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Senior Manager Of Compliance Communications-logo
Senior Manager Of Compliance Communications
RobinhoodDenver, CO
Join a leading fintech company that's democratizing finance for all. Robinhood Markets was founded on a simple idea: that our financial markets should be accessible to all. With customers at the heart of our decisions, Robinhood and its subsidiaries and affiliates are lowering barriers and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in. With growth as the top priority... The business is seeking curious, growth-minded thinkers to help shape our vision, structures and systems; playing a key-role as we launch into our ambitious future. If you're invigorated by our mission, values, and drive to change the world - we'd love to have you apply. About the team The Compliance team at Robinhood Securities, LLC ("RHS"), and Robinhood Financial, LLC ("RHF"), drives a culture of compliance that actively supports the people, process and technologies vital to our business. We strive to craft and implement effective compliance programs to protect customers, promote market integrity, and reduce regulatory, financial, operational and reputation risk. The Senior Manager of Compliance Communications will be responsible for reviewing, advising, auditing, and Principal Reviewing - PR (approving) retail communications content (which includes advertising & marketing) to ensure compliance with regulatory requirements and internal guidelines. The Sr. Manager will support the team in guiding internal customers (Marketing, Social, Communications, Public Relations (PR), Research and Product) teams on the compliance guidelines for projects and customer facing communications to ensure we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies. The role is located in the office location(s) listed on this job description which will align with our in-office working environment. Please connect with your recruiter for more information regarding our in-office philosophy and expectations. What you'll do Lead a team of communication specialists to ensure compliance guidelines for communications are followed Develop and implement process improvements to increase quality and scalability Establish program efficiencies and enhance processes within the team Build strong relationships and align compliance strategy among different stakeholders Review, analyze, and advise stakeholders on the adherence of communications with compliance and internal guidelines Principal Review (approve) communications materials to ensure it meets regulatory and internal standards Guide internal customers and staff on compliance for projects and deliverables Conduct internal Quality Assurance of the communications compliance review process and final approved marketing pieces What you bring: Bachelor's Degree FINRA Series 7 and 24, Series 4 is nice to have 7+ years working in compliance or a relevant function 5+ years managing people or leading teams Ability to effectively manage multiple priorities and adapt to a changing environment Good written and verbal communication, strategic, negotiation skills and strong attention to detail General financial services industry experience as a regulator or within compliance, audit, risk, marketing, or communication What we offer Market competitive and pay equity-focused compensation structure 100% paid health insurance for employees with 90% coverage for dependents Annual lifestyle wallet for personal wellness, learning and development, and more! Lifetime maximum benefit for family forming and fertility benefits Dedicated mental health support for employees and eligible dependents Generous time away including company holidays, paid time off, sick time, parental leave, and more! Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter benefits Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. This role is also eligible to participate in a Robinhood bonus plan and Robinhood's equity plan. For other locations not listed, compensation can be discussed with your recruiter during the interview process. Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC) $183,000-$215,000 USD Zone 2 (Denver, CO; Westlake, TX; Chicago, IL) $161,000-$189,000 USD Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL) $143,000-$168,000 USD Click here to learn more about available Benefits, which vary by region and Robinhood entity. We're looking for more growth-minded and collaborative people to be a part of our journey in democratizing finance for all. If you're ready to give 100% in helping us achieve our mission-we'd love to have you apply even if you feel unsure about whether you meet every single requirement in this posting. At Robinhood, we're looking for people invigorated by our mission, values, and drive to change the world, not just those who simply check off all the boxes. Robinhood embraces a diversity of backgrounds and experiences and provides equal opportunity for all applicants and employees. We are dedicated to building a company that represents a variety of backgrounds, perspectives, and skills. We believe that the more inclusive we are, the better our work (and work environment) will be for everyone. Additionally, Robinhood provides reasonable accommodations for candidates on request and respects applicants' privacy rights. Please review the specific Robinhood Privacy Policy applicable to the country where you are applying.

Posted 2 weeks ago

P
Compliance Specialist
PublicSquareWest Palm Beach, FL
PublicSquare Company Values We are united in our commitment to freedom and truth - that's what makes us Americans. We will always protect the family unit and celebrate the sanctity of every life. We believe small business and the communities who support them are the backbone of our economy. We believe in the greatness of this Nation and will always fight to defend it. Our Constitution is non-negotiable - government isn't the source of our rights, so it can't take them away. This is a full-time W2 position. PublicSquare is America's leading commerce and payments ecosystem that serves customers and businesses that value life, family, and freedom. PublicSquare operates under three segments: Marketplace, Financial Technology, and Brands. The primary mission of the Marketplace segment is to help consumers "shop their values" and put purpose behind their purchases. PublicSquare leverages data and insights from the Marketplace to assess its customers' needs and provide wholly-owned quality financial products and brands. PublicSquare's Financial Technology segment includes Credova, a consumer financing and payments company. PublicSquare's Brands segment consists of D2C companies, like EveryLife, a premium life-affirming baby products company. Role Overview: Our Compliance Team plays a critical role in supporting Credova's growth while maintaining a strong foundation of compliance and risk management and ensuring adherence to applicable laws and regulations. As Credova continues to scale, we are looking for a Compliance Specialist to join our team. This position reports up to the Compliance Manager. This is an exciting opportunity for an early-career compliance professional to gain hands-on experience with our business and compliance controls, while building valuable skills in the rapidly evolving fintech industry. The Compliance Specialist will be responsible for executing operational tasks critical to Credova's Compliance Management System (CMS). You'll work closely with internal and external stakeholders to ensure compliance standards are met, risks are mitigated, and corrective actions are effectively implemented. If you are interested in developing your compliance career in a supportive and high-impact role, then this job may be right for you! Key Responsibilities: Perform compliance testing using our GRC software in accordance with CMS standards. Analyze testing results and review findings with Compliance management. Identify compliance exceptions and issues, collaborating with stakeholders to implement corrective action plans and ensure timely completion. Present testing outcomes and updates to the Credova Compliance Committee. Stay current on regulatory requirements and provide risk-based feedback on testing framework improvements. Investigate, research, and resolve regulated customer complaints across multiple channels, drafting response proposals for internal review. Track complaints and corrective actions using GRC tools, assigning and monitoring tasks as needed. Analyze trends in customer complaints and recommend actionable solutions. Support licensing activities via NMLS, including the acquisition and maintenance of Credova's lending licenses and interactions with third-party vendors. Participate in regulatory audits and special projects while managing multiple priorities effectively. Requirements: Previous experience in compliance, risk management, legal, or audit roles within a financial institution, Fintech, BNPL provider, or payments company. Familiarity with banking or consumer finance regulations strongly preferred. Self-starter with the ability to thrive in a fast-paced, dynamic environment. Strong communication and collaboration skills with a cross-functional mindset. Strong analytical and investigative skills to handle compliance testing, monitoring, and issue resolution. Proficiency with GRC platforms and tools a bonus (e.g., LogicGate, RSA Archer). Tech-savvy and comfortable learning new software systems used in Fintech operations. Interest in Fintech innovation and evolving compliance challenges in BNPL and a desire to learn and grow. What we offer: Insurance: The company covers 100% of the premiums for Medical, Dental, Vision, and Life Insurance, with some plans including an HSA with a company contribution. Retirement Planning: 401(k) with a 100% employer match up to 4%. Work-Life Harmony: Generous Paid Time Off and Paid Holidays. Make More Babies: Paid Parental Leave and a $5,000 Baby Bonus when you grow your family. Savings: Discounts on our brands. Recognition: Rewards and recognition bonuses. Free Speech: Ability to respectfully express your views, even on sensitive topics. More to Come! Physical Requirements: Prolonged periods of sitting at a desk and working on a computer. Ability to travel as needed, including by plane, car, or public transportation. Ability to lift up to 15 pounds occasionally (e.g., laptop, marketing materials, or trade show equipment). Ability to communicate effectively in person and via phone, video conferencing, and email. Ability to attend in-person meetings, conferences, or events, which may require standing or walking for extended periods.

