five days a week in Palo Alto, CA, unless explicitly noted otherwise in the job description. About the Role As Head of GRC at Hippocratic AI, you will oversee the execution and continuous improvement of GRC programs that underpin our product safety, data governance, compliance certification, and risk-management infrastructure. You will ensure that GRC practices scale in lockstep with product and business growth, and that they reflect the company's mission-critical focus on safety in healthcare AI. You will interface with cross-functional teams (Engineering, Clinical, Legal, Product) and ensure GRC decisions are embedded in operations, not just advisory. This position reports to the CISO. What You'll Do: Develop and own the GRC program roadmap: define goals, deliverables, success criteria, timelines, and key milestones aligned with Hippocratic AI's strategic objectives (safety, regulatory readiness, trust frameworks). Establish and refine frameworks, processes, and best practices for GRC within the company context (healthcare-AI domain). Manage portfolio of GRC projects: from operational documentation to remediation items, audit readiness, risk assessments, vendor/third-party governance. Collaborate with other program /project managers in InfoSec, Product, and Clinical Ops to align on methodology, reporting, and metrics to prevent silos. Design and deliver regular reporting on program health, risk metrics, and compliance status to senior leadership and partner functions. Lead remediation tracking: identify, document, escalate, and monitor mitigation efforts across projects and operations. Maintain documentation management: templates, document structure, and content governance for GRC artifacts (policies, procedures, controls). Support strategic planning for GRC: annual/quarterly planning cycles, resource alignment, cross-functional dependencies. Act as an ambassador of the GRC function across the organization: build stakeholder relationships and cultivate a risk-aware culture. What You Bring You have proven experience (10+ years) as a program manager or analyst focused on governance, risk, or compliance-ideally in a regulated environment (healthcare, fintech, SaaS). You are capable of leading complex technical programs and driving projects through ambiguity to results. You understand security, data governance, and compliance requirements (including healthcare-adjacent risks), and are comfortable translating technical and regulatory concepts into actionable operations. You can communicate effectively with technical and non-technical audiences, including senior leaders. You hold yourself accountable for delivering high-quality outcomes on schedule in a fast-moving environment. You build stakeholder trust, manage competing priorities, and apply sound judgment when multiple routes exist. You thrive in cross-functional settings and can represent the GRC team credibly across engineering, clinical, product, and business functions. Must Have: Technical Bachelor's degree (or equivalent experience). 10+ years in a program or project-management role in a GRC, security, or similar domain. Demonstrated success leading technical programs and delivering results. Strong grasp of governance, risk management, compliance fundamentals (audit controls, internal control frameworks, or equivalent). Familiarity with project management tools (e.g., Jira, ServiceNow) and comfortable establishing new processes. Strong understanding of security concepts, data governance, vendor risk management, and operations in a regulated/health-adjacent context. (HIPAA, HITRST, SOC 2, ISO, SaMD, and others) Nice-to-Have: Certifications such as PMP, CRISC, CISA, CISSP, or CISM. Experience in a SaaS/Cloud environment, preferably healthcare or life sciences. Experience working at a publicly listed company or through external auditors/regulators. Familiarity with GRC tooling (e.g., Drata, Vanta, or equivalent compliance automation platforms). Be aware of recruitment scams impersonating Hippocratic AI. All recruiting communication will come from @hippocraticai.com email addresses. We will never request payment or sensitive personal information during the hiring process. If anything

As a Compliance and Oversight Analyst II, you will be exposed to all departments within Private Wealth Management. You will be primarily focused on systematic tasks and responsibilities within the Compliance & Oversight Team. Area of Responsibility and Purview: Performs most if not all of Private Wealth Management's first line of defense activities, as directed by a Manager within the function. This is a hybrid position, working from home Fri., and working in the office Mon., Tues., Wed. & Thur. Training may require on site full time. Target pay: $68,000 - $83,000 How you will spend your time: You will conduct quality control (QC) testing to document effectiveness of business controls and adherence to policies and procedures (FLOD). You will manage the department library of policies and procedures. You will maintain the Compliance & Oversight SharePoint page and dashboards. You will manage Private Wealth's document storage and retention systems and processes. You will develop and provide reports, as directed. You will prepare department committee meeting materials. You will manage the Code of Ethics program for Private Wealth Management associates. You will assist in the account review (Reg 9) program to Private Wealth Management. You will conduct Regulatory reporting for Private Wealth Management. Other duties as assigned. We're excited to talk with you if: You possess a Bachelor's degree in relevant field or combination of education and experience that provides an equivalent background. You have 3+ years of applicable experience within Financial Services. You have systems thinking and complex problem solving skills. You have attention to detail, yet ability to grasp big picture. You are highly organized and can effectively multi-task. You are a great communicator with quality interpersonal skills. You show proficiency in documenting business processes, policies and procedures. You have exceptional written communication skills. You show proficiency of Microsoft Office Suite (Word, Excel, PowerPoint, SharePoint). Bonus points if: You have 1st and/or 2nd Line of Defense experience in risk management within a large financial institution. You have knowledge regarding wealth management services. You have an understanding of financial services enterprise risk frameworks and concepts. You have general knowledge of risk control testing process design and program execution. You have proficiency in UMB and Private Wealth software tools such as SEI, Fidelity, Salesforce, SharePoint and Workday. You have used software tools for business process mapping, analysis, and re-engineering. You have working knowledge of applicable laws and regulations in wealth management (OCC). Compensation Range: $51,480.00 - $99,330.00 The posted compensation range on this listing represents UMB's standard for this role, but the actual compensation may vary by geographic location, experience level, and other job-related factors. In addition, this range does not encompass the full earning potential for this role. Please see the description of benefits included with this job posting for additional information UMB offers competitive and varied benefits to eligible associates, such as Paid Time Off; a 401(k) matching program; annual incentive pay; paid holidays; a comprehensive company sponsored benefit plan including medical, dental, vision, and other insurance coverage; health savings, flexible spending, and dependent care accounts; adoption assistance; an employee assistance program; fitness reimbursement; tuition reimbursement; an associate wellbeing program; an associate emergency fund; and various associate banking benefits. Benefit offerings and eligibility requirements vary. Are you ready to be part of something more? You're more than a means to an end-a way to help us meet the bottom line. UMB isn't comprised of workers, but of people who care about their work, one another, and their community. Expect more than the status quo. At UMB, you can expect more heart. You'll be valued for exactly who you are and encouraged to support causes you care about. Expect more trust. We want you to do the right thing, no matter what. And, expect more opportunities. UMBers are known for having multiple careers here and having their voices heard. UMB and its affiliates are committed to inclusion and diversity and provide employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex (including gender, pregnancy, sexual orientation, and gender identity), national origin, age, disability, military service, veteran status, genetic information, or any other status protected by applicable federal, state, or local law. If you need accommodation for any part of the employment process because of a disability, please send an e-mail to talentacquisition@umb.com to let us know the nature of your request. If you are a California resident, please visit our Privacy Notice for California Job Candidates to understand how we collect and use your personal information when you apply for employment with UMB.

