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Thornburg Investment Management, Inc.Santa Fe, NM
Apply Description Thornburg is seeking an experienced investment compliance professional to lead our investment compliance function. As Head of Investment Compliance, you will be responsible for establishing and maintaining a comprehensive compliance framework that ensures our investment activities adhere to all applicable regulations, internal policies and fiduciary obligations. In addition, you will be responsible for assisting with material non-public information, research/commissions oversight, trade errors, and other investment compliance issues. This is a critical leadership role that requires both strategic thinking and hands-on execution in a complex and fast-paced investment environment DUTIES AND RESPONSIBILITIES: Regulatory Oversight & Program Management: You will design, implement and oversee the firm's investment compliance program, ensuring adherence to SEC, FINRA, Irish Central Bank regulations, and other regulatory requirements. Investment Monitoring & Surveillance: You will establish and maintain surveillance systems to monitor portfolio management activities, trading practices and investment restrictions. This also includes ensuring compliance with client investment guidelines, prospectus requirements and regulatory restrictions across all investment strategies. Advisory & Training: You will serve as a trusted advisor to portfolio managers, traders and senior leadership on compliance matters. This may include providing guidance on new investment products, trading strategies and business initiatives. Committee Representation & Client Facing: You will be asked to participate in various committees across the firm such as best execution, liquidity, pricing and valuation, derivatives and enterprise risk. Additionally, you will be asked to meet with clients in due diligence meetings to explain your role as Head of Investment Compliance. Risk Management & Reporting: You will identify, assess, and mitigate compliance risks across the investment platform. This may include conducting risk assessments, testing key controls, investigating potential violations and reporting findings to senior management. Regulatory Change Management: You will monitor regulatory developments affecting the asset management industry and assess their impact on firm operations. This would include implementing necessary policy changes, system enhancements and process modifications to maintain compliance with evolving requirements. Requirements Bachelor's degree in finance, law, business, accounting, or related field required. Advanced degree (JD, MBA, or Master's in Finance) strongly preferred. Minimum 10 years of investment compliance experience at an asset management firm, with direct exposure to equity and fixed-income mutual funds, ETFs, UCITS, and separately managed accounts. Demonstrated leadership in designing, implementing, and overseeing comprehensive compliance programs. Proven ability to engage and influence stakeholders at all levels, including senior leadership, regulators, and clients. Deep knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940 Familiarity with global regulatory frameworks (e.g., MiFID II, UCITS, AIFMD, Irish Central Bank) and their impact on asset management operations. Experience managing and developing compliance teams of varying sizes. Significant hands-on experience with order/execution management systems, preferably Bloomberg AIM. Understanding of portfolio management processes, trading operations and investment strategies across multiple asset classes. Strong communication skills and ability to engage and influence stakeholders at all levels Strong analytical and problem solving skills with the ability to assess complex compliance issues and develop practical solutions. Job Benefits Medical, dental, and vision coverage. Employer 401(k) safe harbor and profit-sharing contributions. Work/life programs such as flexible work arrangements, flexible paid time off, paid parental leave, employee assistance plan, commuter benefits, student loan repayment program, education reimbursement program. Community involvement opportunities. Onsite cafeteria. Onsite fitness center. Referral program. Santa Fe is the capital of New Mexico. Founded in 1610 and nicknamed "The City Different," Santa Fe captures hearts and minds with its museums, restaurants, theater, opera, and adobe-style architecture. With an average of over 300 sunny days per year and picturesque landscape, it's no wonder that outdoor activities such as skiing and hiking in "The Land of Enchantment" attract visitors from around the world. All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, national origin, disability, gender, gender identity or protected veteran status.

Posted 2 days ago

Crane Co. logo
Crane Co.Stamford, CT
The Sr. Manager, IT Governance & Risk Compliance is responsible to identify, develop, coordinate and monitor Information Technology controls to ensure oversight and compliance with regulatory, audit and contracting requirements. Responsible for communicating risk management plans to Managers, Directors and VPs across the enterprise and conduct/participate in risk, threat & vulnerability studies as well as impact assessments. This role is also responsible to support disaster recovery programs, ensuring timely recovery following an interruption in service caused by a system outage or declared disaster. Core Function: Identify, monitor, plan and coordinate teams responsible for validating effectiveness of security, governance, risk, and compliance programs. Align the planning and execution of IT and audit, while ensuring quality and adherence to adopted standard methodologies. Develop and conduct guidance for advisory reviews related to systems implementations, strategies, mergers, acquisitions, instances of fraud and service interruptions. Contribute to a sustainable IT general control environment, through involvement in key IT internal control activities. Coordinate with the Business Units to align controls with company policies, trends, and best practices. Organize with internal and external audit to facilitate audit requirements as it relates to policies, narratives, and self-assessment documentation. Participate in risk assessment activities across the IT organization, including 3rd party technical risk assessments. Participate in risk management, compliance, and internal control initiatives as needed. Serve as a subject matter expert, to help facilitate the identification and assessment of IT risks and to improve the effectiveness and efficiency of internal controls. Identify and makes recommendations regarding the implementation of technology-based tools to support risk mitigation initiatives. Responsibilities and Duties: Directly responsible for global procedures and controls to assure compliance with applicable regulatory, audit and contract requirements, as well as good business practices. Oversee IT compliance policies, standards, guidelines and baselines. Identify variances and jointly develop action plans with business unit leadership to remediate. Establish and oversee formal risk analysis and self-assessments program for systems and processes. Develop and implement continuity programs and risk mitigation actions in support of disaster recovery and system life cycle management. Develop, implement and monitor compliance programs to enforce ITAR/DFAR, PCI, various privacy laws as well as contract, licensing and usage requirements. Liaise with Internal Audit, Corporate Compliance, General Counsel and Business Unit leadership on all compliance efforts and projects. Be the IT subject matter expert on IT related compliance and legal trends through training, research and development to mitigate potential exposures. Train other staff, business units and external clients as necessary. Qualifications and Competencies: Bachelor's degree in a related area such as; Computer Science or Information Technology. Experience in the following IT compliance framework standards: COSO, ISO27001, PCI-DSS, COBIT, and ITIL. Strong risk assessment/audit capabilities with hands on experience in many technologies and platforms across a broad range of industries. Strongly recommend one or more of the following risk-related industry-standard qualifications such as Certified Information Systems Auditor (CISA), Certified Information Security Manager (CISM), Certified in the Governance of Enterprise IT (CGEIT) and Certificate of the Business Continuity Institute (CBCI). Experience in the following IT compliance framework standards: COSO, ISO27001, PCI-DSS, COBIT, and ITIL. Strong risk assessment/audit capabilities with hands on experience in many technologies and platforms across a broad range of industries. #LI-AH3 This description has been designed to indicate the general nature and level of work being performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Crane Company. is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment and will not be discriminated against on the basis of race, color, religion, gender, sexual orientation, general identity, national origin, disability or veteran status.

Posted 2 weeks ago

Florida Institute of Technology logo
Florida Institute of TechnologyMelbourne, FL
The Associate Director for Compliance is responsible in the oversight and monitoring all athletic activities to ensure compliance with all National Collegiate Athletic Association (NCAA) Division II, the Sunshine State Conference (SSC), and Florida Institute of Technology rules and regulations. This position supports the University's mission of providing high-quality education to prepare students for entering the global workforce, seeking higher-education opportunities, and serving within their communities. Assist with the coordination of the precertification process to evaluate initial eligibility, amateurism, and admission status for prospective student-athletes, to include the evaluation of international and domestic transfer scholar-athletes. Assist with the collection and reconciliation of playing & practice season, countable athletically related activity, and time management plan information. With coordinating administrative operations adhering to all athletic and university policies and protocols, documentation, internal and external partnerships, community service, travel arrangements, development, and execution of summer camps and programming for the campus and community. Assist with data entry in compliance software for recruiting, eligibility, and financial aid. Prepare and submit NCAA and SSC waivers. Assists in developing and implementing timely education programs for coaches and scholar-athletes; in maintaining program compliance with all leagues, conferences, and institutional rules and regulations. Serve as one of the Student Athlete Advisory Committee (SAAC) Administrators. Work with Admissions, Financial Aid, the Registrar, and other campus constituents. Assist in oversight of book disbursement and return process. Conduct full-time enrollment checks and approve add/drop courses for scholar-athletes. Game management and other Duties as assigned by the Associate AD for Scholar-Athlete Services Requirements include: REQUIRED QUALIFICATIONS: Bachelor's degree in sports management, athletics administration, or related field; Two (2) years of athletic administrative experience at the collegiate level; Demonstrated understanding of, and implementation of programs and procedures to ensure full compliance with the NCAA, conference and institutional rules, regulations, and procedures; Demonstrated strong administrative, communications, and interpersonal skills; Excellent written and oral communication skills; Knowledge of rules and regulations governing intercollegiate athletics as well as knowledge of overall student-athlete experience; PREFERRED QUALIFICATIONS: Master's degree in sport management, health, or business administration related field; NCAA athletic administration experience Student-athlete services administrative experience Experience using Compliance Assistant software, Teamworks, Influencer, Slate, Banner and WorkDay Equal Opportunity Florida Institute of Technology does not discriminate on the basis of race, color, national or ethnic origin, religion, disability, age, genetic information, marital status, citizenship status, veteran status, and other legally protected characteristics in its activities and programs. In accordance with Title IX of the Education Amendments of 1972, Florida Tech does not discriminate on the basis of sex. Inquiries concerning the application of the Non-Discrimination and Anti-Harassment policy may be directed to the Equal Opportunity Director and Investigator at 150 West University Blvd, Melbourne, FL 32901, or email equalopp@fit.edu, or +1 321-674-7153; or to the U.S. Department of Education Office for Civil Rights. Americans with Disabilities Act Please notify us at least five days in advance if a reasonable accommodation for a disability is needed by calling the Office of Human Resources at 321-674-8100. Annual Security & Fire Safety Report The federal Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act (Clery Act) requires colleges and universities, both public and private, participating in federal student aid programs to disclose campus safety information, and imposes certain basic requirements for handling incidents of sexual violence and emergency situations. Florida Tech's 2025 Annual Security and Fire Safety Report includes statistics for the previous three years concerning reported crimes that occurred on campus; in certain off-campus buildings or property owned or controlled by Florida Tech; and on public property within, or immediately adjacent to and accessible from, the campus. The numbers provided include crime statistics that were reported to local law enforcement agencies, campus security and other Campus Security Authorities. The report also includes institutional policy statements regarding campus safety and security measures; descriptions of prevention and awareness programs; related university procedures and important guidance; and other essential safety information. You can obtain a printed copy of this report at the Department of Security Welcome Center located at 3126 Panther Place, during normal business hours, or by accessing the following website 2025 Annual Security and Fire Safety Report. Official Transcripts Official transcripts of all collegiate work must be sent directly from the attended institution to the Office of Human Resources prior to the first day of employment. All international degrees must have a course-by-course official evaluation and translation sent to the Human Resources Office directly from an evaluation company affiliated with the National Association of Credential Evaluation Services, Inc. (NACES). We are an E-verify employer