Posted 30+ days ago

Analyst, Investment Compliance-logo
Analyst, Investment Compliance
National Life GroupAddison, TX
Investment Compliance Analyst Job Summary The Investment Compliance Analyst is responsible for supporting and enhancing the compliance programs of NLG Capital, Inc. (the Firm), an SEC-registered investment adviser within the National Life Group family of companies. This role blends investment compliance oversight, including ensuring compliance with broader firm-level regulatory responsibilities, support and guidance to business and support areas. The ideal candidate is detail-oriented, analytical, and has a strong grasp of SEC regulations, investment products, and compliance systems. Primary Responsibilities Regulatory Compliance & Oversight Track proposed and newly adopted regulations; update the Chief Compliance Officer (CCO) or Deputy Chief Compliance Officer (DCC)) on changes and assist with impact analysis, implementation strategies, and execution. Support the CCO/DCCO in evaluating and enhancing the adequacy of compliance policies, procedures, training, and objectives. Administration of the firm's Code of Ethics program, including monitoring of personal trading and other regulatorily required disclosures. Administer record retention, email surveillance, and assessments of business continuity and information security programs. Assist with the implementation and testing of required controls under Rule 206(4)7 and preparation and review of regulatory filings as required (e.g., Form ADV). Investment Compliance Monitor internal and statutory (insurance) investment guidelines, regulatory constraints, and client-specific mandates. Conduct pre- and post-trade compliance reviews to ensure portfolios align with investment restrictions. Identify, document, and resolve compliance breaches or exceptions, and follow up on corrective actions. Support the development and maintenance of compliance rules in proprietary systems or vendor applications like Charles River CRD or Bloomberg AIM. Interpret and implement new investment mandates and regulatory updates into compliance tools. Reporting & Testing Prepare and submit reports and documentation related to compliance initiatives, incidents, testing outcomes, and regulatory filings. Maintain detailed records of compliance testing, risk assessments, and regulatory approvals. Conduct forensic testing to detect potential compliance violations or patterns of concern. Collaboration & Stakeholder Engagement Collaborate with legal, operations, risk, and investment teams to align on compliance strategies and support internal/external audits and regulatory exams (e.g., SEC, FINRA). Deliver a high standard of internal service, emphasizing timely support, quality of work product, and responsiveness. Training & Development Stay abreast of industry best practices, vendor updates, and regulatory trends. Participate in and contribute to internal training programs and continuous process improvements. Qualifications Education: Bachelor's degree in Finance, Economics, Business, or a related field (required). Experience: 1-3 years of experience in investment adviser compliance , legal department or law firm supporting investment advisers, or related financial services firm. Skills: Solid understanding of SEC rules and investment adviser regulations. Proficiency in Microsoft Office (Excel, Word, PowerPoint); knowledge of SQL or data analytics tools is a plus. Strong analytical, interpersonal, and written/verbal communication skills. Ability to work effectively with personnel at all levels, including senior management. In addition to base salary, other rewards may include an annual bonus, quarterly bonuses, commissions, and other long-term incentive compensation, depending on the position. National Life offers a competitive total rewards package which includes: a 401(k) retirement plan match; medical, dental, and vision insurance; a company funded wellness account for director and below employees; 10 paid holidays; a generous paid time off plan (22 days of combined time-off for non-exempt employees and exempt employees have discretion in managing their time, including scheduling time off in the normal course of business, but in no event will exempt employees receive less sick time than required by state or local law); 6 weeks of paid parental leave; and 6 weeks of paid family leave after a year of full-time employment National Life is accepting applications for this role on an ongoing basis and the role remains open until filled. National Life Group is a trade name of National Life Insurance Company, Montpelier, VT - founded in 1848, Life Insurance Company of the Southwest, Addison, TX - chartered in 1955, and their affiliates. Each company of National Life Group is solely responsible for its own financial condition and contractual obligations. Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other entities are independent of the companies of National Life Group. National Life Group 1 National Life Dr Montpelier, VT 05604 Social Media Policy Site Disclosure and Privacy Policy

Posted 1 week ago

Compliance Manager-logo
Compliance Manager
Kate FarmsGoleta, CA
ABOUT KATE FARMS Kate Farms is a company with heart. Our company was founded on the belief that good nutrition leads to good health, and good health opens the door to endless possibilities. That's why our mission is to make nutrition the cornerstone of healthcare so people can live their best lives. We are a medical food company that makes complete nutrition formulas for people who have a medical need for liquid nutrition. Kate Farms works to be the place where a diverse mix of talented individuals want to come, stay, and do their best work. Ensuring a diverse and inclusive workplace where we learn from each other is at the core of Kate Farms' values. We are an equal-opportunity employer and fully focused on equality; we believe deeply in diversity of race, gender, sexual orientation, religion, ethnicity, national origin, and all the other fascinating characteristics that make us different. We invite you to do the best work of your life with us at Kate Farms. POSITION OVERVIEW Our legal team plays a crucial role in supporting this mission by ensuring compliance, managing legal risks, and facilitating strategic initiatives. The Compliance Manager is an important member of the Legal and Compliance Team responsible for providing end-to-end process management of the Content and Claims Review Team (CRT) process and the Compliance program. This position effectively manages these two areas by documenting and enforcing processes, as well as continuously improving them. The Compliance Manager will support other members of the legal team in the areas of claims review and compliance. WHAT YOU WILL DO Manage the Kate Farms Content and Claims Review Team (CRT) process by: Managing the submission calendar, collecting documents for review, facilitating review meetings, tracking signoffs and communicating outcomes. Managing CRT document control, including receiving final submissions, confirming required changes have been made, and approving final documents. Serving as the business process owner for the CRT tool, Veeva Vault PromoMats, including defining business requirements, providing system training, and supporting IT in their management of the application and its provider. Providing training, reporting KPIs, and facilitating continuous improvement of the CRT process. Facilitating annual review of the CRT SOP. Manage the Kate Farms Compliance Program by: Ensuring all compliance training on all applicable policies is completed in each department and/or function including our code of conduct, interactions with HCP policy, the CRT SOP and other policies as determined by the Chief Ethics and Compliance Officer. Maintaining compliance software tools including an ethics hotline and policy hub. Ensuring all material policies are reviewed according to their applicable review period. Participating as a key member of the Company's Legal, Compliance and Security Team organizing and leading meetings as necessary. Responsible for the compliance messaging plan. Responsible for reporting to the Chief Ethics & Compliance Officer upon program metrics. WE ARE LOOKING FOR SOMEONE WHO Basic/developing abilities in and understanding of project management knowledge areas (e.g., requirements management, schedule management, risk management, etc.) and process groups (i.e., initiating, planning, executing, monitoring and controlling, closing). Can manage simpler project with autonomy, leading cross-functional projects teams through given work structures, defining clear project objectives and plans and executing them. Highly organized with ability to manage a lot of detailed information. Can manage multiple projects simultaneously and shift priorities quickly; work with a sense of urgency. Critical thinking and problem-solving skills; can identify issues and facilitate cross-functional discussions to solve them. Solid written, visual, and verbal communication skills; can credibly communicate with clarity and accuracy at all levels of the organization, and interact with network of internal stakeholders effectively. Minimum 2 years of business experience including participation in cross-functional projects, preferably in food/beverage. Has a basic understanding of functional org structures and the roles & responsibilities of each function. Can effectively use standard MS Office applications (i.e., Outlook, Word, Excel, PowerPoint). Have a basic understanding of legal concepts related to claims review, regulatory, compliance and other legal related topics. Strong commitment to company mission and values. Ability to work independently and collaboratively in a fast-paced, dynamic environment. Respectfully shares and accepts feedback willingly from all levels of the organization. PHYSICAL DEMANDS The physical demands described here are representative of those that must be met by the employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions. Effectively handle lifting of various objects weighing up to 12 pounds. While performing the essential functions of the job, the employee will be required to bend, stoop, kneel, reach, and climb stairs. Possess the ability to sit at a computer for extended periods of time. WORK ENVIRONMENT The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of the job. Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions. This position will work in a home/office environment with occasional trips to the corporate office or other meeting locations. Requires 5% travel. It is Kate Farms policy that any position that requires regular interaction with healthcare professionals require that, if hired, you be vaccinated against COVID-19 unless you need a reasonable accommodation due to sincerely held religious beliefs, medical needs, or other reasons protected by applicable federal, state, and local law. Compensation for this role is in the form of base salary plus a variable component that together comprise the On-Target-Earnings (OTE). Some positions may include additional compensation in the form of equity. The typical starting salary range for new hires in this role is listed below. This range represents the lowest to highest salary range we reasonably and in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. Please note that base pay offered may vary depending on factors including your geographic location, job-related knowledge, skills, and experience. If hired, employee will be in an "at-will position" and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors. All job offers are contingent upon successful completion of background verification. $90,750 - $110,000 Annual Base Salary. For full-time salaried or hourly workers, our total rewards package also include the option to enroll in a company-matched 401k plan, as well as participate in Company-sponsored medical, dental, vision, and basic life insurance plans for the employee and the employee's eligible dependents. Employees will also receive a generous PTO benefit with a starting accrual of 15 days per year (prorated upon hire and increased by tenure), two weeks of paid "Refresh" leave, 80 hours of paid sick leave annually, and 11 paid holidays throughout the calendar year. Kate Farms offers a range of other benefits offered with an emphasis on employee well-being such as paid disability leave, paid parental / pregnancy leave, Flexible Spending Accounts (FSA), tuition reimbursement, an Employee Assistance Program, and more.