Heartbeat Health is the leading virtual-first cardiovascular care company in the country, providing patients with convenient, high-quality heart care through a combination of telemedicine, diagnostics, and virtual care programs. By leveraging real-time data and AI-powered insights, Heartbeat Health empowers providers and patients with personalized treatment plans, reducing hospitalizations and improving long-term heart health outcomes. Heartbeat Health is redefining how cardiovascular care is delivered in the digital age, led by our medical group of cardiologists, advanced practitioners, nurses, and care coordinators. The Clinical Operations & Compliance Coordinator is responsible for providing administrative and operational support to Heartbeat Health's clinical entities and provider network. This role plays a key part in maintaining regulatory compliance, supporting operational efficiency, and facilitating smooth coordination across Licensing, Business Operations, and Legal teams. The Coordinator will help uphold the company's standards of quality, compliance, and organizational excellence in delivering virtual cardiology care. About the Role: This is an entry-level position suited for a highly organized, detail-oriented individual seeking to develop foundational experience in healthcare operations and telehealth compliance. The Coordinator will work closely under the direction of the Senior Manager of Clinical Operations, and will assist with maintaining regulatory compliance, processing filings, and supporting day-to-day operational activities. Operations Support & Administration Provide day-to-day operational and administrative support for clinical professional licensing and related compliance functions.Manage multiple concurrent administrative tasks and meet strict deadlines with accuracy and professionalism.Maintain organized documentation and records related to provider licensing, credentialing, and regulatory compliance. Opportunity for data visualization, dashboards, and creating company-facing materials to showcase project status.Serve as a central point of contact for internal requests related to clinical operations and compliance tasks.Be onsite at the NYC office at least once a week to manage incoming and outgoing mail, supporting operational logistics. Cross-Functional Collaboration Assist with the maintenance and monitoring of internal business operations records, learn the ins and outs of telehealth business models to support company success. Partner with Licensing, Business Operations, and Legal teams to ensure streamlined workflows and accurate recordkeeping.Support ad hoc projects such as compliance reviews, quality assurance initiatives, and internal audits that improve operational efficiency, compliance processes, and provider experience.Contribute to process documentation and continuous improvement initiatives within the Clinical Operations team. About You: Bachelor's degree in Public Health, Social Science, Business, or a related field. 1-2 years of experience in operations, compliance, or administrative support (internship experience accepted). Proficiency with standard business tools including Microsoft or Google suite. Strong organizational skills with exceptional attention to detail. Excellent written and verbal communication abilities. Ability to manage multiple priorities in a dynamic and fast-paced environment. Demonstrated initiative, reliability, and professional judgments. Eagerness to learn and develop within a healthcare operations environment About our Culture: We are mission-driven: we're revolutionizing the way cardiovascular care is delivered We are fast-paced & agile: we move quickly, iterate often, and value experimentation We are remote-first: flexibility, autonomy, and trust are at the core of how we operate We care about diversity: diversity allows us to build an excellent patient experience We are an equal opportunity employer: we do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status $20 - $23 an hour This position offers the opportunity to gain hands-on experience in healthcare operations, regulatory compliance, and multi-state corporate administration. The Clinical Operations & Compliance Coordinator will receive guidance and mentorship from experienced leaders while developing a strong foundation in healthcare regulatory processes, licensing, and operational management. We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.