Posted 30+ days ago

Keybank National Association logo
Keybank National AssociationAlbany, NY

$71,000 - $122,000 / year

Location: 4910 Tiedeman Road, Brooklyn Ohio The Commercial Compliance Officer will be a member of the Commercial Lending and Deposits Compliance team within Compliance Risk Management. The Commercial Compliance Officer will provide support to business and commercial lines of business by researching, interpreting, and assisting with applying the related laws and regulations. The primary focus of this role will be commercial lending compliance oversight, optimally with a focus on commercial default, with additional opportunities to expand coverage into other phases in the life cycle of business and commercial lending and/or business and commercial deposits. As subject matter expert, the Commercial Compliance Officer will provide consultative advice, perform oversight activities, and assume responsibility for mitigating and discouraging actions that may expose KeyCorp and its affiliates to risk outside its desired risk appetite. For assigned lines of business, serve as a corporate subject matter expert for all compliance risks. Develop relationships of trust and confidence with the designated lines of business. Provide oversight and monitoring of line of business processes and controls. Proactively identify process improvements or control gaps and facilitate necessary associated changes. Keep abreast of new laws and regulations and perform impact and gap analyses as applicable. Assist with regulatory compliance exams. Assist with corporate policy and training development. Educate and provide consultative advice on related regulations. Provide independent review and challenge on various line of business activities. Assist with issues management and resolution. Participate in or lead various projects related to mitigating risk to Key. Assist the broader Commercial Lending and Servicing Compliance team with various aspects of business and commercial banking. REQUIRED QUALIFICATIONS Bachelor's Degree or substantial industry experience; Juris Doctorate or CRCM preferred. Minimum 3 years of experience as a financial services compliance professional, bank regulator or other comparable legal or professional experience. Demonstrated knowledge of the regulatory requirements related to lending compliance, specific to commercial and/or consumer compliance oversight. Experience applying and interpreting the Equal Credit Opportunity Act, UDAP/UDAAP, Fair Credit Reporting Act, bankruptcy and collections laws, Fair Debt Collection Practices Act, state law requirements, and other commercial or banking laws and regulations. Ability to comprehend and interpret federal and state laws that apply to lending or other commercial banking requirements. Demonstrated ability to understand complex business process and commercial banking products. Strong relationship management and leadership skills. Candidate must possess the wherewithal and flexibility to undertake new functions/tasks as the Compliance Risk and line of business evolves and grows. Proven ability to work in a team environment. Sound decision-making skills; able to make decisions independently and quickly. Solid written and oral communication skills. Sound understanding of compliance risks. Strong research skills coupled with strong problem solving/analytical skills. Strong attention to detail. Experience working within the three lines of defense model strongly considered. Demonstrated commitment to a diverse, inclusive workplace. COMPENSATION AND BENEFITS This position is eligible to earn a base salary in the range of $71,000.00 - $122,000.00 annually. Placement within the pay range may differ based upon various factors, including but not limited to skills, experience and geographic location. Compensation for this role also includes eligibility for incentive compensation subject to individual and company performance. Please click here for a list of benefits for which this position is eligible. Key has implemented an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment. Job Posting Expiration Date: 01/16/2026 KeyCorp is an Equal Opportunity Employer committed to sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, genetic information, pregnancy, disability, veteran status or any other characteristic protected by law. Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing HR_Compliance@keybank.com. #LI-Remote

Posted 3 weeks ago

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LangChainSan Francisco, California

$150,000 - $185,000 / year

About LangChain At LangChain, our mission is to make intelligent agents ubiquitous. We provide the agent engineering platform and open source frameworks developers need to ship reliable agents fast. Our open source frameworks, LangChain and LangGraph, see over 90+ million downloads per month and help developers build agents with speed and granular control. LangSmith offers observability, evaluation, and deployment for rapid iteration, enabling teams to transform LLM systems into dependable production experiences. LangChain is trusted by millions of developers worldwide and powers AI teams at companies like Replit, Clay, Cloudflare, Harvey, Rippling, Vanta, Workday, and more. About the role LangChain is hiring a Security Compliance Analyst to help build, operate, and scale our security compliance and customer trust programs. We are looking to hire inperson in SF or NY. This role is highly hands-on and execution-focused. You will work across Security, Engineering, IT, Legal, People, and Product to turn security requirements into real, operating controls. You’ll help shape how we respond to customer security reviews, manage audits, assess vendors, and automate compliance using modern GRC tooling such as Vanta. This role is well-suited for someone who enjoys building processes, working through ambiguity, and collaborating closely with a wide range of stakeholders to get things done. Build, maintain, and continuously improve responses to customer security questionnaires , RFPs, and trust reviews in partnership with Security, Engineering, Legal, and Product teams. Support the design, execution, and ongoing operation of SOC 2 and ISO 27001 compliance programs, including evidence collection, remediation tracking, and audit coordination. Configure, operate, and improve GRC automation using tools like Vanta , focusing on continuous evidence collection and minimizing manual compliance work. Assist with the implementation of new security and privacy frameworks , including scoping requirements, mapping controls, and helping operationalize them across the organization. Support privacy compliance efforts (e.g., GDPR, CCPA ) by maintaining documentation, tracking requirements, and partnering with Legal and Engineering on operational controls. Work with Engineering, IT, and Security to make compliance a natural part of system design and operation , rather than a separate or manual process. Identify control and evidence gaps and actively drive follow-ups with responsible teams to resolution. Support the development and operation of a third-party risk management process, including vendor intake, security assessments, and ongoing reviews. Partner with Legal, IT, Procurement, and Product during vendor onboarding and renewals to ensure security requirements are clearly understood and met. Help draft, maintain, and evolve security policies, standards, and procedures so they are practical, clear, and aligned with how teams actually work. Assist with tracking security and compliance risks in a centralized risk register and supporting remediation efforts. Contribute to building repeatable, scalable processes that improve audit readiness and customer trust as LangChain grows. How to be successful in this role 3+ years of professional experience in security compliance, GRC, risk management, privacy operations, or a closely related role. Experience in either: a high-growth startup environment , or a consulting, audit, or assurance environment (e.g., Big 4), with exposure to multiple clients, systems, or stakeholders. Hands-on experience supporting or performing audits for SOC 2 and/or ISO 27001 , including evidence review, control validation, and remediation tracking. Experience responding to customer security questionnaires , due-diligence requests, or trust reviews. Familiarity with GRC platforms such as Vanta, Drata, Secureframe, or AuditBoard , with an interest in automation-first compliance. Working understanding of cloud environments (AWS, GCP, or Azure), including access controls, encryption, and logging concepts. Exposure to privacy requirements such as GDPR, CCPA , or similar regulations, and experience supporting privacy-related controls or documentation. Strong organizational and follow-through skills, with the ability to manage multiple workstreams across many teams. Clear written and verbal communication skills, especially when explaining security or compliance concepts. Comfortable operating in a fast-moving environment and taking initiative to build or improve processes. Bonus: Experience implementing or expanding new compliance or privacy frameworks beyond SOC 2. Experience improving GRC workflows through automation, APIs, or tooling integrations . Prior experience in a SaaS, cloud-native, developer-focused, or AI/ML-driven company. Familiarity with NIST CSF, CIS Controls, HIPAA , or Data Privacy Framework concepts. Relevant certifications such as CISA, CISSP, or ISO 27001 Foundation/Implementer . Compensation & Benefits We offer competitive compensation that includes base salary, meaningful equity, and benefits such as health and dental coverage, flexible vacation, a 401(k) plan, and life insurance. Actual compensation will vary based on role, level, and location. For team members in the EU and UK, we provide locally competitive benefits aligned with regional norms and regulations. Annual salary range: $150,000-$185,000 USD