Posted 3 weeks ago

Crew Compliance Administrator-logo
Crew Compliance Administrator
MarineMaxFort Lauderdale, FL
SUMMARY Duties include processing Fairport crew documentation by sharing and working with the Captains/Crew on board and coordinating with the Yacht Account Managers and Crew Compliance Manager. Administer the crew files insuring they are completed, and all documents are in good order. Assist the department from organizing crew mail and anything to contribute to the smooth operation of the department and yacht fleet. Maintain professional, friendly relationships with captains and crew and project a professional company image through in-person, and phone interaction as well as any industry events. PRIMARY RESPONSIBILITIES Processing and saving documents correctly for each crew member. Request missing documents from each crewmember and update vessel tracking sheet with crewmember movements/updates. Work with crew onboard to maintain database of crew files including validity and expiry dates of all documents including medical and licensing. Assist with crew questions. Create Shared Folders to share crew documentation relevant to each vessel. Send Shared Folder link to Captain's. Forwarding crew mail and packages - USPS, Fed Ex & UPS, bins in office, etc. Review and maintain each yacht's crew document tracking list regularly Work with yacht's health insurance agent to add/terminate a crewmember's health insurance policy (as applicable and as backup to Account Managers). Assist crew in applying for flag state endorsements and seaman's discharge books Write visa, travel, and employment letters for crew Maintain strong relationships with Captains and crew Maintain computer contact database Update/Process Manage My Vessel website in coordination with crew - if requested. Provide administrative assistance - answer telephones, create letters, scanning & copying, mailing, financial administration - if requested. ADDITIONAL RESPONSIBILITIES Answer Phones Attend conferences when necessary to maintain up to date information on Flag States Create new crew tracking spreadsheets for new boats Maintain currency with applicable industry regulations, rules and advisories Member of Emergency Team KNOWLEDGE & SKILL REQUIREMENTS Knowledge of industry standards and lifestyle Ability to multi-task and stay organized Basic reading, writing and arithmetic skills required Acquire basic knowledge of customs and immigration regulations Must be computer proficient in Microsoft Office including Excel, Word, Adobe, and Microsoft Outlook. Duties require professional verbal and written communication skills. MarineMax and its subsidiaries uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States. Learn more about E-Verify, including your rights and responsibilities.

Posted 4 weeks ago

Compliance Specialist, Marketing-logo
Compliance Specialist, Marketing
SofiJacksonville, FL
Employee Applicant Privacy Notice Who we are: Shape a brighter financial future with us. Together with our members, we're changing the way people think about and interact with personal finance. We're a next-generation financial services company and national bank using innovative, mobile-first technology to help our millions of members reach their goals. The industry is going through an unprecedented transformation, and we're at the forefront. We're proud to come to work every day knowing that what we do has a direct impact on people's lives, with our core values guiding us every step of the way. Join us to invest in yourself, your career, and the financial world. The successful Compliance Specialist, Marketing candidate will work with a team of Compliance and Marketing professionals across the enterprise and will focus on payment processing and general bank marketing compliance. SoFi's broader Communications With the Public team (CWP) provides compliance expertise and partner support to Marketing, Business Development, and Product departments enterprise-wide, including Galileo's payment processing and program management. In a manner supportive of SoFi's culture of cross-functional collaboration, the Compliance Specialist, Marketing will review and approve communications with the public prior to distribution, while ensuring regulatory adherence and managing to tight deadlines. The ideal candidate will have advertising compliance experience and strong knowledge of regulatory requirements that apply to advertising and marketing. This includes, but is not limited to, the following regulations: CAN-SPAM, TCPA, UDAAP, Reg. DD (TISA), and ECOA. This candidate will report directly to the Manager of the CWP team, while also maintaining strong relationships with the Galileo compliance team in order to acquire a working knowledge of their products and services. What you'll do: Review marketing assets submitted by the Marketing team to ensure compliance with applicable laws and regulations Provide day-to-day marketing compliance support to various business units, primarily Galileo, and act as the key point-of-contact between Compliance and the Marketing organization for escalations Own and drive the research of regulatory risks in connection with advertising and marketing, document analysis, and communicate recommended or required action to the impacted business teams Track marketing claims and maintain associated disclosures and substantiation through the firm's marketing workflow system Drive the development and maintenance of SoFi's policies, procedures, and regulatory compliance training material Monitor changes in applicable laws, regulations, and industry standards related to marketing compliance Assist with audit and exam responses related to the marketing review process Other duties as assigned What you'll need: 5+ years of relevant work experience in financial services and/or fintech, with a preferred background in legal, compliance, marketing, or a related field A degree from an accredited university or significant relevant experience demonstrating your understanding of marketing compliance in the financial sector Propensity to thrive in a fast-paced, ever-changing environment while maintaining a sharp focus on compliance standards Keen attention to detail required Poise under pressure and ability to triage and prioritize competing priorities Expertise in developing and fostering cross-functional relationships with key stakeholders to collaborate effectively Ability to articulate complex opinions and requirements in a simple and understandable way Talent for developing practical, creative solutions that meet business needs while remaining compliant with laws and regulations Flexibility to occasionally work outside of business hours as needs arise Nice to have: Experience with G Suite, Workfront Compensation and Benefits The base pay range for this role is listed below. Final base pay offer will be determined based on individual factors such as the candidate's experience, skills, and location. To view all of our comprehensive and competitive benefits, visit our Benefits at SoFi page! Pay range: $86,400.00 - $162,000.00 Payment frequency: Annual This role is also eligible for a bonus and competitive benefits. More information about our employee benefits can be found in the link above. SoFi provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law. The Company hires the best qualified candidate for the job, without regard to protected characteristics. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. New York applicants: Notice of Employee Rights SoFi is committed to embracing diversity. As part of this commitment, SoFi offers reasonable accommodations to candidates with physical or mental disabilities. If you need accommodations to participate in the job application or interview process, please let your recruiter know or email accommodations@sofi.com. Due to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time. Internal Employees If you are a current employee, do not apply here - please navigate to our Internal Job Board in Greenhouse to apply to our open roles.