Overview Baker Tilly is a leading advisory, tax and assurance firm, providing clients with a genuine coast-to-coast and global advantage in major regions of the U.S. and in many of the world's leading financial centers - New York, London, San Francisco, Los Angeles, Chicago and Boston. Baker Tilly Advisory Group, LP and Baker Tilly US, LLP (Baker Tilly) provide professional services through an alternative practice structure in accordance with the AICPA Code of Professional Conduct and applicable laws, regulations and professional standards. Baker Tilly US, LLP is a licensed independent CPA firm that provides attest services to its clients. Baker Tilly Advisory Group, LP and its subsidiary entities provide tax and business advisory services to their clients. Baker Tilly Advisory Group, LP and its subsidiary entities are not licensed CPA firms. Baker Tilly Advisory Group, LP and Baker Tilly US, LLP, trading as Baker Tilly, are independent members of Baker Tilly International, a worldwide network of independent accounting and business advisory firms in 141 territories, with 43,000 professionals and a combined worldwide revenue of $5.2 billion. Visit bakertilly.com or join the conversation on LinkedIn, Facebook and Instagram. Please discuss the work location status with your Baker Tilly talent acquisition professional to understand the requirements for an opportunity you are exploring. Baker Tilly is an equal opportunity/affirmative action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability or protected veteran status, gender identity, sexual orientation, or any other legally protected basis, in accordance with applicable federal, state or local law. Any unsolicited resumes submitted through our website or to Baker Tilly Advisory Group, LP, employee e-mail accounts are considered property of Baker Tilly Advisory Group, LP, and are not subject to payment of agency fees. In order to be an authorized recruitment agency ("search firm") for Baker Tilly Advisory Group, LP, there must be a formal written agreement in place and the agency must be invited, by Baker Tilly's Talent Attraction team, to submit candidates for review via our applicant tracking system. Job Description: Are you interested in joining one of the fastest growing consulting and accounting firms in the country? Would you like the ability to join a highly dynamic team focused on providing exceptional client service in the areas of financial institution risk and regulatory compliance? If yes, consider joining Baker Tilly (BT) as a Financial Institution Regulatory Compliance Manager! Our Risk Advisory practice provides a full spectrum of services to help our clients assess their risks, develop strategies to compete in an ever-changing business environment, and achieve their goals and objectives. All of this is accomplished through deep industry knowledge of risk, governance and regulatory compliance best practices. As one of the fastest growing firms in the nation, BT has the ability to offer you upward career trajectory, flexibility in how and where you get your work done and meaningful relationships with clients, teammates and leadership who truly care about you and your development. Does this describe you? You want to continue to expand your work experiences and hone your skills as a comprehensive risk professional in the areas of financial institution compliance, enterprise risk management, governance and internal controls You crave the opportunity to be part of a fast growing, entrepreneurial risk consulting practice where your hard work and creativity will be rewarded You do your best work when you are part of a talented, down-to-earth team that thrives in collaboration and truly enjoys working together You feel valued when you are provided the resources and support to continually sharpen your technical skills and build your career now, for tomorrow What you will do: Work closely with client executives and management teams to understand their businesses and assist in identifying and managing regulatory compliance risks within their business processes and systems Lead audit and consulting engagements of banks, credit unions, fintechs, and specialty finance organizations to determine institutions compliance with lending and depository regulatory requirements Implement new or updated regulatory requirements, and translate regulatory requirements to ensure financial institution compliance Continually stay up-to-date on all existing compliance regulations Develop and maintain a broad knowledge and awareness of the financial institution industry and regulatory changes and identify potential impacts to compliance audit programs Support our internal audit practice as Subject Matter Expert on regulatory and compliance topics Provide strategic business advice to clients by assisting in the implementation of new regulatory requirements Manage client engagement teams, along with staffing, billings/collections, and ensure client profitability targets are met Utilize your entrepreneurial skills to network and build strong relationships internally and externally with clients and the community Invest in your professional development individually and through participation in firm wide learning and development programs Support the growth and development of team members through the Baker Tilly Care and Teach philosophy, helping associates meet their professional goals Enjoy friendships, social activities and team outings that encourage a work-life balance Successful candidates will have: Bachelor's degree in accounting, finance, or a related program 5+ years experience with regulatory compliance 1-2 year(s) management experience CIA or CRCM designation(s) required CRCM Certification strongly preferred. Also open to candidates willing to obtain CRCM Certification in the future. Experience working with FDIC, OCC, CFPB, NCUA, and state regulations Experience as a client serving professional for a consulting firm preffered Excellent analytical, technical, and problem-solving skills, with strong attention to detail Exceptional verbal and written communication, collaboration, and time management skills Strong sense of urgency and client responsiveness Ability to travel up to 10% The compensation range for this role is $116,730 to $221,300. Actual compensation is influenced by a variety of factors including but not limited to skills, experience, qualifications, and geographic location.

Wolters Kluwer is a global leader in professional information services that combines deep domain knowledge with specialized technology. Our portfolio offers software tools coupled with content and services that customers need to make decisions with confidence. Every day, our customers make critical decisions to help save lives, improve the way we do business, build better judicial and regulatory systems. We help them get it right. Who We Are: Wolters Kluwer: The world is a big place, find your place here. What We Offer: The Senior Content Management Analyst- Tax Compliance role offers growth potential opportunities, professional development, an engaging small team environment, the ability to work a hybrid schedule, and amazing benefits. Fully remote work may be considered if you're not located near a Wolters Kluwer office. Our Locations: Contact Wolters Kluwer | Wolters Kluwer What You'll be Doing: As a Senior Content Management Analyst- Tax Compliance, you'll be a pivotal force behind our digital content strategy. Leveraging your expertise, you'll manage content projects, optimize user engagement through analytics, and ensure seamless collaboration among team members. Your work will directly impact our brand's online presence and user experience. A successful candidate for the position will have a minimum of 3 years' experience in tax compliance and a strong working knowledge of U.S. Federal and state tax laws. This position reports to the Content Manager for the Axcess Advisor team, TAA R&L. Key Tasks: Track changes to tax law and monitor developments in the tax community to identify items that can be iQ events (tied to fields on tax forms) Work with cross-functional teams (software, developers, product management, production and editorial) on the development and maintenance of CCH Axcess IQ/Advisor is also required. The candidate must also have an understanding of federal and state tax returns and how to interpret information from tax developments (legislation, regulations, guidance from tax authorities, court rulings, real-world events) in a manner that leads to an understanding of how that information would impact a taxpayer's reporting requirements Knowledge of CCH Axcess is required Act as advisor on advanced and broad-ranging projects Participate in new product development