Posted today

Transamerica logo
TransamericaCedar Rapids, Iowa

$82,000 - $90,000 / year

Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests. Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there. Who We Are We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life . Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them. We’re What We Do Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate , which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs. Transamerica employs nearly 7 ,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide. For more information, visit transamerica.com . Job Description Summary Supports Transamerica’s retirement compliance program for record-keeping and fiduciary administration services provided to our qualified retirement plan clients. Helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and applicable regulatory requirements. Possesses and applies broad knowledge of business and regulatory concepts and principles; works with minimal instruction or guidance with applicable latitude for unreviewed action or decisions; performs more complex assignments with minimal direction and guidance from management. Job Description Responsibilities : Perform risk-based independent compliance testing for the record-keeping and fiduciary administration affiliates. Maintain and update assigned compliance risk assessments, as part of the team’s annual compliance monitoring plan. Monitor federal/state laws and regulations, as well as applicable rulings, notices and guidance, as they pertain to qualified retirement plan administration and record-keeping services, and advise senior leadership of impact to current processes. Evaluate process workflows/maps to identify potential areas of risk (e.g. – regulatory, legal, operational, reputational, etc.) and effectiveness of key controls. Act as a trusted advisor to the record-keeping and fiduciary administration affiliates regarding best practices and remediation of regulatory compliance concerns. Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives. Update and maintain complete and accurate compliance logs or files. Assist team members with research and assigned tasks. Create and present compliance training, as necessary. May assist management with highly complex projects and coaching/development of staff. ​Maintain open communication with business process owners on testing scope, objectives and progress. Coordinate and conduct meetings and interviews with business process owners and staff; gather data, procedures and other documentation necessary for performing assigned compliance testing. Propose testing scope, review internal controls and compare records, operating practices, and documentation with test attributes applicable to assigned audits. Document tests and findings; appraise adequacy of internal compliance controls, propose recommendations and coordinate/document corrective action plans. Draft compliance reports and present/discuss findings with business process owners and senior management. Active participation in the periodic compliance risk assessment process, development of annual testing plans, scheduling/assignment of testing, and design of compliance testing programs. Qualifications : Bachelor’s degree or equivalent education and experience. Four years of qualified retirement plan administration experience. Working knowledge and oversight experience in the following regulatory compliance areas as applicable to qualified retirement plans: ERISA/DOL/IRS regulatory and qualification requirements for single employer and MEP/PEP retirement programs, EPCRS guidelines, and applicable plan/participant reporting and disclosure requirements. Written and verbal communication skills. Successfully present complex technical information to non-technical audiences. Analytical and research skills. Proficiency using MS Office tools. Preferred Qualifications: Industry certifications preferred (e.g. – QPA, QKA, QKC) Working Conditions: Hybrid working environment: Baltimore, Cedar Rapids, Philadelphia, Denver Compensation: The Salary for this position generally ranges between $82,000 - $90,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law. Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion. #LI-BD1 Applicants must possess legal authorization to work for our company in the U.S. without the need for immigration sponsorship or otherwise serving as an employer of record for immigration employment purposes. At this time, this role is not eligible for immigration-related employment authorization sponsorship. This job description is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request. Disclaimer: Beware of fake job offers! We’ve been alerted to scammers impersonating Transamerica recruiters, particularly for remote positions. Please note: We will never request personal information such as ID or payment for equipment upfront. Official offers are sent via DocuSign following a verbal offer—not through text or email. What We Offer For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees. Compensation Benefits Competitive Pay Bonus for Eligible Employees Benefits Package Pension Plan 401k Match Employee Stock Purchase Plan Tuition Reimbursement Disability Insurance Medical Insurance Dental Insurance Vision Insurance Employee Discounts Career Training & Development Opportunities Health and Work/Life Balance Benefits Paid Time Off starting at 160 hours annually for employees in their first year of service. Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays). Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child. Adoption Assistance Employee Assistance Program Back-Up Care Program PTO for Volunteer Hours Employee Matching Gifts Program Employee Resource Groups Inclusion and Diversity Programs Employee Recognition Program Referral Bonus Programs Inclusion & Diversity We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We’re thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women. To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all. Giving Back We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work. Transamerica’s Parent Company Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 million people across the globe. * It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity. * As of December 31, 2023

Posted today

S logo
St. Francis ReflectionsTitusville, Florida
Position will conduct general and focused audits of clinical documentation to determine completeness, consistency and appropriateness of documentation in the clinical record and compliance with applicable laws, regulations, CMS Conditions of Participation, documentation in meeting Local Coverage Determinations (LCD) and SFR policies and standards. Key expectations are identification of areas of clinical risk, development of recommendations for mitigation of those risks, participation in development and implementation of education and training of clinical staff related to the identified risks and full participation in the St. Francis Compliance Program. REPORTS TO: Director of Compliance EDUCATION AND/OR TRAINING REQUIRED: Registered Nurse, required. Bachelor’s degree in Nursing preferred. CERTIFICATIONS/LICENSES REQUIRED: Valid Florida Registered Nurse License. Unrestricted State of Florida Driver License EXPERIENCE/SPECIFIC SKILLS AND ABILITIES REQUIRED: Two years’ experience in a healthcare organization and a minimum of one year in a hospice, with an in depth knowledge of Hospice Conditions of Participation (COPs). Past experience in hospice medical record review preferred. Facile in utilizing electronic medical records in decision making. Possess strong analytical skills. Excellent communication skills with the ability to interact with the staff in an instructional but nonjudgmental manner. Exceptional organizational ability and attention to detail. PHYSICAL REQUIREMENTS: Ability to lift, push, pull twenty five (25) pounds without difficulty; able to work extended hours as required under various work environments and work under varying levels of stress. PRIMARY RESPONSIBILITIES: Maintain and apply current knowledge of standards of care in clinical documentation Audit clinical charts for evidence of decline. Ensure documentation due to terminal prognosis and provide summary of findings on quality of documentation in “documenting to the terminal diagnosis” Participates in chart audits and subsequent one-on-one training with employees to ensure ongoing compliance in all aspects of agency operations Developing, coordinating, and participating in a multifaceted educational and training program that focuses on the elements of the clinical compliance program, and seeks to ensure that all appropriate employees and management are knowledgeable of, and comply with, pertinent federal and state laws and regulations. Assist with special compliance/quality educational training as requested. Analyze reports to spot trends. Complete observational visits with staff and assess their documentation of the visit and provide feedback to the staff member. Responding to requests for clinical records from governmental bodies as the responsible party to respond. Independently investigating and acting on matters related to clinical compliance, including the flexibility to design and coordinate internal investigations. Monitoring external audit review processes, maintains awareness of compliance issues. Participate as an active supporter of the St. Francis Hospice compliance program including the emphasis to report, while complying with all Federal, State, and Local laws as well as the organization’s compliance program. Serve on the organization’s Compliance Committee. SECONDARY RESPONSIBILITIES: In conjunction with senior management, responds to administrative inquiries related to compliance issues or audits. Working with the education department, develops an appropriate effective training program for new employees and ongoing training for all employees. Other duties as assigned. Attendance is a condition of employment. COMPLIANCE: Exhibits knowledge of organizational policies, and state and federal laws and regulations consistent with duties and responsibilities. Demonstrates high ethical standards and compliance with organizational standards. QUALITY: Actively participates in the Quality Assessment Performance Improvement program by identifying opportunities for improvement and by participating in performance improvement activities. Demonstrates the ability to apply customer service techniques to facilitate improved outcomes with internal and external customers.

Posted today

Atlantic Union Bank logo
Atlantic Union BankGlen Allen, VA
The Compliance LOB Advisor shall be responsible for assessing regulatory risk within bank operations including deposit/lending functions, conducting regulatory reviews, and consulting with business units to ensure they develop and maintain adequate controls to address the risk appropriately while complying with applicable state and federal regulations and company policies. Position Accountabilities Engage as Compliance primary point of contact to 1LOD line of business unit, offering advice and guidance on the identification and remediation of regulatory risks and to serve as a credible effective challenge to the 1LOD. Perform consumer compliance reviews to assess performance, risks, internal controls and adherence to regulatory requirements specific to any area of the organization. Interpret, perform and provide research on compliance and regulatory questions impacting the bank's operations and performance. Identify risks, root cause, control weaknesses or gaps through regulatory reviews and work with management to correct deficiencies. Report results of reviews and feedback to management and business owners and recommend strategies to improve performance. Review, update and create (when necessary) relevant policies and procedures to ensure Compliance oversight for supported 1LOD areas. Provide Compliance oversight and participate in the development and implementation of new products, processes and initiatives within the 1LOD. Participate in the development and review of marketing campaigns and materials to ensure compliance and associated risks with advertising are addressed. Escalate and report any potential violations of law or regulations to 1LOD Management and the Compliance Manager. Work with Compliance Manager to maintain, enforce, and strengthen Atlantic Union's Compliance Program. Engage with other Compliance teammates and Enterprise Risk Teammates to ensure complete risk identification and remediation plans. Stay abreast of changes to federal and state banking laws and regulations affecting product offerings and areas of operations at Atlantic Union; inform management of impacts of changes. Assist with research, dissemination and implementation of new and updated regulatory requirements. Adhere to all applicable laws and regulations governing bank functions, including compliance with Atlantic Union Compliance Program and associated policies and procedures. Assist with development, review, publishing and delivery of compliance related training materials. Obtain necessary training to keep current on regulatory compliance and bank functions. Assist Compliance Manager with coordination and preparation for Regulatory exam; working with examiners as needed. Assist with addressing consumer complaints received from regulatory agencies. Performs other duties as assigned. Organizational Relationship This position reports to the Compliance Advisory Manager Position Qualifications Education & Experience Bachelor's Degree preferred Five plus years industry banking experience to include; lending, deposits, banking operations, and commercial. Certification as a Certified Regulatory Compliance Manager (CRCM) preferred Knowledge & Skills Analytical skills, particularly with trending and reporting Demonstrated knowledge of federal and state banking laws and regulations. Demonstrated understanding of Compliance Management and Regulatory Best Practices. Excellent communication skills, both verbal and written. Well organized with attention to detail Ability to manage multiple priorities Flexible, able to adapt to change Superior time management and problem solving skills Ability to work independently as well as within a team environment Advanced knowledge of Microsoft Office software Working knowledge of banking software programs preferred Salary offered will be based on several factors including but not limited to education, work experience, certifications, etc. This position is also eligible to participate in either an applicable incentive compensation plan for the position or a discretionary profit sharing bonus program. General information on our comprehensive benefits package can be found by visiting https://www.atlanticunionbank.com/about/careers/benefits . We are proud to be an Equal Employment Opportunity employer. We maintain a drug-free workplace.