Posted 1 week ago

Global Regulatory Affairs Compliance And Planning, Sr. Manager-logo
Global Regulatory Affairs Compliance And Planning, Sr. Manager
Kyowa KirinPrinceton, NJ
Kyowa Kirin is a fast-growing global specialty pharmaceutical company that applies state-of-the-art biotechnologies to discover and deliver novel medicines in four disease areas: bone and mineral; intractable hematologic; hematology oncology; and rare disease. A Japan-based company, our goal is to translate science into smiles by delivering therapies where no adequate treatments currently exist, working from drug discovery to product development and commercialization. In North America, we are headquartered in Princeton, NJ, with offices in California, North Carolina, and Mississauga, Ontario. Summary: The Project Manager, Global Regulatory Affairs Compliance and Planning will lead or support regional and global projects by effectively delivering assigned projects within GRA on time and within budget. This individual will support the development of performance metrics and tracking mechanisms for timely monitoring and reporting of project performance. Essential Functions: The Project Manager, Regulatory Affairs Global Compliance and Planning is responsible for driving implementation of and adherence to best practices in project management. This role will be a regional NA lead for Global Compliance and Planning and be responsible for ensuring global compliance and planning initiatives are implemented locally when applicable. The Project Manager will lead or support projects within the Global Compliance and Planning function and other appropriate project management initiatives within RA. This role requires close partnership between global and regional regulatory functions as well as cross functional stakeholders such as QA, PV, and IT. This individual will partner with GRA Compliance and Planning team members to deliver on the strategy of achieving industry leadership, process efficiency, standardization, and ingraining a cultural mindset of continuous improvement. The Project Manager will lead the project planning process and ensure strategic business objectives are met by the most efficient use of budget and resources. This role will be required to think outside the box in developing a strategy and executing on a project effectively. This role will lead GRA risk management tracking initiatives. Support regulatory audits and inspections. Ensure effective processes are in place for tracking CAPAs, deviations. Lead cross functional and regional collaborations to create harmonized processes and SOPs, including conducting a GAP analysis. This individual will develop performance metrics and conduct timely monitoring and reporting of project performance. This role will be responsible for driving excellence in the execution of project role out and maintenance. Requirements: Education Bachelor's degree. PMP Certified Prior experience in Life sciences industry (Pharmaceutical, Medical Device, or Bio-Tech) is beneficial but not required. Experience 7+ years of pharmaceutical experience. Broad understanding of pharmaceutical development, Regulatory Affairs, Quality Assurance, Safety and Commercial. Experience managing cross-functional project teams in a global business environment is required. Experience implementing change management would also be an important experience for this role. Technical Skills Proficient in MS Office Suite (e.g, Microsoft Project, Powerpoint, Excel). Non-Technical Skills Demonstrated ability to organize, prioritize, meet deadlines, make decisions, and change course of action quickly. Strong interpersonal and communication skills. Strong work ethic is required. Excellent problem-solving skills. Detail oriented and excellent follow through. Has the ability to flex and deal with ambiguity in a dynamic, fast-paced, high growth environment. Has a passion for personal learning and development to be able to grow with the company. Cultural sensitivity and ability to develop consensus within a multinational organization. Working Conditions: Requires up to 5% domestic and international travel The anticipated salary for this position will be $155,000 to $170,000. The actual salary offered for this role at commencement of employment may vary based on several factors including but not limited to relevant experience, skill set, qualifications, education (including applicable licenses and certifications, job-based knowledge, location, and other business and organizational needs. The listed salary is just one component of the overall compensation package. At Kyowa Kirin North America we provide a comprehensive range of benefits including: 401K with company matching Discretionary Profit Sharing Annual Bonus Program (Sales Bonus for Sales Jobs) Generous PTO and Holiday Schedule which includes Summer and Winter Shut-Downs, Sick Days and, Volunteer Days Healthcare Benefits (Medical, Dental, Prescription Drugs and Vision) HSA & FSA Programs Well-Being and Work/Life Programs Long-Term Incentives Life & Disability Insurance Concierge Service Pet Insurance Tuition Assistance Employee Referral Awards The compensation and benefits information set forth in this posting applies to candidates hired in the United States. Candidates hired outside the United States will be eligible for compensation and benefits in accordance with their local market. KKNA and all of its employees have an obligation to act in accordance with the law and with integrity in all our operations and interactions It is the policy of Kyowa Kirin North America, Inc. to provide equal employment opportunity to all qualified persons without regard to race, religion, creed, color, pregnancy, sex, age, national origin, disability, genetic trait or predisposition, veteran status, marital status, sexual orientation or affection preference or citizenship status or any other category protected by law. When you apply to a job on this site, the personal data contained in your application will be collected and stored by Kyowa Kirin, Inc. ("Controller"), which is located at 510 Carnegie Center Dr. Princeton, NJ 08540 USA and can be contacted by emailing kkus.talentacquisition.8h@kyowakirin.com. Controller's data protection officer can be contacted at usprivacyoffice@kyowakirin.com. Your personal data will be processed for the purposes of managing Controller's recruitment related activities, which include setting up and conducting interviews and tests for applicants, evaluating and assessing the results thereto, and as is otherwise needed in the recruitment and hiring processes. Such processing is legally permissible under Art. 6(1)(f) of General Data Protection Regulation (EU) 2016/679 ("GDPR") as necessary for the purposes of the legitimate interests pursued by the Controller, which are the solicitation, evaluation, and selection of applicants for employment. Your personal data will be shared with Greenhouse Software, Inc., a cloud services provider located in the United States of America and engaged by Controller to help manage its recruitment and hiring process on Controller's behalf. Accordingly, if you are located outside of the United States, your personal data will be transferred to the United States once you submit it through this site. The transfer will be made using appropriate additional safeguards under the standard contractual clauses approved by regulators for transfers of personal data outside the European Union. Your personal data will be retained by Controller as long as Controller determines it is necessary to evaluate your application for employment. Under the GDPR, if you are located in the European Union, you have the right to request access to your personal data, to request that your personal data be rectified or erased, and to request that processing of your personal data be restricted. You also have the right to data portability, and to lodge a complaint with an EU supervisory authority. If you have any questions about our use of your data, you may contact us by email at usprivacyoffice@kyowakirin.com. Recruitment & Staffing Agencies Kyowa Kirin does not accept agency resumes unless contacted directly by internal Kyowa Kirin Talent Acquisition. Please do not forward resumes to Kyowa Kirin employees or any other company location; Kyowa Kirin is not responsible for any fees related to unsolicited resumes. #LI-TT1 #Hybrid

Posted 30+ days ago

QA Specialist Ii-Raw Materials Compliance-logo
QA Specialist Ii-Raw Materials Compliance
Lonza, Inc.Portsmouth, NH
Today, Lonza is a global leader in life sciences operating across five continents. While we work in science, there's no magic formula to how we do it. Our greatest scientific solution is talented people working together, devising ideas that help businesses to help people. In exchange, we let our people own their careers. Their ideas, big and small, genuinely improve the world. And that's the kind of work we want to be part of. Seeking a dedicated QA Specialist II to uphold Raw Material compliance. Join Lonza AG's team in New Hampshire, USA for a vital role in product quality and success! This role provides QA compliance support for the receipt and release of raw materials. The position provides oversight of logistics, warehouse, and dispensing to ensure availability of materials for Production. Support for supplier management, supply chain, vendor changes and raw material release is also provided. Without this position there will be a lack of released raw materials for use in production at the site resulting in Production schedule interruptions. Key responsibilities: Perform all associated SAP transactions and other Quality functions within SAP to support the Raw Material lifecycle, ensuring timely material release for production. Provide on-the-floor support for Raw Material requests, including inspection, assessment, labeling, and related processes. Review material documents for disposition to support timely release with minimal mentorship. Approve initial and revised documents for Raw Material lifecycle in the Document Management System (DMS), including SOPs, Work Instructions, Forms, Checklists, Specifications, Scanned Documents. Review and approve electronic and paper Validation/Qualification documents, including Protocols & Summary Reports for Equipment/Instrumentation, Validation Maintenance, and relevant Computer Systems. Review and approve various record types in a Quality Management System (e.g., TrackWise) with minimal direction, including Investigations, Change Controls, CAPAs, Deviations, and other records as needed. Key requirements: Proven experience in Quality Assurance, specifically in Raw Material Compliance. Strong understanding of cGMP documentation review, approval, and release processes. Ability to work independently and resolve sophisticated quality issues by referencing appropriate procedural documentation. Teamwork skills, particularly with Supply Chain, Quality Control, and Manufacturing departments. Outstanding attention to detail and strong coordination abilities. Proficiency in SAP and Document Management Systems. Bachelor's degree in a related field or equivalent experience. Join us in our quest to deliver outstanding life sciences solutions and make a real impact on millions of lives! Every day, Lonza's products and services have a positive impact on millions of people. For us, this is not only a great privilege, but also a great responsibility. How we achieve our business results is just as important as the achievements themselves. At Lonza, we respect and protect our people and our environment. Any success we achieve is no success at all if not achieved ethically. People come to Lonza for the challenge and creativity of solving complex problems and developing new ideas in life sciences. In return, we offer the satisfaction that comes with improving lives all around the world. The satisfaction that comes with making a meaningful difference. Lonza is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, religion, color, national origin, sex, sexual orientation, gender identity, age, status as a qualified individual with disability, protected veteran status, or any other characteristic protected by law.

Posted 3 weeks ago

Compliance Specialist, Marketing-logo
Compliance Specialist, Marketing
SofiCharlotte, NC
Employee Applicant Privacy Notice Who we are: Shape a brighter financial future with us. Together with our members, we're changing the way people think about and interact with personal finance. We're a next-generation financial services company and national bank using innovative, mobile-first technology to help our millions of members reach their goals. The industry is going through an unprecedented transformation, and we're at the forefront. We're proud to come to work every day knowing that what we do has a direct impact on people's lives, with our core values guiding us every step of the way. Join us to invest in yourself, your career, and the financial world. The successful Compliance Specialist, Marketing candidate will work with a team of Compliance and Marketing professionals across the enterprise and will focus on payment processing and general bank marketing compliance. SoFi's broader Communications With the Public team (CWP) provides compliance expertise and partner support to Marketing, Business Development, and Product departments enterprise-wide, including Galileo's payment processing and program management. In a manner supportive of SoFi's culture of cross-functional collaboration, the Compliance Specialist, Marketing will review and approve communications with the public prior to distribution, while ensuring regulatory adherence and managing to tight deadlines. The ideal candidate will have advertising compliance experience and strong knowledge of regulatory requirements that apply to advertising and marketing. This includes, but is not limited to, the following regulations: CAN-SPAM, TCPA, UDAAP, Reg. DD (TISA), and ECOA. This candidate will report directly to the Manager of the CWP team, while also maintaining strong relationships with the Galileo compliance team in order to acquire a working knowledge of their products and services. What you'll do: Review marketing assets submitted by the Marketing team to ensure compliance with applicable laws and regulations Provide day-to-day marketing compliance support to various business units, primarily Galileo, and act as the key point-of-contact between Compliance and the Marketing organization for escalations Own and drive the research of regulatory risks in connection with advertising and marketing, document analysis, and communicate recommended or required action to the impacted business teams Track marketing claims and maintain associated disclosures and substantiation through the firm's marketing workflow system Drive the development and maintenance of SoFi's policies, procedures, and regulatory compliance training material Monitor changes in applicable laws, regulations, and industry standards related to marketing compliance Assist with audit and exam responses related to the marketing review process Other duties as assigned What you'll need: 5+ years of relevant work experience in financial services and/or fintech, with a preferred background in legal, compliance, marketing, or a related field A degree from an accredited university or significant relevant experience demonstrating your understanding of marketing compliance in the financial sector Propensity to thrive in a fast-paced, ever-changing environment while maintaining a sharp focus on compliance standards Keen attention to detail required Poise under pressure and ability to triage and prioritize competing priorities Expertise in developing and fostering cross-functional relationships with key stakeholders to collaborate effectively Ability to articulate complex opinions and requirements in a simple and understandable way Talent for developing practical, creative solutions that meet business needs while remaining compliant with laws and regulations Flexibility to occasionally work outside of business hours as needs arise Nice to have: Experience with G Suite, Workfront Compensation and Benefits The base pay range for this role is listed below. Final base pay offer will be determined based on individual factors such as the candidate's experience, skills, and location. To view all of our comprehensive and competitive benefits, visit our Benefits at SoFi page! Pay range: $86,400.00 - $162,000.00 Payment frequency: Annual This role is also eligible for a bonus and competitive benefits. More information about our employee benefits can be found in the link above. SoFi provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law. The Company hires the best qualified candidate for the job, without regard to protected characteristics. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. New York applicants: Notice of Employee Rights SoFi is committed to embracing diversity. As part of this commitment, SoFi offers reasonable accommodations to candidates with physical or mental disabilities. If you need accommodations to participate in the job application or interview process, please let your recruiter know or email accommodations@sofi.com. Due to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time. Internal Employees If you are a current employee, do not apply here - please navigate to our Internal Job Board in Greenhouse to apply to our open roles.