as needed Create and build queries in Excel to identify affected taxpayers within Axcess using the tax form fields Create ELPs/explanations to inform practitioners of these tax developments Write sample client letters that practitioners can send to their clients explaining tax developments On a rotating basis, coordinate the loading of content to Axcess/AC across several teams Assist with content creation for federal legislative developments in the preparation/loading of federal ELPs and queries Assist with reviewing/editing outside author material and creation of ELPs for new product development (Advisory Services) You're a Great Fit if You Have: Advanced Writing: Skilled in content creation and editing. Collaborative Coordination: Strong teamwork and collaboration skills. Trend Analysis: Ability to research and apply industry trends. Mentorship: Skills in guiding and mentoring junior staff. Tax Planning: Leverage tax expertise to create taxpayer impact scores that assess the effect of recent tax changes or specified areas of law and identify opportunities for cash savings. Education: CPA & bachelor's degree Minimum of three years' experience working in tax compliance Good organizational and planning ability Solid knowledge of U.S. tax legislation Good motivational skills Ability to work as a cross-functional team member Good oral and written communication skills Troubleshooting issues (taking initiative) We are an incredibly supportive team that truly enjoys what we do and who we do it with. We play a key role within WK and assist in driving the daily success. If you have a passion for making a true difference within an organization, while working alongside a genuinely caring and supportive team, we highly encourage you to apply. #Bethedifference Additional Information: Wolters Kluwer offers great benefits and programs to help meet your needs and balance your work and personal life, including Medical, Dental, & Vision Plans, 401(k), FSA/HSA, Commuter Benefits, Tuition Assistance Plan, Vacation and Sick Time, and Paid Parental Leave. Full details of our benefits are available at https://www.mywolterskluwerbenefits.com/index.html Diversity Matters: Wolters Kluwer strives for an inclusive company culture in which we attract, develop, and retain diverse talent to achieve our strategy. As a global company, having a diverse workforce is of the utmost importance. We've been recognized by employees as a European Diversity Leader in the Financial Times, as one of Forbes America's Best Employers for Diversity in 2022, 2021 and 2020 and as one of Forbes America's Best Employers for Women in 2021, 2020, 2019 and 2018. In 2020, we placed third in the Female Board Index, and were recognized by the European Women on Boards Gender Diversity Index. Wolters Kluwer and all of our subsidiaries, divisions and customer/departments is an Equal Opportunity / Affirmative Action employer. The above statements are intended to describe the general nature and level of work being performed by most people assigned to this job. They're not intended to be an exhaustive list of all duties and responsibilities and requirements. Our Interview Practices To maintain a fair and genuine hiring process, we kindly ask that all candidates participate in interviews without the assistance of AI tools or external prompts. Our interview process is designed to assess your individual skills, experiences, and communication style. We value authenticity and want to ensure we're getting to know you-not a digital assistant. To help maintain this integrity, we ask to remove virtual backgrounds and include in-person interviews in our hiring process. Please note that use of AI-generated responses or third-party support during interviews will be grounds for disqualification from the recruitment process. Applicants may be required to appear onsite at a Wolters Kluwer office as part of the recruitment process. Compensation: Target salary range CA, CT, CO, DC, HI, IL, MA, MD, MN, NY, RI, WA: $81,400 - $113,800

Position at MTA Headquarters JOB TITLE: Director - Corporate Compliance Suburban Operations DEPT/DIV: MTA Corporate Compliance WORK LOCATION: 144-41 94th Avenue FULL/PART-TIME FULL SALARY RANGE: $130,000 - $140,000 DEADLINE: Until filled This position is eligible for teleworking, which is currently one day per week. New hires are eligible to apply 30 days after their effective hire date. Opening: The Metropolitan Transportation Authority is North America's largest transportation network, serving a population of 15.3 million people across a 5,000-square-mile travel area surrounding New York City, Long Island, southeastern New York State, and Connecticut. The MTA network comprises the nation's largest bus fleet and more subway and commuter rail cars than all other U.S. transit systems combined. MTA strives to provide a safe and reliable commute, excellent customer service, and rewarding opportunities. Position Objective: The Compliance Director will conduct the following critical work: Coordinate and implement the Internal Control Review Program across the MTA and its subsidiaries, including but not limited to providing expertise and guidance as relates to business process best practices and in accordance with the COSO framework relative to risk assessment, internal controls and fraud prevention as well as marketing, training and communication of the program to ensure compliance with the NYS Accountability, Audits and Internal Control Act as mandated by Public Authorities Law Section 2931-2923 to promote effective and efficient operations while rooting out fraud, waste and abuse. Serve as a leading advisor in managing MTA and its subsidiary agencies' Corporate Policies & Procedures and internal Standard Operating Procedures including but not limited to the identification and addressing of new policy needs and the maintenance, review, update, and dissemination of prevailing policy impacting the agency's workforce and its operations to ensure their alignment to strategic goals and objectives. Develop cohesive policies to ensure efficient utilization of resources and to document and distribute an agency's procedures in support of its operations and specific functions for the benefit of the agency's workforce. Establish strategic direction and policy for the oversight of business processes and provide strategic leadership. Serve as the independent point of contact for the MTA and its subsidiary agencies to coordinate and facilitate external and internal audits. Review and comment on the accuracy and legitimacy of information included in audit reports, including the validity of findings and recommendations, and develop accurate and timely responses to audit reports, particularly as relates to sensitive information, as, at times, agency responses are made available for public consumption. Monitor and report to the board the status of audit findings and work with the agency in addressing any issues to ensure audit recommendations are implemented fully and timely while maintaining transparency. Assist the Agency Compliance Officer with planning, directing, and administering the operations of the MTA Ethics, Risk, and Compliance Program. Identify and assess departmental compliance with applicable rules, regulations, policies, and procedures. Ensure that the Compliance program is consistent with industry standards and recommend corrective action, if necessary. Upon special request, conduct confidential investigations into allegations of departmental fraud, waste, and abuse. Develop, plan, direct and administer the Fraud Risk Assessment program Responsibilities: Direct, plan and administer the MTA and its subsidiaries agencies Internal Control Review Program, including but not limited to providing expertise and guidance as relates to business process best practices and in accordance with the COSO framework relative to risk assessment, internal controls, and fraud prevention as well as marketing, training, and communication of the program to ensure compliance with the NYS Accountability, Audits, and Internal Control Act Establish, implement, and maintain guidelines for a system of internal controls and a program of internal control review that promotes efficiency and effectiveness, and establishes sound internal controls to minimize costs, benefit internal and external customers, and aid in financial reporting Coordinate, monitor, and assist in the creation and maintenance of vulnerability assessments, control evaluations, and corrective actions. Follow-up to ensure corrective actions are implemented Prepare required reports for the Agency Head's signature Decision making authority to approve ethics requests and resolve issues Assist in oversight and management