Posted 2 days ago

Parsons logo
ParsonsNewark, New York

$128,700 - $231,700 / year

In a world of possibilities, pursue one with endless opportunities. Imagine Next!At Parsons, you can imagine a career where you thrive, work with exceptional people, and be yourself. Guided by our leadership vision of valuing people, embracing agility, and fostering growth, we cultivate an innovative culture that empowers you to achieve your full potential. Unleash your talent and redefine what’s possible. Job Description: Parsons is looking for an amazingly talented FTA/FRA Compliance Manage r to join our team! In this role, you'll have the privilege of working on the premier Infrastructure project in the Country, as well as receive all of the benefits of working for Parsons! This Program is the most Urgent infrastructure program in the country - a comprehensive set of rail investments that will improve commuter and intercity services, add needed resiliency and, in its later stages, create new capacity between Newark NJ and NYC. Program background The Gateway Program is the most urgent infrastructure program in the country – a comprehensive set of rail investments that will improve commuter and intercity services, add needed resiliency and, in its later stages, create new capacity between Newark, New Jersey and New York City, the busiest section of the Northeast Corridor (NEC). The first phase of the Gateway Program includes the Hudson Tunnel Project (HTP), which includes the construction of a new two-track tunnel under the Hudson River connecting to Penn Station New York as well as the full rehabilitation of the existing 110-year-old North River Tunnel. The Gateway Development Commission (GDC), established through bi-state legislation, is responsible for the financing and development of the Hudson Tunnel Project. The Gateway Development Commission (GDC), as a recipient of grant funds from the United States Department of Transportation (USDOT) and as Project Sponsor for the Hudson Tunnel Project (HTP), is required to ensure compliance with the Federal Transit Administration (FTA) and Federal Railroad Administration (FRA) rules and regulations. GDC has secured the largest Capital Investment Grant (CIG) Full Funding Grant Agreement in the program’s history, as well as the largest FRA grant awarded via the Federal-State Partnership Program. Purpose of Role: To monitor the adherence of the Hudson Tunnel Project following federal rules, regulations, and guidelines, it is recommended that GDC engage with the Delivery Partner for a Grant Compliance Manager. This resource is a backfill of an existing role and is needed as soon as possible to develop and establish a Compliance Oversight Program. The Grant Compliance Manager will be responsible for establishing a Compliance Oversight and monitoring program that reviews and evaluates project plans, scope, schedule, budget, and contract documents for adherence to federal requirements. This individual will develop a comprehensive compliance program, identify gaps within existing practice(s), and monitor the implementation of corrective actions. The Grant Compliance Manager will work directly with the Program Office and Grant team to develop the following: Establish a Compliance Oversight and Monitoring Program Plan and framework for internal oversight of federal compliance. The plan will, at a minimum, (1) evaluate existing procedures for adherence to federal requirements, (2) spot check adherence to following existing Policies and Procedures. Collaborate with GDC departments to identify risks(s) and establish a methodology for selecting and ranking compliance risks by priority and impact to the HTP. Evaluate the highest-ranked risks for adherence to federal rules, regulations, and guidelines. Produce reports and recommendations for corrective action to GDC leadership. Monitoring the implementation to ensure compliance with federal requirements. The Grant Compliance Manager will also be responsible for leading GDC’s response to USDOT audits and reviews, while providing strategic direction to GDC leadership by: Tracking letters, audit requests, and reviews initiated by USDOT, FTA, or FRA. Lead the drafting of responses to letters and audit requests, Manage the request and receipt of supporting documents from relevant departments to ensure submittals in advance of deadlines. Evaluate GDC’s response to oversight entities and identify areas for improvement. Ensure any corrective actions have been implemented. The position will also be responsible for monitoring the release of new and revised USDOT guidelines and requirements, identifying the impacts applicable GDC department(s), and working with the relevant departments to implement adjustments to existing Plans, Policies, and Procedures. Required Qualifications: Bachelor’s degree in a related discipline 10+ years of prior experience leading an oversight program that measures compliance with FTA experience, including prior experience working as a grant recipient. Strong experience developing and operationalizing new Programs within a fast-paced environment. Strong knowledge of Project Delivery and identifying risks in delivering complex projects with numerous stakeholders and oversight entities. Strong technical writing, analytical, and communication skills Ability to travel throughout the NY/NJ Metro Area Security Clearance Requirement: NoneThis position is part of our Critical Infrastructure team.For more than 80 years, our experts have designed and delivered the critical infrastructure that connects and protects communities around the world. We work in collaborative teams, both within the company and with our partners and customers, to plan, design, build, and modernize infrastructure. We take special pride in projects and solutions that improve communities as well as people’s quality of life by promoting economic growth, enhancing mobility, and increasing sustainability and resiliency. Powered by our people, we provide the imagination necessary to support our customers’ visions—and to help them see what's next!Salary Range: $128,700.00 - $231,700.00We value our employees and want our employees to take care of their overall wellbeing, which is why we offer best-in-class benefits such as medical, dental, vision, paid time off, Employee Stock Ownership Plan (ESOP), 401(k), life insurance, flexible work schedules, and holidays to fit your busy lifestyle!Parsons is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, veteran status or any other protected status.We truly invest and care about our employee’s wellbeing and provide endless growth opportunities as the sky is the limit, so aim for the stars! Imagine next and join the Parsons quest—APPLY TODAY! Parsons is aware of fraudulent recruitment practices. To learn more about recruitment fraud and how to report it, please refer to https://www.parsons.com/fraudulent-recruitment/ .

Posted today

I logo
IntelliPro Group Inc.Palm Beach Gardens, FL

$100,000 - $168,500 / year

Job Title: Manager, Balancing Authority Market Operations and Compliance Work Location: Palm Beach Gardens, FL 33410Salary Range: $100,000 - $168,500/year Job Summary: Responsible for managing operations, compliance, and integration of a NERC-registered Balancing Authority into CAISO’s Western Energy Imbalance Market (WEIM) and other markets such as EDAM. This position supports daily grid reliability, control center operations, regulatory compliance (NERC, WECC, AESO, ARS), and internal/external training. Works closely with stakeholders, consultants, and transmission partners to develop procedures and ensure ongoing compliance and operational efficiency. Job Responsibilities: Manage daily and real-time operations of the control center, including BA, GOP, and energy resource scheduling. Lead and support participation in WEIM and potentially EDAM; oversee real-time resource optimization (T-5, T-15, hourly). Coordinate integration of new generation projects and third-party energy services into NOC operations. Supervise NOC System Operators and EIM Analysts; complete Manager Task Qualification program and qualify as System Operator within 6 months. Support generation and outage coordination (planned/unplanned) across all compliance requirements. Execute and support real-time system operations during normal and emergency grid conditions. Represent operational interests in external groups, stakeholder meetings, and coordination with CAISO, AESO, WAPA, MATL, Northwestern, Western Power Pool, and ADI. Ensure full compliance with NERC, WECC, AESO ISO rules, Alberta Reliability Standards, and internal reliability standards (BA, GO, GOP). Conduct daily compliance assessments; track risk, identify non-compliance, and draft reports or mitigation plans. Submit and manage monthly, quarterly, and annual compliance reports for BA functions. Maintain and implement procedures for record-keeping, real-time logging, audits, and reliability standard updates. Support NERC audit preparation, performance reviews, and internal training program development for compliance. Attend compliance, regulatory, and internal committee meetings. Develop, review, and revise on-the-job training and operator qualification materials for WEIM, EDAM, and BA operations. Deliver training to employees and interns on regulatory standards and NOC procedures. Support internal compliance training program tracking and updates. Support implementation and use of Generation Management Systems, EMS, forecasting, AGC, SCADA, Historian, and network automation tools. Adapt protocols to support EMS, Generation Management, and Outage Management systems. Supervise scheduling and dispatch tasks; coordinate and manage switching operations. Identify revenue optimization opportunities in current NOC operations. Support energy trading, balancing strategy, and third-party energy customer development. Evaluate energy market trends and manage energy off-taker network (utilities, cooperatives, LSEs). May participate in PPA negotiation, execution, and settlement reporting support for internal and external generation. Education & Experience: Bachelor’s degree in engineering, energy studies, economics, finance, business, or related field, or equivalent experience. Minimum 10 years in energy markets (WECC, CAISO, AESO preferred), trading, or renewable energy; 5+ years managing real-time operations. Experience with balancing authority operations, scheduling, power marketing, and real-time energy markets. Strong understanding of regulatory compliance with NERC, WECC, ARS, AESO ISO rules, and GO/GOP/BA functions. NERC System Operator Certification (Balancing & Interchange or Reliability Operator) required and must be maintained. Knowledge of economic dispatch, generator efficiency, demand response, and microgrid operations. Experience in WEIM, EDAM, AESO, and familiarity with ERCOT, MISO, PJM is a plus. Technical proficiency in EMS, SCADA, AGC, Historian, and other OT systems. Experience in high-voltage grid control, switching, and real-time system disturbance coordination. Demonstrated ability in business development, customer engagement, and market strategy. PPA negotiation and third-party customer management experience preferred. Excellent analytical, math, and computer skills. Strong leadership, teamwork, and communication skills, including three-part communication. Ability to work under pressure, prioritize, and make time-sensitive decisions during emergency events Benefits: 401(k) Dental insurance Employee assistance program Health insurance Paid time off Retirement plan Vision insurance About Us: Founded in 2009, IntelliPro is a global leader in talent acquisition and HR solutions. Our commitment to delivering unparalleled service to clients, fostering employee growth, and building enduring partnerships sets us apart. We continue leading global talent solutions with a dynamic presence in over 160 countries, including the USA, China, Canada, Singapore, Japan, Philippines, UK, India, Netherlands, and the EU.IntelliPro, a global leader connecting individuals with rewarding employment opportunities, is dedicated to understanding your career aspirations. As an Equal Opportunity Employer, IntelliPro values diversity and does not discriminate based on race, color, religion, sex, sexual orientation, gender identity, national origin, age, genetic information, disability, or any other legally protected group status. Moreover, our Inclusivity Commitment emphasizes embracing candidates of all abilities and ensures that our hiring and interview processes accommodate the needs of all applicants. Learn more about our commitment to diversity and inclusivity at https://intelliprogroup.com/ . Compensation: The pay offered to a successful candidate will be determined by various factors, including education, work experience, location, job responsibilities, certifications, and more. Additionally, IntelliPro provides a comprehensive benefits package, all subject to eligibility. Powered by JazzHR

Posted 30+ days ago

Old Republic Title logo
Old Republic TitleRoseville, CA

$20 - $25 / hour

WESTERN TITLE DIVISION Job Description: Old Republic Title is seeking a quality assurance professional to file high volume of online compliance reports to federal government agency regarding real estate transactions. Must have ability to analyze data received for completeness and excellent interaction skills to obtain further information or clarification from escrow or title personnel or agents, as needed. Individual will file collected data into government agency's computer filing portal, maintain log of filings on Excel spreadsheet, and maintain electronic records of information and documents. Location: This is an onsite position at our Roseville, CA office. Hours are Monday-Friday, 8-5 PM. Primary Duties: Enter collected data on government agency's online computer portal following data program techniques and procedures Analyze information received on data collection form for completeness and obtain further information or clarification as needed Interact with escrow and title personnel, agents, clients, and team members regarding data input Update tracking spreadsheets and maintain electronic storage of records in designated location for regular review by upper management Maintain confidentiality of records and adhere to Company's security systems Contribute to team effort and accomplish related matters as needed Skills and Qualifications: Proficiency in computer skills, including MS Word and Excel and working knowledge of Microsoft Outlook Attention to detail Ability to organize tasks, work independently, and meet deadlines in fast-paced work environment Analytic and problem-solving skills Team orientation Written and verbal communication skills Excellent customer service orientation Scrupulously maintain confidentiality Real estate industry experience a plus, but not required #LI-MO1 The estimated pay range stated represents the typical pay range for this position or similarly employed employees or employees performing substantially similar work. Factors which may be used to determine the actual pay rate may include, but are not limited to, education, training or experience; seniority; merit and work performance; quantity or quality of production; regional differences in compensation; differences in local minimum wages, or ability and effort. Position's Pay Range: 20-25 an hour depending on experience. Benefits may include: Comprehensive medical, prescriptions, dental and vision plans 401(k) plan with a discretionary company match Shareholder Purchase and Reinvestment Plan Basic life and accidental death and dismemberment insurance premium paid by the company Voluntary supplemental life insurance for employees, spouses and dependent children Fertility and Family Building Benefits Paid Disability benefits Paid time off programs 11 Company paid holidays per year Flexible spending account Health savings account (available to High Deductible Health Plan participants only) Employee Assistance Program Educational Assistance Program Voluntary benefits, such as Critical Illness, Hospital Indemnity, Pet Insurance and Accident Insurance Title insurance policies and certain escrow services for the employee's primary personal residence at no charge Transportation benefit plan for mass transit, parking and vanpool, in several markets Note: If you currently are employed by Old Republic Title (or one of its wholly owned affiliated companies) please get in touch with your human resources representative regarding the application process. For California applicants, please click the following link to view our CCPA Applicant Notice Old Republic Title is an Equal Opportunity Employer