Posted 1 week ago

G
Governance Specialist - IT Risk And Compliance
Great American Insurance Group (DBA)Cincinnati, OH
Be Here. Be Great. Working for a leader in the insurance industry means opportunity for you. Great American Insurance Group's member companies are subsidiaries of American Financial Group. We combine a "small company" culture where your ideas will be heard with "big company" expertise to help you succeed. With over 30 specialty and property and casualty operations, there are always opportunities here to learn and grow. At Great American, we value diversity and recognize the benefits gained when people from different cultures, backgrounds and experiences work collaboratively to achieve business results. We are intentionally focused on fostering an inclusive culture and know valuing diversity is an essential leadership quality. Our goal is to create a workplace where all employees feel included, empowered and enabled to perform at their best. P&C IT Services provides professional services to help our business units and corporate functions use technology to create, manage, and optimize information and business processes. IT Services can include a wide range of activities such as: software development, data management, Cloud services, IT security, network security, technical support, establishing and overseeing access rights, procuring and maintaining equipment or software, managing the infrastructure, and defining security procedures, The overall goal of IT Services is to provide technology solutions that increase efficiency, reduce costs, and give our company a competitive advantage over our competitors. P&C IT Services is looking for a Governance Specialist to join their team. This individual will work a hybrid schedule out of the Cincinnati office. Essential Job Functions and Responsibilities Assesses, develops, recommends, enhances and implements IT risk mitigation processes and standards, including templates in support of technology designs, plans, controls and procedures. Conducts assessments/audits, including IT risk assessments and project/control audits, and reports on results. Demonstrate a knowledge of IT audit practices, regulatory compliance requirements, and IT Risk/Control frameworks, (i.e., ISACA COBIT, NIST Cybersecurity) Knowledge of Sarbanes-Oxley (SOX) IT compliance, controls, and how those principles apply to applications and business environments. Coordinates activities with other Risk Management/Auditing/Governance functions throughout the organization, as appropriate. Collects and reports metrics and measurements at the organizational level, providing visibility into all work within IT. Retrieve and analyze data sets, perform data transformation activities, prepare data presentations to facilitate IT compliance control activities. Develops, maintains, and applies relevant security policies and procedures to protect system from intentional or unintentional damage. Performs audits to ensure compliance with internal security standards and regulatory requirements. Upgrades policies and procedures according to changing security requirements. Performs other duties as assigned. Job Requirements Education: Bachelor's Degree or equivalent experience. Field of Study: Information Technology, Computer Science, Business or a related discipline. Experience: 3 to 6 years of related experience. Business Unit: Property & Casualty IT Services Benefits: Compensation varies by role, position level, and location. Individual pay is influenced by skills, education, training, certifications, experience, and the role's scope and complexity, along with business needs. We offer a competitive Total Rewards package, including medical, dental, and vision plans starting on day one, PTO, paid holidays, commuter benefits, an employee stock purchase plan, education reimbursement, paid parental leave/adoption assistance, and a 401(k) plan with company match. These benefits are available to eligible full-time and part-time employees. Your recruiter can provide more details about our total rewards and specific compensation ranges during the hiring process.

Posted 2 weeks ago

Director Of Sourcing, Quality Assurance, And Compliance - North America Sporting Goods-logo
Director Of Sourcing, Quality Assurance, And Compliance - North America Sporting Goods
Johnson Health TechVancouver, WA
Description Position Overview: Under the direction of the VP of Product, the Director of Sourcing Quality Assurance (QA) and Compliance leads the global quality strategy for Johnson Health Tech's (JHT) consumer products in the North America Sporting Goods (NASG) division. This role ensures that overseas manufacturing partners meet all regulatory requirements and safety standards for fitness equipment, including ASTM and EN957 guidelines for product safety?. The Director will oversee vendor production setup and quality processes to align with our design specifications, ensuring products consistently meet JHT's quality standards. This position requires significant leadership in managing cross-cultural teams and coordinating with Product Development, Sourcing, and Engineering teams to drive vendor compliance, product testing, and effective engineering change management across the supply chain. The Director of Vendor QA & Compliance will serve as a key liaison between our headquarters and international manufacturing sites, championing quality improvements and regulatory compliance at every stage of product development and production. Responsibilities: Regulatory Compliance: Ensure all manufacturing vendors comply with applicable regulatory and safety testing requirements for our products. Verify that products meet global safety standards (e.g. ASTM F2276 for fitness equipment safety and EU EN 957 series) and maintain proper certifications and test documentation for each market. Vendor Quality Audits: Plan and conduct regular vendor audits and quality inspections to assess manufacturing processes, adherence to ISO 9001 quality management systems, and overall compliance. Implement corrective action plans and supplier corrective action requests (SCARs) for any non-conformances, and follow up to verify effective resolution Production Alignment: Oversee vendor production setup and process validation to ensure alignment with company design specifications and quality expectations. This includes supervising first article inspections, pilot builds, and production line validations to confirm vendors can manufacture products to our standards. Product Testing Oversight: Manage the product testing program for all vendor-produced items, ensuring that performance and safety tests are conducted (both in-house and via third-party labs) according to JHT protocols and industry standards. Review test reports and certification results to confirm that products consistently meet or exceed quality and safety benchmarks. Engineering Change Management: Oversee and manage the Engineering Change Order (ECO) process for any design or specification changes impacting vendor-produced components. Establish clear change management procedures and ensure thorough documentation of all proposed changes, including technical specifications, risk assessments, and approvals. o Involve cross-functional teams (engineering, production, quality) in evaluating and approving changes to maintain product integrity, and communicating those changes to overseas vendors with clear instructions and documentation control. Documentation Control: Ensure rigorous documentation control for product designs, specifications, test plans, and quality standards. Maintain an organized system for version control of drawings, BOMs, test protocols, and supplier quality agreements. Guarantee that vendors always have the latest specifications and requirements, and that any changes are recorded and disseminated promptly. Quality Standards Enforcement: Implement JHT's quality standards across all supplier facilities. Work closely with procurement and sourcing teams to integrate quality requirements into vendor selection and agreements, making quality an active part of the global sourcing process. Verify that each supplier is capable of meeting our company's quality benchmarks before and during production Supplier Performance Monitoring: Develop and track supplier performance metrics and Key Performance Indicators (KPIs) related to product quality, on-time delivery, and compliance. Use supplier scorecards and data analytics to monitor trends, drive continuous improvement with vendors, and make informed decisions about supplier development or qualification status. Team Leadership: Lead and mentor a team of quality assurance professionals, including on-site QA inspectors, document control specialists, and test engineers, many of whom are based overseas. Provide direction and support to ensure the team effectively executes quality inspections, testing, and process audits at vendor locations. Foster a culture of quality, accountability, and continuous improvement within the team. Cross-Functional Collaboration: Collaborate closely with internal teams - including Product Development, R&D, Engineering, and Operations - to address quality issues and preventative measures. Communicate vendor feedback and manufacturing insights to design teams to improve product designs for manufacturability and compliance. Partner with Product Safety Committee to stay up-to-date on new standards or regulations and ensure proactive vendor adherence. Continuous Improvement: Identify opportunities for improving product quality and supplier processes. Champion initiatives such as Six Sigma projects or Lean manufacturing improvements at vendor sites to reduce defects and enhance efficiency. Share best practices and training with vendors to elevate their quality control capabilities and align them with Johnson's expectations. Other duties as assigned Requirements Education: Bachelor's degree in Engineering (Mechanical, Industrial, or related field) or equivalent. A Master's degree or MBA is a plus. Experience: 8+ years of experience in quality assurance, quality engineering, or manufacturing engineering, with at least 3-5 years in a leadership role managing supplier or vendor quality. Proven experience in managing overseas manufacturing vendors or suppliers, preferably in the consumer products or fitness equipment industry. Demonstrated ability to navigate cross-cultural business environments and build effective working relationships with international teams. Strong background in regulatory compliance and product safety standards applicable to consumer products. Familiarity with standards such as ASTM F2276 standards for fitness equipment, European safety standard EN 957, and related compliance requirements (e.g., CE marking, RoHS, or applicable UL standards for electrical components). Hands-on experience with quality management systems and frameworks. Working knowledge of ISO quality management principles and audit processes; experience helping suppliers achieve or maintain ISO certification is highly desirable. Experience overseeing product testing and certification programs - able to interpret test results and certification reports, and guide teams through failure analysis and corrective action if products do not meet requirements. Direct experience with Engineering Change Management and documentation control in a manufacturing setting. Familiar with processes for Engineering Change Requests (ECRs) / Engineering Change Orders (ECOs) and Product Lifecycle Management (PLM) systems to control revisions of product documentation. Prior success in leading quality improvement initiatives such as Six Sigma or Lean projects. Six Sigma Green Belt or Black Belt certification, ASQ Certified Quality Engineer (CQE), or Certified Quality Auditor (CQA) credentials are a plus. Demonstrated track record of implementing supplier quality programs, conducting supplier audits, and improving supplier performance. Able to travel internationally to supplier sites and lead on-site quality audits and training. Other Requirements: Ability to travel internationally up to ~20% of the time Requires valid driver's license with an acceptable driving record. Benefits: We offer an excellent compensation package and team-oriented work environment with growth opportunities. Some of our outstanding benefits include: Health & Dental Insurance Company paid Life Insurance 401(k) Paid Time Off benefits Product discounts Wellness programs EOE/M/W/Vet/Disability #ZR