responsibility of the MTA's Corporate Compliance and Ethics Program, functioning as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization Conduct research on industry standards/best practices to ensure that the Compliance program is consistent with current standards/best practices. Recommend changes to the program, as necessary Report on compliance matters to the ACCO or other identified compliance personnel to supply information to the Chairman and Chief Executive Officer of the MTA, Board of Directors, Audit and Corporate Governance Committees Oversee coordination with other Agencies and departments, including legal, internal audit, security, human resources, and information technology, to ensure effective implementation of the compliance and integrity program Ensure an effective system is in place for employees and internal and external persons to raise questions and obtain advice on compliance and integrity related issues, and to report misconduct without fear of retaliation Participate in the training of MTA, Contractor, and Subcontractor staff on compliance issues to ensure parties fully understand their obligations and MTA's expectations Oversee compliance staff and conduct due diligence reviews Provide ethics advice and guidance to employees and assist agencies with vendor responsibility hearings Assist in ensuring that reports and other indications of possible misconduct are appropriately investigated, and that appropriate corrective action is taken, including enhancements to the compliance program and disclosure if warranted Assist in ensuring findings of misconduct and weaknesses in the compliance and integrity program are responded to promptly and effectively Develop, update, and maintain policies and procedures across the MTA and its subsidiary agencies to ensure their alignment with strategic goals and objectives as well as with applicable State and Federal Laws Collaborate with agency partners and field operations on the development and implementation of new and/or refined strategies to deliver enterprise-wide policy directives and procedures Ensure communications are current, relevant, and readily accessible Direct and guide policy planning with department point-of-contact personnel and senior management. Work with cross-functional teams to facilitate information exchange to sustain consistent policy effectiveness, and integrate uniform standards inclusive of policies, processes, directives, and procedures across all MTA agencies Steer and sustain broader, consistent procedural practices through participation in special projects and initiatives covering policy review, research, interpretation, and usage of effective all-agency implementation Organize information and collect input from subsidiary agency partners and employ methodology to ensure a more effective and efficient online processing system via RSA Archer Maintain strong business partnerships and liaison relationships among all management levels of the MTA and its subsidiary agencies, and preserve confidentiality as required Conduct highly complex and comparative analyses across a wide spectrum of policies and procedures; identify gaps in agency policies and evaluate existing policy initiatives Assess trends and make actionable proposals, based on quantitative and qualitative data regarding policy revisions to meet agency changing and emerging needs Lead the review of policies, research on policy usage, and interpretation and development of policy, best practices, and procedural recommendations for approval Craft language and organize the distribution of governing policies through effective communication channels Collaborate with MTA and subsidiary agency stakeholders on interpretation of and compliance with policies and procedures, guidelines, and standard operating procedures Advise management on practical application to resolve challenges and issues Assist in the preparation of the Board of Directors guidelines and other governance documents Review and provide edits, comments, etc. to all audit reports while fully addressing inaccurate statements, as well as validate and assess the reasonableness of findings and recommendations Develop responses for Agency Head Vice-President and/or Department Head approval to Office of the State Comptroller and MTA/OIG audit reports that contain achievable remediation plans to audit findings for eventual public consumption Address comments/concerns received from NYS Budgets, Chambers, Legal, and Communications Ensure that recommendations are properly tracked and that departmental responses are accurately reflected and correctly address the recommendations noted Manage audit recommendation implementation status by following up with departments to obtain responses to recommendations not yet implemented Work with departments to ensure corrective actions accurately address the recommendation Work with departments to request extensions to implementing recommendations, as needed Represent the Agency Chief Compliance Officer at MTA Audit Committee meetings to address questions from the Board Select, develop, and motivate personnel within the department Provide career development and prompt and effective coaching, and counseling Responsible for the discipline/termination of employees when necessary Review staff performance Create a professional environment that respects individual differences and enables all employees to develop and contribute to their full potential Provide hands-on support to staff as required to alleviate and balance workloads Special assignments from the Deputy Chief Compliance Officer covering a variety of topics May need to work outside of normal work hours (i.e., evenings and weekends) Travel may be required to other MTA Locations or other external sites Qualifications: Knowledge/Skills/Abilities: Significant breadth of knowledge of internal controls, compliance and integrity programs, internal investigations, and policy development Extensive knowledge of MTA operations and business activities Experience dealing with highly confidential information Must possess excellent grammar, editing, oral communication, and writing skills Demonstrate the ability to work with all levels of management within the MTA Demonstrate the ability to communicate and interact well with external agencies. External agencies may include the Governor's Office for New York State, the New York City government, elected and other public officials, as well as any staff located at other federal or state agencies or authorities Must have strong managerial skills to effectively direct a staff of professional and technical employees in implementing the short-and long-term goals and direction for the area(s) of responsibility Demonstrate the ability to complete short-and long-term projects effectively and as efficiently as possible Demonstrate analytical capabilities and quantitative skills Proficiency in Microsoft Office Suite or comparable applications, i.e., Word, Excel, PowerPoint, Visio, and Outlook Proficiency in Adobe Lifecycle Education and Experience: Bachelor's Degree in Business, Transportation, Public Policy, or a related field from an accredited college A minimum of 8 years' experience in Compliance, Audit, Legal, Human Resources, Organizational Development, or a related field, including at least 5 years in a managerial or leadership role in a large, multi-faceted, fast-paced organization or governmental body Preferred: Juris Doctorate or Master's Degree in Business, Accounting, Finance, Transportation, Public Policy, or related field from an accredited college A working knowledge of project management principles and/or policy analysis and experience Budget responsibility in prior experience preferred COSO Certification Certified Internal Auditor Other Information May need to work outside of normal work hours (i.e., evenings and weekends) Travel may be required to other MTA locations or other external sites. According to the New York State Public Officers Law & the MTA Code of Ethics, all employees who hold a policymaking position must file an Annual Statement of Financial Disclosure (FDS) with the NYS Commission on Ethics and Lobbying in Government (the "Commission"). Employees driving company vehicles must complete defensive driver training once every three years for current MNR drivers, or within 180 days of hire or transfer for an employee entering an authorized driving position. Equal Employment Opportunity MTA and its subsidiary and affiliated agencies are Equal Opportunity Employers, including those concerning veteran status and individuals with disabilities. The MTA encourages qualified applicants from diverse backgrounds, experiences, and abilities, including military service members, to apply.