Posted 2 days ago

Walmart logo
WalmartSan Bruno, California

$90,000 - $234,000 / year

Position Summary... The Senior Manager, Brand Engagement Strategy, leads the approach to brand engagement, focusing on scale, impact, and long-term trust. It brings together insights from brand interactions and infringement trends to inform priorities, serves as an escalation point for complex brand issues, and engages directly with key brands and industry groups to strengthen relationships. By translating brand feedback into strategic improvements across enforcement processes and tools, the role helps drive measurable outcomes and continuous improvement in how Walmart partners with and protects brands. What you'll do... Our team ensures the integrity of Walmart’s marketplace by empowering brand owners through a trusted Brand Portal. We collaborate with rights holders to address intellectual property concerns, providing tools and guidance to protect their brands. By proactively managing operations and expanding the Brand Portal globally, we enhance experiences for customers, sellers, and brand partners. Our approach supports compliance with regulatory requirements and fosters a secure, reliable environment aligned with Walmart’s commitment to ethical standards across markets. This team values leadership, communication, and strategic governance to uphold these objectives effectively. Develop and lead a scalable and impact-driven brand engagement program, including prioritization frameworks and success metrics Analyze patterns across brand interactions and IP infringement issues to inform strategic initiatives Engage directly with key brands to build trusted relationships and address complex IP issues Serve as a strategic escalation point for brand engagement needs, helping drive resolution across internal partners Advise on engagement with industry and brand associations to improve brand relationships and position Walmart as a trusted partner in IP protection Translate brand feedback and needs into actionable recommendations for proactive enforcement and tool enhancements Define and track KPIs to measure program effectiveness and improve outcomes What you'll bring.... 3-5+ years of experience in brand engagement, brand protection, trust & safety, compliance, or IP-related roles, ideally within an eCommerce, marketplace, or platform environment Demonstrated experience engaging with brands, including existing relationships with strategic brands Strong understanding of intellectual property protection challenges in digital marketplaces, with the ability to translate brand needs into scalable solutions Proven ability to develop and lead strategic initiatives or programs Excellent communication and stakeholder management skills, with the ability to influence cross-functional partners and senior leaders Experience working across multiple teams and functions in matrixed organizations Strong analytical and problem-solving skills, with the ability to prioritize impact and drive continuous improvement The above information has been designed to indicate the general nature and level of work performed in the role. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job. The full job description can be made available as part of the hiring process. https://corporate.walmart.com/news/2025/01/17/the-future-of-better-begins-here-welcome-to-walmarts-new-home-office At Walmart, we offer competitive pay as well as performance-based bonus awards and other great benefits for a happier mind, body, and wallet. Health benefits include medical, vision and dental coverage. Financial benefits include 401(k), stock purchase and company-paid life insurance. Paid time off benefits include PTO (including sick leave), parental leave, family care leave, bereavement, jury duty, and voting. Other benefits include short-term and long-term disability, company discounts, Military Leave Pay, adoption and surrogacy expense reimbursement, and more.You will also receive PTO and/or PPTO that can be used for vacation, sick leave, holidays, or other purposes. The amount you receive depends on your job classification and length of employment. It will meet or exceed the requirements of paid sick leave laws, where applicable. For information about PTO, see https://one.walmart.com/notices .Live Better U is a Walmart-paid education benefit program for full-time and part-time associates in Walmart and Sam's Club facilities. Programs range from high school completion to bachelor's degrees, including English Language Learning and short-form certificates. Tuition, books, and fees are completely paid for by Walmart. Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to a specific plan or program terms. For information about benefits and eligibility, see One.Walmart . Bentonville, Arkansas US-09401: The annual salary range for this position is $90,000.00 - $180,000.00 San Bruno, California US-08848: The annual salary range for this position is $117,000.00 - $234,000.00Additional compensation includes annual or quarterly performance bonuses.Additional compensation for certain positions may also include : - Stock ㅤ ㅤ ㅤ ㅤ ‎ Minimum Qualifications... Outlined below are the required minimum qualifications for this position. If none are listed, there are no minimum qualifications. Minimum Qualifications: Bachelor's degree in Business, Human Resources, or related field and 4 years’ experience in compliance, ethics, legal, project management, or related area OR 6 years’ experience in compliance, ethics, legal, project management, or related area. 2 years’ supervisory experience. 3 years’ experience using intermediate functionality of Microsoft Office. Preferred Qualifications... Outlined below are the optional preferred qualifications for this position. If none are listed, there are no preferred qualifications. Masters: Business AdministrationProject Management- Project Management Professional- Certification Primary Location... 702 Sw 8Th St, Bentonville, AR 72716, United States of AmericaWalmart and its subsidiaries are committed to maintaining a drug-free workplace and has a no tolerance policy regarding the use of illegal drugs and alcohol on the job. This policy applies to all employees and aims to create a safe and productive work environment.

Posted today

Clark Construction Group logo
Clark Construction GroupMclean, VA
The person holding this position will perform various tasks including regulatory review and interpretation of current and proposed contracts clauses, preparation of the Annual Indirect Cost submission, Forward Pricing Rate Proposal, review of transactional data for allowability and allocability, labor compliance reviews and federal training. This person will be expected to provide professional-level guidance on government regulations, such as Truth in Negotiation Act (TINA), Certified Cost or Pricing Data, FAR, CAS, Internal Company Policies, and other Federal Agency requirements. The ideal candidate should have a background in federal contract management, cost allowability, cost pricing for awards with substantial subcontractor participation, experience in supporting pricing and or estimating business systems and Incurred Cost Submissions. They should also have some knowledge of CAS Indirect Rates. Responsibilities: Support and streamline the preparation of the annual incurred cost submission, including all main schedules and supporting data/supplemental schedules. Assist in preparation and development of forward pricing rate proposals (FPRP). Assist in preparation and development of cost impact proposals resulting from accounting changes. Monitor indirect rates and provide analyses based on multiple scenarios. Analyze transactional data for allowability and allocability in accordance with FAR and CAS. Develop and recommend estimating narratives and assumptions based on historical cost and projected future costs. Analyze key cost elements such as: General Conditions (labor, travel, materials, other Direct costs (ODC), Indirect rates (Overhead, G&A, Fringe), Insurance rates, car allowance, IT rates, Bonding and Subcontractor cost. Collaborate with cross-functional teams, including Purchasing, Estimating, Cost Engineering, Subcontracts, Small Business Offices, FPA and Budgets, and HR on specific proposals. Interface with client and external auditors to ensure understanding of financial data, methodology, and applicability under appropriate government regulations. Advice on pre-contract discussions and negotiations of contract awards, as appropriate. Basic Qualifications A BS degree from an accredited college/university in Accounting, Finance, Economics or Business (or equivalent) is required. 3+ years of experience in federal contracts estimating, pricing or financial analysis including pricing strategies and ability to develop or deliver price strategy presentations or analysis. Experience with pricing in the federal and federally funded proposals especially Firm Fixed Type and GMP contracts with multiple subcontractors. High knowledge of CAS/FAR/DFARS and other applicable government regulations. Experience responding to project owners or their auditors, DCAA and/or DCMA or other Government Audit Agencies. Knowledge of Microsoft products, including Excel, Word, and PowerPoint. Careful attention to detail and reliability of output. Possession of excellent verbal and written communication skills. Experience with SAP, Workday, and Coupa are a plus. Knowledge of running CAS Indirect rate reports from SAP would be an added advantage Alignment to Clark Standards of Excellence: Self-Motivated, Results Oriented, Adaptable, Team Player, Accountable, Ethical, Innovative, Resilient, Builds Relationships The Physical Side of the Role: This is an active, hands-on role. You can expect to be on your feet frequently, navigating active job sites with uneven terrain, stairs, ladders, and hoists. The work is physically demanding and requires a full range of motion, including bending, kneeling, and reaching. You'll need to be comfortable frequently lifting and carrying materials up to 25 pounds, and occasionally up to 50 pounds. This role requires the ability to communicate effectively, as well as visual acuity for reading plans and inspecting work. The role does include desk time in the office that may require prolonged periods of sitting for tasks like computer work, document review, and meetings. Your Work Environment: You'll spend a significant amount of your time on active construction sites, which means being adaptable to all kinds of weather and moderate to loud noise levels, and comfortable in elevated or confined work areas with moving mechanical equipment and with the fast-paced nature of a project in progress. You will also spend time in a typical office setting with moderate noise levels. Your safety is our top priority, and you'll be expected to follow Clark Construction's safety policies and procedures, and all applicable laws, at all locations. Our High-Performing Culture: This is a demanding, high-performance environment. We are looking for candidates who are energized by challenge, thrive under pressure, and are prepared to do what it takes to achieve exceptional results. Success in this role requires significant commitment, including flexibility to work extended hours, especially during critical project phases or client deadlines. Beyond regular working hours, there will be occasions where business needs require your attention, particularly for time-sensitive matters or emergencies. You are expected to monitor and respond to communications (phone calls, emails, text messages) as required to address these situations effectively. Your ability to manage these expectations and be responsive when critical issues arise is key to your success in this role and our collective success as a team. A Drug Free Workplace: Clark promotes a drug free workplace. A pre-employment drug "fitness for duty" screening is required, and the company conducts random quarterly drug "fitness for duty" tests.