Posted 30+ days ago

Director - Investment Compliance And Risk-logo
Director - Investment Compliance And Risk
Matrix Absence ManagementPhiladelphia, PA
Job Responsibilities and Requirements The Director of Investment Compliance and Risk is responsible for producing the investment-related portions of risk-based capital (RBC) and the monitoring and reporting of statutory compliance limits. The Director will work closely with various stakeholders within the broader investments organization to assess the impact to RBC and statutory compliance limits based on proposed investment structures. This is a dynamic role that will work with senior management to determine the feasibility of new investments by providing the necessary supporting analytics and documentation around the impact to the company's regulatory required capital and will create pro-forma models to project capital across a variety of scenarios. The Director will proactively participate in industry and regulatory calls to stay abreast of developments around RBC and state compliance guidelines and will assess any changes and their impacts on the company's portfolio. Additionally, the Director will work with the company's outsourced investment accounting provider to ensure that the necessary data points are captured systematically to ensure completeness and accuracy of the RBC and investment compliance schedules throughout the year. It is expected that the Director will have significant knowledge around all asset classes (bonds, loans, derivatives, equities) to report required capital and to propose solutions to optimize the required capital by identifying areas of opportunity such as look-through treatment, reinsurance structures, and internal securitizations. The Director will ensure that processes and controls around areas of responsibility are fully documented and reviewed, identify areas of risk, and provide recommendations to further improve the control environment. The Director is expected to demonstrate exceptional leadership, organizational, and managerial skills, with the ability to handle multiple tasks in a time-sensitive environment. It is expected that this role represents the broader investments team in inter-departmental activities, ensuring that the needs of all stakeholders are addressed in an accurate and timely manner. The role will work closely with senior management of RSL, Delphi Capital Management, and the associated Tokio Marine entities for whom assets are managed. The Director will be able to communicate key concepts, policy decisions, and financial results with gravitas to build trust and confidence with all stakeholders. Essential Duties and Responsibilities: Risk-Based Capital Produces the investments-related portion of the company's required capital calculation on a monthly basis. Fully reconciles the required capital inputs to the company's accounting records. Ensures that data fields such as ratings and statutory classification of assets are maintained timely and accurately within the company's systems. Leverages previous experience to correctly identify treatment of all asset types within the required capital calculation, particularly for Schedule BA investments, collateral-related assets, and reinsurance structures. Works with senior management to provide pro-forma and sensitivity analysis around newly-proposed structures and performs the relevant research to support such conclusions. Proposes transactions and structures to optimize the company's RBC based on prior experience and independent research. Participates in industry conferences and meetings to stay abreast of RBC developments and provides summary impact reports to management on upcoming changes. Maintains comprehensive documentation around the processes and controls for the production and review of the risk based capital calculation. Reaches out to industry participants and/or NAIC to assist with interpretation of risk-based capital instructions, particularly around the treatment of complex or unique transactions. Statutory Compliance Produces necessary statutory compliance schedules in accordance with required state guidelines and internal reporting requirements. Ensures that data fields such as ratings and statutory classification of assets are maintained timely and accurately within the company's systems. Leverages previous experience to correctly identify treatment of all asset types within the statutory compliance framework. Demonstrates a solid command of the interpretation and understanding of the respective statutory guidelines for the respective jurisdictions. Works with senior management to provide pro-forma and sensitivity analysis around newly-proposed structures and performs the relevant research to support such conclusions. Proposes transactions and structures to optimize the company's statutory compliance position based on prior experience and independent research. Maintains comprehensive documentation around the processes and controls for the production and review of statutory compliance reports. NAIC Ratings Demonstrates strong knowledge of NAIC ratings framework related to the Securities Valuation Office (SVO). Ensures that SVO ratings are obtained, reviewed, and maintained for accuracy in accordance with NAIC policies and procedures. Follows industry and regulatory updates around the ratings framework and its impact to the company's capital position. Creates dashboards and reports to identify changes in ratings and inconsistent or missing ratings. Proactively works to prioritize obtaining SVO ratings based on internal risk criteria. Ensures the company's AVR schedules correctly reflect SVO ratings and ensures that AVR components accurately flow through to the RBC schedules. Creates models to estimate future expected ratings for unrated positions in pro-forma capital calculations. Determines final SVO ratings for loan-backed and asset-backed securities using applicable price breakpoints. Ensures completeness and accuracy of SVO ratings in company's systems. Builds and maintains controls to ensure accurate and timely reporting of all applicable SVO ratings. Project Based Initiatives Participates in improving the overall investments workflow by developing reports based on feedback from all key stakeholders and challenging the company's vendors to improve upon deliverables and capabilities. Participates in risk and capital working groups to update stakeholders on industry developments. Leverages technology to streamline and improve accuracy and timeliness of reports. Establishes and maintains working relationships with colleagues and peers outside of the company to obtain additional perspectives and ideas for potential implementation of best practices. The expected hiring range for this position is $137,910.00 - $184,120.00 annually for work performed in the primary location (Philadelphia, PA). This expected hiring range covers only base pay and excludes any other compensation components such as commissions or incentive awards. The successful candidate's starting base pay will be based on several factors including work location, job-related skills, experience, qualifications, and market conditions. These ranges may be modified in the future. Work location may be flexible if approved by the Company. What We Offer At Reliance Matrix, we believe that fostering an inclusive culture allows us to realize more of our potential. And we can't do this without our most important asset-you. That is why we offer a competitive pay package and a range of benefits to help team members thrive in their financial, physical, and mental wellbeing. Our Benefits: An annual performance bonus for all team members Generous 401(k) company match that is immediately vested A choice of three medical plans (that include prescription drug coverage) to suit your unique needs. For High Deductible Health Plan enrollees, a company contribution to your Health Savings Account Multiple options for dental and vision coverage Company provided Life & Disability Insurance to ensure financial protection when you need it most Family friendly benefits including Paid Parental Leave & Adoption Assistance Hybrid work arrangements for eligible roles Tuition Reimbursement and Continuing Professional Education Paid Time Off - new hires start with at least 20 days of PTO per year in addition to nine company paid holidays. As you grow with us, your PTO may increase based on your level within the company and years of service. Volunteer days, community partnerships, and Employee Assistance Program Ability to connect with colleagues around the country through our Employee Resource Group program Our Values: Integrity Empowerment Compassion Collaboration Fun EEO Statement Reliance Matrix is an equal opportunity employer. We adhere to a policy of making employment decisions without regard to race, color, religion, sex, national origin, citizenship, age or disability, or any other classification or characteristic protected by federal or state law or regulation. We assure you that your opportunity for employment depends solely on your qualifications. #LI-Hybrid #LI-AS1