You desire impactful work. You're RGA ready RGA is a purpose-driven organization working to solve today's challenges through innovation and collaboration. A Fortune 200 Company and listed among its World's Most Admired Companies, we're the only global reinsurance company to focus primarily on life- and health-related solutions. Join our multinational team of intelligent, motivated, and collaborative people, and help us make financial protection accessible to all. The Senior Vice President, Global Chief Compliance Officer (Global CCO) is RGA's most senior compliance executive and a key member of the Global Law & Compliance leadership team. Reporting to the EVP & Chief Legal Officer, and working closely with Enterprise Risk Management, the Global CCO is responsible for establishing, leading, and continuously enhancing RGA's global compliance, ethics, fraud, and privacy program. This role ensures strong governance, a culture of integrity, and sustainable business growth across RGA's international footprint. Location: Ideally located in one of RGA's offices in a hybrid work arrangement (St. Louis, MO Headquarters, RGA's newly-opened office in New York City, RGA International's Toronto office), the successful candidate may also work in a full remote arrangement. What you will do: Enterprise Compliance Leadership, Strategy & Framework Lead the design, execution, and oversight of RGA's global compliance, ethics, fraud, and privacy programs. Partner with the Chief Legal Officer to align compliance strategy with legal risk management, regulatory obligations, and enterprise objectives. Maintain an objective, independent compliance function that integrates effectively with Global Law & Compliance. Establish and govern a global compliance framework-policies, standards, and programs-ensuring consistent application across all regions. Ensure compliance governance aligns with ERM and supports RGA's risk appetite and risk-based decision-making. Ethics, Conduct, Investigations & Fraud Oversight Lead the global Speak Up / Whistleblower Program, ensuring strong protections and consistent investigative standards. Oversee investigations involving conduct breaches, sanctions/AML matters, conflicts of interest, and financial crime. Partner with Risk and Internal Audit to ensure consistent investigative outcomes and remediation as well as coordinated crisis response and risk assurance activities. Policy Governance, Privacy, Regulatory Monitoring & Emerging Risk Oversee development, adoption, training, and enforcement of enterprise-wide policies, including: Code of Conduct, Conflicts of Interest, Anti-Bribery & Corruption, Sanctions/AML, Anti-Fraud/SIU, and Privacy. Partner with Technology and Risk to establish governance for data, cyber, and AI-related compliance policies. Collaborate with Legal to monitor regulatory developments across all regions. Identify and assess evolving risks (e.g., AI, ESG/sustainability, operational resilience, vendor/outsourcing oversight, cross-border data transfers) and recommend mitigation strategies. Partner with Risk to assess the operational readiness to comply with new/emerging regulations. Compliance Support for Transactions & Business Growth Provide compliance guidance for complex transactions, including reinsurance, pension risk transfer, asset-intensive structures, structured finance, and M&A. Advise global and regional leadership on compliance considerations related to new products, market entry, distribution, and client engagement. Global Team Leadership & Organizational Influence Lead and develop a global compliance team across all regions. Mentor senior compliance leaders and drive professional development, succession planning, and alignment to enterprise standards. Build a collaborative and culturally aware global compliance community that champions ethics and integrity. Serve as a role model for professionalism, judgment, and accountability. Manage compliance resources and budgets effectively. Executive & Board Reporting Prepare and present clear, forward-looking compliance reports to the Board, its committees, and senior leadership. Provide insights on regulatory trends, compliance risks, conduct themes, investigative outcomes, and remediation progress. What you bring to the table: Education & Experience Bachelor's degree in Law, Business, Finance, Risk, or related field. Preferred: JD, LLM, MBA, or professional credentials (AIRC, CCP, CCEP, CAMS, FRM, CIA). 15+ years senior leadership experience in compliance, legal, regulatory affairs, or risk management, preferably in global financial services, insurance, or reinsurance. 10+ years managing teams in matrixed global organizations, including experience leading through significant organizational change. Demonstrated success designing and operating global compliance programs, governance frameworks, and associated budgets. Experience supporting large, complex transactions is highly desirable. Skills & Abilities Exceptional executive presence with the ability to influence the Board, executive leadership, and global business teams. Strong commercial judgment and the ability to balance compliance rigor with business practicality. High cultural fluency and capability to lead teams across diverse geographies. Strategic thinker able to anticipate regulatory shifts and position RGA proactively. Collaborative, diplomatic, and effective in navigating ambiguity. Deep knowledge of global financial services regulatory frameworks. Mastery of compliance risk management, conduct risk, privacy, sanctions/AML, AI/model governance, investigations, and ethics programs. Experience leveraging compliance and legal technology, analytics, automation, and reporting systems. #LI-DL1 #LI-HYBRID What you can expect from RGA: Gain valuable knowledge from and experience with diverse, caring colleagues around the world. Enjoy a respectful, welcoming environment that fosters individuality and encourages pioneering thought. Join the bright and creative minds of RGA, and experience vast, endless career potential. Compensation Range: $294,100.00 - $443,167.00 Annual Base pay varies depending on job-related knowledge, skills, experience and market location. In addition, RGA provides an annual bonus plan that includes all roles and some positions are eligible for participation in our long-term equity incentive plan. RGA also maintains a full range of health, retirement, and other employee benefits. RGA is an equal opportunity employer. Qualified applicants will be considered without regard to race, color, age, gender identity or expression, sex, disability, veteran status, religion, national origin, or any other characteristic protected by applicable equal employment opportunity laws.