Posted 1 day ago

F logo
Fulcrum Global TechnologiesHoffman Estates, Illinois
About Fulcrum We operate at the intersection of technology and law, in an industry that demands agility and innovation. Our team is dedicated to developing advanced solutions for legal professionals. Our daily work involves tackling intricate challenges, providing reliable, efficient, and smart solutions for legal experts across the globe. Join us in reshaping the legal landscape with groundbreaking technology. About the Role We are seeking an experienced Governance, Risk, and Compliance (GRC) Senior Analyst to join our InfoSec team. This role will be instrumental in maintaining and enhancing our organization's compliance posture across multiple regulatory frameworks and industry standards. The ideal candidate will have deep expertise in compliance management, risk assessment, and audit coordination, with a proven track record of successfully managing complex compliance programs. Key Responsibilities Compliance Program Management Lead continuous compliance and operating effectiveness across SOC 1, SOC 2, ISO/IEC 27001, ISO/IEC 42001, and CSA Star Level 2 certification programs. Prepare policy, procedures, and control design updates to ensure ongoing compliance with applicable standards and frameworks. Monitor regulatory changes and emerging compliance requirements, assessing impact and recommending necessary updates to Fulcrum’s policies and control activities. Risk Management Conduct risk assessments to identify, analyze, and prioritize organizational risks. Develop and maintain risk registers and oversee progress on risk treatment plans. Collaborate with business units to ensure risk management practices and control activities are integrated into operational processes. Track and report on key risk indicators (KRIs) and compliance metrics. Control Framework Development Ensure that the design of control activities is documented accurately and recommend ongoing improvements to Fulcrum’s control catalog. Obtain, assess, and maintain control activity evidence for audit readiness. Support remediation efforts for identified control gaps and deficiencies. Audit and Assessment Coordination Prepare audit documentation and corrective action plans as necessary. Track remediation activities and ensure timely closure of audit findings. Stakeholder Collaboration Partner with cross-functional teams including IT, Legal, and Business Development to advance compliance initiatives Provide guidance to Fulcrum GT staff on compliance requirements and best practices. Communicate compliance status, risks, and recommendations to senior leadership. Serve as a subject matter expert on GRC matters across the organization Required Qualifications Education Bachelor's degree in Information Security, Computer Science, Business Administration, Risk Management, or a related field. Experience Minimum 3-5 years of experience in governance, risk, and compliance roles. Demonstrated experience managing multiple compliance frameworks simultaneously. Proven track record of successfully leading audit readiness and certification efforts. Experience working with external auditors and certification bodies. Technical Knowledge Strong understanding of information security principles, practices, and technologies. In-depth knowledge of risk management methodologies and frameworks (e.g., NIST CSF, COBIT). Familiarity with GRC tools and platforms (experience with Vanta a plus). Understanding of cloud security and international privacy considerations. Preferred Experience and Certifications Professional Certifications (One or more of the following) Certified Information Systems Auditor (CISA) Certified in Risk and Information Systems Control (CRISC) Certified Information Systems Security Professional (CISSP) Certified in Governance of Enterprise IT (CGEIT) Benefits Competitive Health, Dental and Vision Insurance Pet Insurance 401k Flexible schedule Paid Holidays plus Paid Time Off Job Type Full-time Language English (Required)

Posted 30+ days ago

H logo
Hancock Whitney CorpUNO Center - New Orleans, LA
Thank you for your interest in our company! To apply, click on the button above. You will be required to create an account (or sign in with an existing account). Your account will provide you access to your application information. The email address used in establishing your account will be used to correspond with you throughout the application process. Please be sure and check the spam folder. You may review, modify, or update your information by visiting and logging into your account. ESSENTIAL DUTIES & RESPONSIBILITIES: Performs detailed analysis of HMDA reportable originated and non-originated applications of Mortgage Lending, Retail and Commercial Loans, as stipulated by Reg C. Performs detailed analysis of Small Business/Small Farm reportable commercial loans as defined by the Credit Reinvestment Act. Performs detailed analysis of Dodd Frank Act Section 1071 reportable commercial loans as defined by the Regulation. Responsible for importing/exporting monthly extract files from Host systems into reporting software, RiskExec or applicable software. Verifies accuracy of reportable data for each regulation by comparing information on source documents to information on Host systems and within the Loan Application Registers. Identifies exceptions associated with reviews, works closely with various LOB to clear, ascertains accuracy of specific codes and processes applicable maintenance. Responsible for identification of geographical co-ordinates for reportable addresses and clearing validity errors within RiskExec or applicable software. Responsible for importing review packages into imaging system for records retention. Interprets and identifies compliance risks associated with the review. Stays abreast of regulatory changes, federal and state banking laws affecting both regulations. Ability to meet stringent turn-around times established for regulatory timelines associated with verification and submission of data; Proficient in addressing large volumes and managing stress. Provides support documentation and compile responses for internal and external audits; Develops procedural manuals and job aids as required. Compiles metrics for unit-based on volume and exception ratios; Assists as needed in department special projects SUPERVISORY RESPONSIBILITIES: None MINIMUM REQUIRED EDUCATION, EXPERIENCE & KNOWLEDGE: Bachelor's degree in business administration is preferred or related work experience 3-5 years Lending Services and/or Compliance experience No certification, licensure or registrations are required to successfully apply for this job; however, the following certifications from Hancock Whitney's Computer Based Training (CBT) are required, if applicable, once in this position: Home Mortgage Disclosure Act (HMDA); Credit Reinvestment Act (CRA); Dodd Frank Act Section 1071 (1071). Strong verbal and written communication skills to effectively communicate with a variety of audiences and multiple levels of management Proficient operation of Microsoft Office Products such as Outlook, Word, Excel, and PowerPoint Ability to establish and maintain a high level of credibility with all levels of internal customers Detail oriented and ability to prioritize tasks effectively Strong interpretative skills and ability to make autonomous decisions. Ability to formulate sound conclusions and choose optimal course of action based on analysis ESSENTIAL MENTAL & PHYSICAL REQUIREMENTS: Ability to work under stress and meet deadlines Ability to operate a keyboard to perform the essential job functions Ability to read and interpret a document to perform the essential job functions Ability to travel if required to perform the essential job functions Ability to lift/move/carry approximately 10 pounds to perform the essential job functions. If the employee is unable to lift/move/carry this weight and can be accommodated without causing the department/division an "undue hardship" then the employee must be accommodated; hence omitting lifting/moving/carrying as a physical requirement. Equal Opportunity/Affirmative Action Employers. All qualified applicants will receive consideration for employment without regard to race, color, religious beliefs, national origin, ancestry, citizenship, sex, gender, sexual orientation, gender identity, marital status, age, physical or mental disability or history of disability, genetic information, status as a protected veteran, disabled veteran, or other protected characteristics as required by federal, state and local laws.

Posted 2 weeks ago

DLA Piper logo
DLA PiperMiami, FL

$129,808 - $206,399 / year

DLA Piper is, at its core, bold, exceptional, collaborative and supportive. Our people are the backbone, heart and soul of our firm. Wherever you are in your professional journey, DLA Piper is a place you can engage in meaningful work and grow your career. Let's see what we can achieve. Together. Summary The Sr Manager, Employee Relations & Compliance, will work closely with HR Leadership, Office of General Counsel, and others in Firm Leadership and Management to address employee relations matters for lawyers and business professionals. To include the coaching and counseling of firm lawyers, management and business professionals; ensure the firm's compliance with local, state, and federal employment laws in the US; and have accountability and responsibility for HR policy development and review, and the delivery of employment related training. Location This position can sit in our Chicago, Atlanta, Baltimore, Boston, Tampa, Dallas, Houston, Los Angeles, Miami, Minneapolis, Northern Virginia, Philadelphia, Phoenix, Raleigh, San Diego, Seattle, Short Hills, Washington DC, or Wilmington office and offers a hybrid work schedule. Responsibilities Manage the process of responding to and resolving employee issues and concerns, including the management, review and response to requests for reasonable accommodations. Direct and lead conflict resolution between individuals. Apply firm policies to see HR-related disputes through to resolution. Regulatory reporting and partnering with HR Tech & Reporting to align Workday configuration with Firm policy and local, state, and federal regulations. At the direction of the Office of General Counsel, investigate and document complaints and bring to full resolution (discrimination, sexual harassment complaints, hostile work environment, etc.), including but not limited to, interviewing witnesses, maintaining investigation notes, making recommendations for resolution, preparing speaking points, preparing final investigation reports and maintaining investigation files. At the direction of HR Leadership and/or Office of General Counsel, manage approval and processing of involuntary terminations, including communications with payroll and other parties, as applicable. Coach managers and lawyers in facilitating meaningful performance conversations. Partner with Talent regarding lawyer performance matters. Enable the delivery of regular feedback and development planning for business professionals and lawyers. Create and implement a reduction-in-force (RIF) or other downsizing strategy with aligned HRBPs, department/vertical/practice group leadership and Office of General Counsel. Draft agreements, age charts and other RIF related documents. Create tools/resources to assist in supporting RIF actions. Analyze employee performance and create detailed performance improvement plans to bridge identified performance gaps. In collaboration with managers, determine appropriate corrective action steps up to and including recommendation to terminate the employment relationship. Manage the development, revision, planning, approval and execution of HR policies and initiatives, as well as support processes, tools, and training for policy management. Stay current with all federal, state and local regulatory requirements for US offices (inclusive of Puerto Rico), Brazil, and Chile, including awareness of upcoming changes to regulatory requirements. Update or create HR policies to align with regulatory changes. Develop trainings and resources related to employee relations, HR policies, coaching, and performance improvement plans. Deploy on an ongoing basis. Respond to client RFP requests. Other duties as assigned. Desired Skills Able to adapt communication style and message to fit audience; communicates clearly, concisely and able to deliver a compelling message; communicates and influences effectively up, down and across all levels. Exceptional written communication skills to ensure the effective drafting of HR policies, training content, investigative reports and summaries and drafting of effective performance improvement plans, etc. Ability to interact and maintain good relationships with employees, management and leadership. Strong analytical skills to assess workplace situations, evaluate information and draw accurate observations. Able to develop clear action plans with results-oriented goals for measuring success, leads due diligence and project plans for timely completion and takes ownership of quality management for work product. Ability to comprehend, interpret, and apply applicable laws, guidelines, regulations, ordinances, and policies (ADA, Title VII, ADEA, FSLA, etc.). Excellent coaching and presentation skills. Intermediate to advanced skills with MS Office, HRIS (Workday time and absence knowledge preferred), ServiceNow. Able to predict and offer solutions to internal clients before they know they need them. Able to establish and maintain strong long-term relationships. Partners with stakeholders and leadership to get input on projects. Understands firm vision and business strategy and incorporates into decision making process. Consistently exceeds performance expectations and invested in professional career development. Freely shares expertise and knowledge to support team, demonstrates political savvy, and uses sound judgement in all situations. Other duties as assigned. Minimum Education Bachelor's Degree in Employee Relations, Human Resources or related field. Certificates SHRM-CP, SHRM-SCP/PHR or SPHR certification preferred. Minimum Years of Experience 10+ years' experience as a compliance and employee relations professional with an emphasis on handling sensitive employee relations issues and counseling. Employee relations experience in a professional services firm preferred. Essential Job Expectations While the specific job requirements of a DLA Piper position may vary depending upon scope of the job and area of specialty, there are certain universal requirements that are expected of all DLA Piper employees, which include but are not limited to: Effectively communicate, verbally and in writing, with clients, lawyers, business professionals, and third parties. Produce deliverables, answer phone calls, and reply to correspondence in an efficient and responsive manner. Provide timely, accurate, and quality work product. Successfully meet deadlines, expectations, and perform work duties as required. Foster positive work relationships. Comply with all firm policies and practices. Engage in both physical and sedentary activity, such as (a) working at a computer for extended periods of time, including on-screen reading and typing; (b) participating in digital/virtual conference calls; (c) participating in meetings as needed. Ability to work under pressure and manage competing demands in a fast-paced environment. Perform all other duties, tasks or projects as assigned. Our employees are expected to embrace and uphold our firm values as a part of our DLA Piper culture. We are committed to excellence in how we represent our clients and develop our people. Physical Demands Sedentary work: Exerting up to 10 pounds of force occasionally and/or a negligible amount of force frequently or constantly to lift, carry, push, pull or otherwise move objects, including the human body. Sedentary work involves sitting most of the time. Jobs are sedentary if walking and standing are required only occasionally and all other sedentary criteria are met. Work Environment The individual selected for this position may have the opportunity for a hybrid work arrangement comprised of remote and in-office work, the requirement for which will be determined in coordination with the hiring manager or supervisor and may be modified in the firm's discretion in the future. Disclaimer The purpose of this job description is to provide a concise statement of the work elements and to organize and present the information in a standardized way. It is not intended to describe all the elements of the work that may be performed by every individual in this classification, nor should it serve as the sole criteria for personnel decisions and actions. The job duties, requirements, and expectations for this position may be modified at the Firm's discretion at any time. This job description does not change the at-will nature of employment. Application Process Applicants must apply directly online instead of sending application materials via email. Accommodation Reasonable accommodations may be made upon request to permit individuals with a disability to perform the essential functions and responsibilities of the position or to participate in the job selection process. If you have a request for an accommodation during the application process, please contact careers@us.dlapiper.com. Agency applications will not be considered. No immigration sponsorship is available for this position. The firm's expected hiring range for this position is $129,808 - $206,399 per year depending on the candidate's geographic market location. The compensation offered for employment will also be dependent on other factors including the candidate's experience, skills, educational and professional background, and overall qualifications. We offer a comprehensive package of benefits including medical/dental/vision insurance, and 401(k). #LI-SB1 #LI-Hybrid DLA Piper is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Job applicant poster viewing center.