Posted 30+ days ago

Senior Compliance Associate - Testing (Hybrid)-logo
Senior Compliance Associate - Testing (Hybrid)
EnovaChicago, IL
We are interested in every qualified candidate who is eligible to work in the United States. However, we are not able to sponsor visas or take over sponsorship at this time. About the Role: This position will participate in the development, implementation and performance of compliance testing and monitoring to support the company's continued compliance with federal, state, and local laws and regulations and with the company's policies and procedures in connection with the operations of the company's online lending business. Responsibilities: Perform compliance related testing and monitoring procedures for the company's compliance functions (to include the operations of the Business), documents, policies, procedures, and training. Schedule, conduct, document, and maintain comprehensive testing documentation for all compliance monitoring in consultation with the Compliance Lead and other Compliance staff. Maintain up to date knowledge of industry regulations, legislation, and best practices. Consult with Legal, Audit, IT and the business lines to coordinate compliance related monitoring activities. Suggest and recommend effective testing solutions. Assist in the development of compliance testing and monitoring strategies to guide the company's near-term planning (one to two years) and support the Business and its financial and operational objectives. Initiate the development or enhancement of new and existing compliance monitoring techniques and standards in consultation with the Testing Team Lead and other functional areas, as needed. Assist in the ongoing development and implementation of the risk assessment process. Complete validation work related to the issue management program Requirements: Bachelor's degree required. 3+ years regulatory compliance and/or testing and monitoring experience in a consumer lending industry (e.g., installment lending, bank, mortgage company, thrift or credit union, etc.). Strong exposure in the implementation, training and monitoring of business operations for compliance with laws and regulations and established policies, business rules and procedures. Willingness to learn and assist with other compliance-related projects and initiatives. Excellent writing and oral communication skills. Demonstrates the ability to work independently or in collaboration with a team Proficiency and self-sufficiency in Google Suite and Microsoft Office applications. Compensation The budgeted annual salary range for this position is $66,000 - $99,000. Actual annual salary will be determined based on qualifications, skills, experience, and level assessed during the hiring process and may fall outside of the range shown. Additional compensation for this role may include a bonus. All full-time employees are eligible to participate in Company benefits, described in more detail here. #LI-Hybrid #BI-Hybrid Benefits & Perks: Our hybrid roles require in-office work Tuesday through Thursday, with remote flexibility on Mondays and Fridays. This schedule fosters collaboration, team connection, and strategic planning, enhancing communication and effectiveness to drive results. Health, dental, and vision insurance including mental health benefits 401(k) matching plus a roth option (U.S. Based employees only) PTO & paid holidays off Sabbatical program (for eligible roles) Summer hours (for eligible roles) Paid parental leave DEI groups (B.L.A.C.K. @ Enova, HOLA @ Enova, Women @ Enova, Pride @ Enova, South Asians @ Enova, APEX @ Enova, and Parents @ Enova) Employee recognition and rewards program Charitable matching and a paid volunteer day…Plus so much more! About Enova Enova International is a leading financial technology company that provides online financial services through our AI and machine learning-powered Colossusplatform. We serve non-prime consumers and businesses alike, while offering world-class technology and services to traditional banks-in order to create accessible credit for millions. Being a values-driven organization is at the core of Enova's success. We live our values by listening to our customers, challenging assumptions, thinking big, setting high expectations, and hiring and developing the best. Through our values and our commitment to making Enova an awesome place to work, we maintain an environment of inclusion and culture where our employees can thrive. You can learn more about Enova's values and culture here. It is our policy to provide equal employment opportunity for all persons and not discriminate in employment decisions by placing the most qualified person in each job, without regard to any other classification protected by federal, state, or local law. California Applicants: Click here to review our California Privacy Policy for Job Applicants.

Posted 30+ days ago

Compliance & Verification Specialist-logo
Compliance & Verification Specialist
Campbellsville UniversityCampbellsville, KY
Job Description BS The Compliance & Verification Specialist plays a vital role in maintaining institutional and regulatory compliance across several areas of financial aid administration. This position serves as the liaison between the institution and third-party servicers, coordinates audit and reconciliation efforts, and is cross-trained in critical processing areas to ensure consistent service and regulatory compliance. The position may work remotely for the majority of the work week.

Posted 30+ days ago

Director Global Trade Compliance-logo
Director Global Trade Compliance
AxcelisBeverly, MA
JOB DESCRIPTION Want to discover just how far your intellectual curiosity can take you? You're in the right place. For more than four decades, Axcelis Technologies has been at the forefront of innovation in semiconductor manufacturing technology. Chipmakers around the globe rely on our tools and process expertise to deliver the semiconductors that power modern life from smartphones and computers to cameras and cars. We have become a technology leader by providing the innovation necessary for business to thrive, quality of life to advance, and the environment to flourish-enabling a truly sustainable future. Our influence is global, with more than 30 offices worldwide, an installed base of thousands worldwide and a customer list that includes the world's largest semiconductor manufacturers. Our team is expanding, and our Beverly, MA corporate office is currently hiring a Director of Global Trade Compliance who will be responsible for providing strategic direction and leadership for Axcelis global trade compliance team, providing guidance on compliance with global export and import regulations and sanctions. This role requires a deep understanding of global trade compliance as well as the ability to lead cross- functional teams and communicate with internal and external stakeholders at all levels. Responsibilities: Lead a global team of trade compliance professionals, focusing on expertise, talent development, and program continuity. Develop and implement comprehensive global trade compliance policies and procedures, encompassing Export Controls, Licensing, Due Diligence, Import Regulations, Sanctions, and other relevant regulations. Serve as the subject matter expert on trade compliance: provide guidance to global colleagues on import/export related topics. Establish and maintain relationships with customs brokerage partners, transportation providers and government agencies to facilitate compliant import and export operations. Measure compliance program with routine metrics, KPI's and global monitoring. Review opportunities to identify and mitigate risks. Implement a GTM (Global Trade Management) solution to support the organization. Stay abreast of the changing regulatory landscape; analyze and interpret regulatory updates and communicate anticipated impacts to stakeholders. Implement employee training modules on global trade compliance. Share routine updates via Intranet publications/webinars/lunch and learn etc. Basic Qualifications: A Bachelor's degree in business, logistics or related field and a minimum of 8 years of experience in import/export compliance and global logistics. Proven track record (3+ years), in leading teams in a high-performance culture and complex changing environment to deliver results. Experience working in cross functional teams with departments such as legal, supply chain, quality and engineering to ensure compliance. Preferred Qualifications: Keen understanding of technology tools, including trade compliance solutions and ERP with a proven record of implementing scalable solutions. Customs Brokerage License preferred Proactive approach to compliance: Leverage strong analytical skills and critical thinking capabilities to anticipate challenges as the regulatory landscape changes and take steps to implement compliance processes. Deep knowledge of trade and trade compliance issues, including export controls and import regulations, customs valuation, classification methodologies, origin, and licensing determinations. Ability to research complex theories of law in trade compliance both US and Foreign, to outline possible solutions and recommend practical actions. Working knowledge and experience with International Logistics, including global routings, freight consolidations, international paperwork. Import/Customs compliance: (including Valuation and Assists, Anti-Dumping, Country of Origin, Tariff classification, and Duty Drawback) Export controls: (including ECCN Classification, Deemed Exports, Sanctions, Anti-boycott, Restricted Party Screening, and Know-Your-Customer regulations) Demonstrated ability to quickly learn and thrive within an organization across geographical and cultural boundaries. Experience in project management Strong analytical skills. EQUAL OPPORTUNITY STATEMENT It is the policy of Axcelis to provide equal opportunity in all areas of employment for all persons free from discrimination based on race, sex, religion, age, color, national origin, disability status, medical condition (including pregnancy), veteran status, sexual orientation, marital status, or any other characteristic protected by federal, state or local law. Axcelis will provide reasonable accommodation necessary to enable a disabled candidate or employee to perform the essential functions of the position, unless the accommodation would create an undue hardship for the Company.