Who We Are At Corebridge Financial, we believe action is everything. That's why every day we partner with financial professionals and institutions to make it possible for more people to take action in their financial lives, for today and tomorrow. We align to a set of Values that are the core pillars that define our culture and help bring our brand purpose to life: We are stronger as one: We collaborate across the enterprise, scale what works and act decisively for our customers and partners. We deliver on commitments: We are accountable, empower each other and go above and beyond for our stakeholders. We learn, improve and innovate: We get better each day by challenging the status quo and equipping ourselves for the future. We are inclusive: We embrace different perspectives, enabling our colleagues to make an impact and bring their whole selves to work. Who You'll Work With The Legal, Compliance, Regulatory and Government Affairs department is a diverse team comprised of attorneys and other professionals providing high quality advisory and transactional support with integrity and objectivity across all parts of the organization. The team ensures an operating environment that minimizes legal, regulatory and reputational risks and complies with all laws and regulations and Corebridge policies and procedures. As a member of this team, which has received industry recognition for its leadership and innovative solutions, you will have the opportunity to participate in the award-winning Corebridge pro bono program. About The Role The Chief Compliance Officer, VFA Registered Investment Advisor, is responsible for overseeing the Firm's investment advisory compliance program, ensuring adherence to regulatory requirements, and promoting a culture of integrity. Responsibilities You will be working on various aspects of Compliance and regulatory support for VFA - Registered Investment Advisor a division of Retirement Services at Corebridge. Examples of the work in which you will be involved include: Compliance Advisory: Providing regulatory and compliance advice in connection with advisory products and services, including in-plan and retail managed accounts programs, retail wealth management and financial planning, complex and wrap products. Regulatory Oversight: Conducting and/or collaborating on compliance reviews, surveillance, and monitoring of investment advisory programs to ensure compliance with SEC, FINRA, DOL, and other applicable rules. Oversight of compliance by national team of financial advisors, supervising principals and related advisory support staff. Risk Management: Identifying, mitigating, and reviewing risks and conflicts of the firm on an ongoing basis, including coordination with other business unit CCOs. Annual Regulatory Reviews: Manage required regulatory reviews, including annual Rule 206(4)-7 reviews, DOL fiduciary "retrospective reviews," and related. Provide reports to the Firm's board of directors. Training and Education: Leading training initiatives for a national team of financial advisors, supervising principals, and other financial professionals, as well as home office staff, on compliance policies and monitoring changes in legislation. Oversight and Management of the Investment Advisory Compliance Program: Manage the on-going review of the Firm's investment advisory compliance program, including any updates (i.e., based on regulatory or business developments), updating as needed, and providing training. Oversight of the Firm's Code of Ethics: Oversee and manage the Firm's code of ethics, including updates as required, annual training and attestations. Coordinate oversight and pre-clearance approvals for affiliated stock trades, PSTs, and other investment advisor requested financial transactions. Responsibility for Timely and Accurate Regulatory and Related Filings: Coordinate with various business units for accurate and timely regulatory filings including Forms ADV, CRS, Parts 1A, 2A, 2B and others. Collaboration: Collaborating with various departments to ensure adherence to ethical standards and regulations and serving as a key liaison with regulatory agencies. Collaborate with various business units for regulatory exams and related matters. Skills and Qualifications 10 years of compliance experience at a registered investment adviser, investment consulting firm, or related experience with a law firm. Experience with broker-dealer and/or insurance programs compliance a plus. Proficiency with compliance technology platforms; a strong understanding of the Advisers Act of 1940, the DOL ERISA PTEs, FINRA rules and regulations are requisites. Work Location This position is based in Corebridge Financial's Houston, TX office. Estimated Travel Minimal travel. #LI-CR1 Why Corebridge? At Corebridge Financial, we prioritize the health, well-being, and work-life balance of our employees. Our comprehensive benefits and wellness program is designed to support employees both personally and professionally, ensuring that they have the resources and flexibility needed to thrive. Benefit Offerings Include: Health and Wellness: We offer a range of medical, dental and vision insurance plans, as well as mental health support and wellness initiatives to promote overall well-being. Retirement Savings: We offer retirement benefits options, which vary by location. In the U.S., our competitive 401(k) Plan offers a generous dollar-for-dollar Company matching contribution of up to 6% of eligible pay and a Company contribution equal to 3% of eligible pay (subject to annual IRS limits and Plan terms). These Company contributions vest immediately. Employee Assistance Program: Confidential counseling services and resources are available to all employees. Matching charitable donations: Corebridge matches donations to tax-exempt organizations 1:1, up to $5,000. Volunteer Time Off: Employees may use up to 16 volunteer hours annually to support activities that enhance and serve communities where employees live and work. Paid Time Off: Eligible employees start off with at least 24 Paid Time Off (PTO) days so they can take time off for themselves and their families when they need it. Eligibility for and participation in employer-sponsored benefit plans and Company programs will be subject to applicable law, governing Plan document(s) and Company policy. We are an Equal Opportunity Employer Corebridge Financial, is committed to being an equal opportunity employer and we comply with all applicable federal, state, and local fair employment laws. All applicants will be considered for employment based on job-related qualifications and without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, disability, neurodivergence, age, veteran status, or any other protected characteristic. The Company is also committed to compliance with all fair employment practices regarding citizenship and immigration status. At Corebridge Financial, we believe that diversity and inclusion are critical to building a creative workplace that leads to innovation, growth, and profitability. Through a wide variety of programs and initiatives, we invest in each employee, seeking to ensure that our colleagues are respected as individuals and valued for their unique perspectives. Corebridge Financial is committed to working with and providing reasonable accommodations to job applicants and employees, including any accommodations needed on the basis of physical or mental disabilities or sincerely held religious beliefs. If you believe you need a reasonable accommodation in order to search for a job opening or to complete any part of the application or hiring process, please send an email to TalentandInclusion@corebridgefinancial.com. Reasonable accommodations will be determined on a case-by-case basis, in accordance with applicable federal, state, and local law. We will consider for employment qualified applicants with criminal histories, consistent with applicable law. To learn more please visit: www.corebridgefinancial.com Functional Area: LG - Legal, Regulatory & Gov't Affairs Estimated Travel Percentage (%): Up to 25% Relocation Provided: No American General Life Insurance Company