Posted 30+ days ago

Ameriprise Financial logo
Ameriprise FinancialCharlotte, NC

$87,400 - $120,200 / year

We are searching for a Compliance Manager/Officer within the General Counsel's Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals who will support the Field Office Inspections department through conducting required Branch Office and Office of Supervisory Jurisdiction inspections. This includes Ameriprise Advisor Center, Centralized Supervision Unit and other applicable locations as determined by the Firm. You will work in a collaborative culture where you will interact with a diverse set of business partners. Come and demonstrate your flexible, creative, and detailed oriented skills. Ameriprise is an organization that is committed to diversity and inclusion that supports work-life balance, structured mentoring, and career progression! Are you ready to get started and continue growing your career? Come apply today! Key Responsibilities Complete independent research and analyze various information and reports prior to, and during an exam, to identify potentially problematic behavior, violations, red flags, trends and potential areas of risk. Conduct initial interviews and exit interviews with Registered Principals, advisors, and staff. Review and report on the effectiveness of field compliance supervision, including identification of potential advisor sales practice violations. Provide education to field members relating to subject matter which include, but are not limited to, recommending action steps to improve compliance supervisory tasks based on company and regulatory policy and procedure, hot regulatory topics, firm trends, best practices, etc. Escalate issues as appropriate related to Registered Principal supervisory practices and/or advisor practices. Write, deliver, and follow up with RPs on Commitment to Action plans for the resolution of identified findings. Communicate and discuss results to all levels of field leadership and serve as a point of contact for inspections. Maintain current knowledge of industry and firm practices, developments, and risks. Partner with leadership and reach out to other teams (within and outside of compliance) to identify/understand risks, share results, escalate issues, and clarify policies and procedures. Work with other examiners when appropriate to ensure consistency of process. Identify process and procedure improvement opportunities and work collaboratively with colleagues/leadership to implement effective solutions. Engage in day-to-day operations of the Field Office Inspection team and/or department wide projects/initiatives. Required Qualifications Bachelor's Degree or equivalent. 5+ years of relevant work experience. Knowledge of FINRA, SEC and other regulatory rules/requirements. Knowledge of risks pertinent to industry and firm, and ability to strategically focus branch office/OSJ exams depending on relevant risks. Excellent analytical skills, including the ability to evaluate a broad scope of data to define potential risks. Demonstrated investigative skills, including the ability to follow an instinct while retaining an overall objective viewpoint. Demonstrated ability to interview various levels of leadership. Demonstrated ability to formulate practical solutions to technical issues. Excellent organization skills, ability to manage multiple priorities, ability to meet time sensitive deadlines. Demonstrated leadership competency, including the ability to build relationships and collaborate with other groups in the corporate office as well as the field. Excellent communication skills, both written and verbal. Proven ability to communicate with employees at all levels of the firm. Ability to tactfully craft difficult messages. Demonstrated ability to take initiative and operate independently, while able to work effectively in a team environment. Series 7 preferred for consideration. However, 5+ years of industry experience in lieu of the Series 7 will be taken into consideration if candidate does not have Series 7 at the time of application, which will be required within the allocated time after hiring. Series 9/10 or 24 required, or ability to obtain within corporate timeframes. Travel: Approximately 20%. Preferred Qualifications Experience in an audit function, familiarity with audit methodologies. Leadership experience. About Our Company We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world. Base Pay Salary The estimated base salary for this role is $87,400 - $120,200/year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances. Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law. Full-Time/Part-Time Full time Exempt/Non-Exempt Exempt Job Family Group Legal Affairs Line of Business GCO General Counsel's Organization

Posted 2 days ago

American Family Insurance Group logo
American Family Insurance GroupMadison, WI

$61,000 - $101,000 / year

As an Advertising Compliance Specialist, you will provides a full range of compliance oversight, advice and services with specialist knowledge in support of the business. You will focus on ensuring regulatory compliance with state and marketing standards. You will collaborate across departments, including product development, marketing, and operations. You will report to Business Systems Senior Manager. Position Compensation Range: $61,000.00 - $101,000.00 Pay Rate Type: Salary Compensation may vary based on the job level and your geographic work location. Relocation support is offered for eligible candidates. Primary Accountabilities Ensure operational processes, systems, and controls are compliant with state regulations. Review and interpret enacted changes in legislation and regulation to business impact. Provide business guidance on enacted changes in legislation and regulations to assist with sales, claims or product development and maintenance. Collaborate with various business units across the organization. Provide business requirements for the implementation of product related compliance projects. Work with technical areas, to interpret business requirements and review output to ensure quality of project deliverables. Document compliance management database with business direction, business requirements, and project milestones including postproduction validation. Serve as subject matter expert of products, services or sales related process, procedures and systems. Provide validation for inquiries coming from the NAIC and departments of insurance. Perform audits and/or compliance related projects. Reports status of compliance mandate projects. Specialized Knowledge & Skills Requirements Demonstrated experience providing customer-driven solutions, support, or service. Solid knowledge and understanding of advertising compliance guidelines, laws regulations and procedures. Demonstrated experience in rate and form filings as required by area of expertise. Demonstrated teamwork and interpersonal skills; ability to communicate and persuade in a cross-functional environment. Demonstrated experience with audit techniques, methodologies and tools. Solid knowledge and understanding of insurance products and related pricing concepts. Solid knowledge and understanding of state insurance laws and regulations. Demonstrated experience writing technical documents or performing regulatory research. Solid knowledge and understanding of insurance compliance in area of expertise. Solid knowledge of insurance contract language and regulatory environment. Demonstrated experience with product, sales or service specifics as required in area of expertise. Additional Information Offer to selected candidate will be made contingent on the results of applicable background checks Offer to selected candidate is contingent on signing a non-disclosure agreement for proprietary information, trade secrets, and inventions Sponsorship will not be considered for this position unless specified in the posting 5+ years' experience in advertising industry preferred 5+ years of compliance experience preferred 5+ years of holding an insurance sales license preferred We provide benefits that support your physical, emotional, and financial wellbeing. You will have access to comprehensive medical, dental, vision and wellbeing benefits that enable you to take care of your health. We also offer a competitive 401(k) contribution, a pension plan, an annual incentive, 9 paid holidays and a paid time off program (23 days accrued annually for full-time employees). In addition, our student loan repayment program and paid-family leave are available to support our employees and their families. Interns and contingent workers are not eligible for American Family Insurance Group benefits. We are an equal opportunity employer. It is our policy to comply with all applicable federal, state and local laws pertaining to non-discrimination, non-harassment and equal opportunity. We also consider qualified applicants with criminal histories, consistent with applicable federal, state and local law. American Family Insurance is committed to the full inclusion of all qualified individuals. If a reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please email AskHR@AmFam.com to request a reasonable accommodation. #LI-CF1

Posted 30+ days ago

Keybank National Association logo
Keybank National AssociationAlbany, NY

$71,000 - $122,000 / year

Location: 4910 Tiedeman Road, Brooklyn Ohio The Commercial Compliance Officer will be a member of the Commercial Lending and Deposits Compliance team within Compliance Risk Management. The Commercial Compliance Officer will provide support to business and commercial lines of business by researching, interpreting, and assisting with applying the related laws and regulations. The primary focus of this role will be commercial lending compliance oversight, optimally with a focus on commercial default, with additional opportunities to expand coverage into other phases in the life cycle of business and commercial lending and/or business and commercial deposits. As subject matter expert, the Commercial Compliance Officer will provide consultative advice, perform oversight activities, and assume responsibility for mitigating and discouraging actions that may expose KeyCorp and its affiliates to risk outside its desired risk appetite. For assigned lines of business, serve as a corporate subject matter expert for all compliance risks. Develop relationships of trust and confidence with the designated lines of business. Provide oversight and monitoring of line of business processes and controls. Proactively identify process improvements or control gaps and facilitate necessary associated changes. Keep abreast of new laws and regulations and perform impact and gap analyses as applicable. Assist with regulatory compliance exams. Assist with corporate policy and training development. Educate and provide consultative advice on related regulations. Provide independent review and challenge on various line of business activities. Assist with issues management and resolution. Participate in or lead various projects related to mitigating risk to Key. Assist the broader Commercial Lending and Servicing Compliance team with various aspects of business and commercial banking. REQUIRED QUALIFICATIONS Bachelor's Degree or substantial industry experience; Juris Doctorate or CRCM preferred. Minimum 3 years of experience as a financial services compliance professional, bank regulator or other comparable legal or professional experience. Demonstrated knowledge of the regulatory requirements related to lending compliance, specific to commercial and/or consumer compliance oversight. Experience applying and interpreting the Equal Credit Opportunity Act, UDAP/UDAAP, Fair Credit Reporting Act, bankruptcy and collections laws, Fair Debt Collection Practices Act, state law requirements, and other commercial or banking laws and regulations. Ability to comprehend and interpret federal and state laws that apply to lending or other commercial banking requirements. Demonstrated ability to understand complex business process and commercial banking products. Strong relationship management and leadership skills. Candidate must possess the wherewithal and flexibility to undertake new functions/tasks as the Compliance Risk and line of business evolves and grows. Proven ability to work in a team environment. Sound decision-making skills; able to make decisions independently and quickly. Solid written and oral communication skills. Sound understanding of compliance risks. Strong research skills coupled with strong problem solving/analytical skills. Strong attention to detail. Experience working within the three lines of defense model strongly considered. Demonstrated commitment to a diverse, inclusive workplace. COMPENSATION AND BENEFITS This position is eligible to earn a base salary in the range of $71,000.00 - $122,000.00 annually. Placement within the pay range may differ based upon various factors, including but not limited to skills, experience and geographic location. Compensation for this role also includes eligibility for incentive compensation subject to individual and company performance. Please click here for a list of benefits for which this position is eligible. Key has implemented an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment. Job Posting Expiration Date: 01/16/2026 KeyCorp is an Equal Opportunity Employer committed to sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, genetic information, pregnancy, disability, veteran status or any other characteristic protected by law. Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing HR_Compliance@keybank.com. #LI-Remote

Posted 3 weeks ago

Herzing University logo
Herzing UniversityWinter Park, FL

$43,350 - $58,650 / year

To participate in a remote work arrangement, employees must reside in the United States. No remote work arrangement will be considered for working from outside the United States. Current employees, faculty or adjunct instructor at Herzing University (not a Contractor or temporary employee through a staffing agency): log into UKG and navigate to Menu > Myself > My Company > View Opportunities to apply using the internal application process. The Clinical Compliance Specialist (CCS) is responsible for coordinating student and faculty compliance requirements and maintaining compliance records for all students and faculty who are engaged in experiential learning activities. The CCS confirms partner clinical site requirements and ensures both students and faculty have fulfilled requirements in advance of placement into the facility. The CCS escalates instances of non-compliance in an appropriate and timely manner to ensure the university remains complaint with requirements of clinical partners. Education/Experience Requirements: Bachelor's Degree. Preferably in healthcare administration, business administration or related field. Experience working in clinical, healthcare, office/auditing, or higher education setting. 2 years of experience working in clinical, healthcare, office/auditing or higher education setting is preferred. Sales and marketing experience preferred. Pay: Compensation is determined based on the qualifications, experience, and circumstances of each hire. It is uncommon for new employees to start near the top of the salary range. We offer a comprehensive benefits package, including a tuition waiver and reimbursement program, health insurance, paid time off, and a retirement savings plan. The salary range for this position is $43,350 to $58,650. Click Here to learn more about careers at Herzing University. Responsibilities: Support Faculty and Students to Fulfill Clinical Requirements Collects, manages, and evaluates appropriate documentation related to clinical education, including but not limited to health and physical screening, immunizations, CPR certifications and campus training programs, background and drug screening, fingerprinting, regulatory compliance with OSHA and HIPAA standards. Communicate with assigned population to ensure fulfillment of clinical compliance requirements in advance of placement/need. Facilitate clinical readiness course with assigned students. Escalate non-compliant individuals as directed for intervention. Facilitate Processing and Reporting on Clinical Compliance for Assigned Population Update records accurately to maintain reporting capabilities for assigned population. Follow prescribed communication protocols to inform leadership of non-compliant individuals and needed interventions. Maintain updated records of affiliated clinical site requirements to ensure compliance. Regularly monitor and communicate expiration dates and needed renewals to ensure student and faculty clinical compliance. Support Accreditation and Regulatory Compliance Initiatives Collaborates with programmatic and academic compliance leadership to complete regulatory reporting needs related to clinical as assigned by the Director of Clinical Compliance. Adheres to guidance provided by academic compliance team and programmatic leadership when seeking clinical affiliation in new markets to align with state and board approval requirements. Adheres to state/local consortium clinical expectations/requirements to obtain clinical affiliations. Herzing University is committed to providing a diverse environment and is dedicated to fostering a culture and atmosphere of mutual respect. It provides an inclusive and collegial community where individuals are valued, heard and empowered to contribute to the effectiveness of the institution. Physical Requirements: Must be able to remain in a stationary position half of the time. Ability to move about readily and rapidly, if necessary, around campus, classrooms, clinical settings, etc., to access classrooms, desks, students, office machinery, clinics, patients, etc. Constantly communicates using the spoken word with students, staff and colleagues. Visually or otherwise identify, observe, and assess. Operate equipment specific to programmatic track, personal computer, audio-visual equipment, clinical equipment, etc. Occasionally move, carry, or lift 10 pounds. Applicants must be authorized to work for any employer in the U.S. We do not sponsor or take over sponsorship of an employment Visa at this time. It is the university's practice to recruit and hire without discrimination because of skin color, gender, religion, LGBTQi2+ status, disability status, age, national origin, veteran status, or any other status protected by law. https://www.herzing.edu/about/diversity Herzing University prohibits sex-based discrimination in any education program or activity that it operates. Individuals may report concerns or questions to the Title IX Coordinator. The notice of nondiscrimination is located at https://www.herzing.edu/title-ix .

Posted 3 days ago

T logo

Head Of Investment Compliance

Thornburg Investment Management, Inc.Santa Fe, NM

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Job Description

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Description

Thornburg is seeking an experienced investment compliance professional to lead our investment compliance function. As Head of Investment Compliance, you will be responsible for establishing and maintaining a comprehensive compliance framework that ensures our investment activities adhere to all applicable regulations, internal policies and fiduciary obligations. In addition, you will be responsible for assisting with material non-public information, research/commissions oversight, trade errors, and other investment compliance issues. This is a critical leadership role that requires both strategic thinking and hands-on execution in a complex and fast-paced investment environment

DUTIES AND RESPONSIBILITIES:

  • Regulatory Oversight & Program Management: You will design, implement and oversee the firm's investment compliance program, ensuring adherence to SEC, FINRA, Irish Central Bank regulations, and other regulatory requirements.
  • Investment Monitoring & Surveillance: You will establish and maintain surveillance systems to monitor portfolio management activities, trading practices and investment restrictions. This also includes ensuring compliance with client investment guidelines, prospectus requirements and regulatory restrictions across all investment strategies.
  • Advisory & Training: You will serve as a trusted advisor to portfolio managers, traders and senior leadership on compliance matters. This may include providing guidance on new investment products, trading strategies and business initiatives.
  • Committee Representation & Client Facing: You will be asked to participate in various committees across the firm such as best execution, liquidity, pricing and valuation, derivatives and enterprise risk. Additionally, you will be asked to meet with clients in due diligence meetings to explain your role as Head of Investment Compliance.
  • Risk Management & Reporting: You will identify, assess, and mitigate compliance risks across the investment platform. This may include conducting risk assessments, testing key controls, investigating potential violations and reporting findings to senior management.
  • Regulatory Change Management: You will monitor regulatory developments affecting the asset management industry and assess their impact on firm operations. This would include implementing necessary policy changes, system enhancements and process modifications to maintain compliance with evolving requirements.

Requirements

  • Bachelor's degree in finance, law, business, accounting, or related field required.
  • Advanced degree (JD, MBA, or Master's in Finance) strongly preferred.
  • Minimum 10 years of investment compliance experience at an asset management firm, with direct exposure to equity and fixed-income mutual funds, ETFs, UCITS, and separately managed accounts.
  • Demonstrated leadership in designing, implementing, and overseeing comprehensive compliance programs.
  • Proven ability to engage and influence stakeholders at all levels, including senior leadership, regulators, and clients.
  • Deep knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940
  • Familiarity with global regulatory frameworks (e.g., MiFID II, UCITS, AIFMD, Irish Central Bank) and their impact on asset management operations.
  • Experience managing and developing compliance teams of varying sizes.
  • Significant hands-on experience with order/execution management systems, preferably Bloomberg AIM.
  • Understanding of portfolio management processes, trading operations and investment strategies across multiple asset classes.
  • Strong communication skills and ability to engage and influence stakeholders at all levels
  • Strong analytical and problem solving skills with the ability to assess complex compliance issues and develop practical solutions.

Job Benefits

  • Medical, dental, and vision coverage.
  • Employer 401(k) safe harbor and profit-sharing contributions.
  • Work/life programs such as flexible work arrangements, flexible paid time off, paid parental leave, employee assistance plan, commuter benefits, student loan repayment program, education reimbursement program.
  • Community involvement opportunities.
  • Onsite cafeteria.
  • Onsite fitness center.
  • Referral program.

Santa Fe is the capital of New Mexico. Founded in 1610 and nicknamed "The City Different," Santa Fe captures hearts and minds with its museums, restaurants, theater, opera, and adobe-style architecture. With an average of over 300 sunny days per year and picturesque landscape, it's no wonder that outdoor activities such as skiing and hiking in "The Land of Enchantment" attract visitors from around the world.

All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, national origin, disability, gender, gender identity or protected veteran status.

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