Job Description What is the Opportunity? In this role, you will design, develop, and implement small applications and business tools to streamline processes, improve efficiency, and enhance productivity across various teams. Your primary focus will be on building solutions that enable teams to work smarter, not harder, by leveraging technology to automate manual tasks, visualize large datasets and simplify complex workflows. What will you do? Collaborate with compliance partners and stakeholders to design, develop, and implement small business solutions that streamline processes, improve efficiency, and reduce risk. Oversee the collection, cleansing, and integration of banking data from multiple sources, including databases, spreadsheets, and external data providers, to ensure accuracy, consistency, and compliance with regulatory requirements. Assist in developing and enhancing processes and standards related to the usage of data and technology for compliance purposes, including data governance, data quality, and data security. Identify and support the execution of opportunities to automate compliance processes using advanced tools and technologies, such as: Python for data analysis, machine learning, and automation Power Automate for workflow automation and integration Access for database development and management SQL for data modeling and querying PowerApps for custom business app development SharePoint for collaboration and content management Azure services for cloud-based data storage, processing, and analytics Lead the development of in-house business tools and applications to support compliance workflow management, data analysis, and reporting requirements, using platforms such as: VBA for Excel automation and integration Power Apps for custom business app development Influence and promote innovation within Compliance Testing, Compliance Monitoring, Risk Assessments, and Reporting teams by implementing new approaches and methodologies Provide guidance and mentorship to junior colleagues, fostering a culture of continuous learning within the compliance team, and promoting the adoption of best practices in data analysis, automation, and compliance management. Collaborate with cross-functional teams, including IT, risk management, and audit, to identify and prioritize compliance needs, develop effective controls and monitoring mechanisms, and implement process improvements. What do you need to succeed? Must-have: Demonstrated ability to work independently as a self-starter, proactively identifying opportunities and solutions in a data-driven environment. Must be comfortable navigating ambiguity, leveraging creativity, and employing unconventional approaches to solve complex problems. Strong aptitude for conducting data analysis, data mining, and writing SQL queries in environments with limited documentation or subject matter expert (SME) support. Strong track record of working in platforms such as SQL, Python, Power BI, Excel, Power Apps, Power Automate, Azure, Tableau and Archer, with an excellent understanding of data ETL and visualization techniques. Proven experience in implementing compliance solutions and frameworks, including automation and optimization of compliance processes. Strong leadership and strategic planning skills, with the ability to drive compliance initiatives, influence stakeholders, and foster innovation within the compliance function. Excellent communication and interpersonal skills, with the ability to convey complex technical concepts to non-technical stakeholders and senior management. Strong problem-solving and decision-making abilities, with a proactive and results-oriented approach to compliance management. Strong organizational and project management skills, with discipline in managing priorities and meeting deadlines. Nice to Have: Knowledge of banking regulations and experience with regulatory examinations and audits. Substantial experience in banking compliance, risk management, regulatory affairs, or a related field, with a focus on data analysis and regulatory compliance. Experience in process improvement and implementing effective controls and monitoring mechanisms. Knowledge of in-house business tool development using platforms such as VBA, Power Apps, and Visual Studio. Familiarity with quality assurance processes for data analysis and automation, including testing, validation, and verification. Experience with cloud-based services, such as AWS or Google Cloud, and containerization technologies. Proficiency in Archer or similar GRC (Governance, Risk, and Compliance) platforms, with experience in configuration, customization, and administration is a plus. For New Jersey/LA: The good-faith expected salary range for the above position is $110,000 - $190,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan. For Minneapolis & Newark, DE: The good-faith expected salary range for the above position is $85,000 - $150,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan. Job Skills Analysis and Reporting (Inactive), Analysis and Reporting (Inactive), Analytical Thinking, Automation Technology, Big Data Analytics, Business, Compliance Analysis, Compliance Management Systems, Compliance Monitoring, Compliance Strategies, Compliance Testing, Critical Thinking, Data Administration, Data Analysis, Data Compilation, Data Management, Data Mining, Data Modeling, Data Quality, Datasets, Detail-Oriented, Documentation Reporting, Documentations, Group Problem Solving, Innovation {+ 13 more} Additional Job Details Address: CNB, 350 SOUTH GRAND AVENUE:LOS ANGELES City: Los Angeles Country: United States of America Work hours/week: 40 Employment Type: Full time Platform: CHIEF LEGAL & ADMIN OFFICE GRP Job Type: Regular Pay Type: Salaried Posted Date: 2025-10-27 Application Deadline: 2026-01-09 Note : Applications will be accepted until 11:59 PM on the day prior to the application deadline date above I nclusion and Equal Opportunity Employment At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all. Join our Talent Community Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com . RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.