Posted 30+ days ago

D
Compliance Specialist (Customs / Freight Industry)
DSV Road TransportIselin, NJ
FRAUD ALERT: Please note that DSV will never request a chat interview or solicit funds from applicants or employees through its interviewing and hiring process. We do not require any form of payment and will not ask for personal financial information, such as credit card or bank account number. Our recruiters have an @dsv.com or @us.dsv.com email address. If you question the legitimacy of any DSV job posting, please reach out to HR@us.dsv.com. DSV - Global transport and logistics In 1976, ten independent hauliers joined forces and founded DSV in Denmark. Since then, DSV has evolved to become the world's 3rd largest supplier of global solutions within transport and logistics. Today, we add value to our customers' entire supply chain by transporting, storing, packaging, re-packaging, processing and clearing all types of goods. We work every day from our many offices in more than 80 countries to ensure a steady supply of goods to production lines, outlets, stores and consumers all over the world. Our reach is global yet our presence is local and close to our customers. Read more at www.dsv.com Location: USA - Iselin, Wood Ave Division: Air & Sea Job Posting Title: Compliance Specialist (Customs / Freight Industry) - 97359 Time Type: Full Time Summary The Compliance Specialist is responsible for supporting and ensuring adherence to regulatory requirements and internal policies within the transportation and logistics industry. They assist in developing and implementing compliance programs, conducting audits, and providing guidance to promote a culture of compliance. The Compliance Specialist plays a vital role in mitigating risks and maintaining regulatory compliance within the organization. Duties and Responsibilities Assist in the development and implementation of compliance programs and policies. Conduct compliance audits and reviews to assess adherence to regulations and internal procedures. Identify areas of non-compliance and recommend corrective actions. Provide guidance and training to employees on compliance-related matters. Monitor regulatory changes and update internal policies and procedures accordingly. Collaborate with cross-functional teams to ensure compliance across different departments. Assist in investigating compliance-related incidents and violations. Support the development and maintenance of compliance documentation and record-keeping. Stay updated with industry best practices and emerging compliance trends. Assist in preparing and submitting required reports to regulatory agencies (CBP, BIS, DHS, etc.) Ability to analyze financial data and ensure adherence to accounting standards. Review customer accounts for compliance with payment terms, identifying discrepancies and initiation corrective actions. Monitor and ensure timely collection of receivables in accordance with company credit policies and regulatory guidelines. Educational background/Work experience Bachelor's degree in business, law, or a related field is preferred. Minimum of 2-3 years of experience in compliance, preferably in the transportation and logistics industry. Understanding of import and export customs clearance procedures. Familiarity with regulatory requirements and compliance frameworks. Skills & Competencies Knowledge of transportation and logistics industry regulations. Understanding of compliance frameworks and best practices. Analytical and problem-solving skills. Strong attention to detail and accuracy. Excellent communication and interpersonal skills. Ability to work independently and as part of a team. Proficiency in data analysis and reporting. Familiarity with risk assessment and mitigation techniques. Preferred Qualifications Certification in compliance or a related field (e.g., Certified Compliance and Ethics Professional). Experience in conducting compliance audits and assessments. Knowledge of customs compliance or trade compliance. Familiarity with compliance management software and tools. Excellent verbal and written communication skills, with the ability to present findings to cross-functional teams. Detail-oriented and organized, with the ability to manage multiple priorities in a fast-paced environment. Proficiency in Microsoft Excel, including advanced functions such as Pivot Tables, VLOOKUP, and data validation tools. Experience using Power BI to create dashboards, visualize data trends, and support decision-making in compliance or financial reporting. Language Skills Fluent in English (oral and written) Computer Literacy Proficient in using Microsoft Office suite (Word, Excel, Outlook). Pivot tables, Power bi, and vlookup a plus Familiarity with compliance management software and tools. Ability to adapt to new technology platforms used in compliance management For this position, the expected base pay is: $30.00 - $38.00 / Hourly. DSV is an equal employment opportunity employer. Candidates are considered for employment without regard to race, creed, color, national origin, age, sex, religion, ancestry, disability, veteran status, marital status, gender identity, sexual orientation, national origin, or any other characteristic protected by applicable federal, state or local law. If you require special assistance or accommodation while seeking employment with DSV, please contact Human Resources at hr@us.dsv.com. If you are interested in learning the status of your application, please note you will be contacted directly by the appropriate human resources contact person if you are selected for further consideration. DSV reserves the right to defer or close a vacancy at any time. DSV - Global transport and logistics Working at DSV means playing in a different league. As a global leader in transport and logistics, we have been on an extraordinary journey of growth. Let's grow together as we continue to innovate, digitalise and build on our achievements. With close to 160,000 colleagues in over 90 countries, we work every day to offer solid services and meet our customers' needs and help them achieve their goals. We know that the best way to achieve this is by bringing in new talent, fresh perspectives and ambitious individuals like you. At DSV, performance is in our DNA. We don't just work - we aim to shape the future of logistics. This ambition fuels a dynamic environment built on collaboration with world-class team players, accountability and action. We value inclusivity, embrace different cultures and respect the dignity and rights of every individual. If you want to make an impact, be trusted by customers and grow your career in a forward-thinking company - this is the place to be. Start here. Go anywhere Visit dsv.com and follow us on LinkedIn and Facebook. open/close Print Share on Twitter Share on LinkedIn Send by email

Posted 3 weeks ago

FS/ Senior Consultant - Business Consulting (Risk And Compliance) - Reg Reporting-logo
FS/ Senior Consultant - Business Consulting (Risk And Compliance) - Reg Reporting
Infosys LTDAtlanta, GA
Job Description Senior Consultant: Compliance & Risk- Reg Reporting The Role- What You'll Do We are hiring at all levels including Consultant/ Senior Consultant/ Principal- Compliance & Risk. You will be part of a cross-cultural global team working on a variety of business consulting engagements such as Risk & Finance digital transformation, regulatory change management. You will take up a range of roles in the areas of process consulting, experience design, business analysis, applied AI, tech strategy, program and change management. You will analyze problems and come up with solutions, often creative and out-of-the-box, apply business consulting frameworks and methodologies to address business problems, collaborate with client stakeholders and be responsible for the delivery of business results to clients. You will also lead / contribute to sales pursuits, consulting offerings and internal initiatives, and participate in a variety of Firm building events. Basic Qualifications Hands-on experience in one or more regulatory requirements/reports- ESMA, FCA, EMIR, MIFID, CFTC, SEC Knowledge on the Capital Market products Experience with database, SQL querying and analysis, MongoDB, excel & PowerPoint 8+ years of experience, either in management consulting or directly at Banks, other Financial Services firms, and FinTechs, in a problem solving/ solution development role in the Compliance, Risk and Finance domains Bachelor's degree or equivalent required Preferred Qualifications MBA or equivalent advanced degree Experience working on change initiatives in the Compliance & Risk space Working knowledge of Design Thinking Demonstrate thought leadership, ability to conceptualize and drive new solution / service offerings and take them to market Ability and willingness to work as part of a cross-cultural team including flexibility to support multiple time zones when necessary. About Us: Infosys Consulting is the global management and technology consulting practice of Infosys, a global leader in technology services and consulting. We combine the power of time-tested methodologies, people-driven innovation and disruptive technology to enable leaders of the world's top brands pursue a path of smart transformation. Together with our clients, internal and external partners, we co-create and execute pragmatic strategies and solutions that transform organizations and define the future of business. Our dynamically growing consultancy offers our consultants: Ability to design and implement end-to-end solutions at scale A flat organization structure with direct access to our senior-most leaders An entrepreneurial environment full of bright, highly motivated consultants Opportunities for motivated consultants to impact local communities The ability to design your career and drive your professional learning and development A truly global culture We have offices in over 20 countries. Our U.S. hub office cities are Atlanta, Boston, Chicago, Dallas, Houston, New York, Seattle and San Francisco. Visit www.infosys.com/services/consulting for more information. Along with competitive pay, as a full-time Infosys employee you are also eligible for the following benefits: Medical/Dental/Vision/Life Insurance Long-term/Short-term Disability Health and Dependent Care Reimbursement Accounts Insurance (Accident, Critical Illness, Hospital Indemnity, Legal) 401(k) plan and contributions dependent on salary level Paid holidays plus Paid Time Off Candidates authorized to work for any employer in the United States without employer-based visa sponsorship are welcome to apply. Infosys is unable to provide immigration sponsorship for this role at this time

Posted 3 weeks ago

Lead Compliance Analyst, Money-logo
Lead Compliance Analyst, Money
RobinhoodNew York, NY
Join a leading fintech company that's democratizing finance for all. Robinhood Markets was founded on a simple idea: that our financial markets should be accessible to all. With customers at the heart of our decisions, Robinhood and its subsidiaries and affiliates are lowering barriers and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in. With growth as the top priority... The business is seeking curious, growth-minded thinkers to help shape our vision, structures and systems; playing a key-role as we launch into our ambitious future. If you're invigorated by our mission, values, and drive to change the world - we'd love to have you apply. About the team + role The Lead Compliance Analyst will be a part of the compliance team supporting Robinhood's credit card products and money transmitter for Robinhood Credit, Inc, and Robinhood Money, LLC. You will be responsible for ensuring Robinhood embeds regulatory compliance for its current products including the debit card, spending account and credit cards as well as any future products. You will be responsible for participating in a number of compliance functions in support of administering the compliance management system. It is preferred that this role is located in one of the office locations listed on this job description which will align with our in-office working environment. This position is only eligible for remote work in limited geographies within the US where we do not have physical office locations. Please connect with your recruiter for more information regarding our in-office philosophy and expectations. What you'll do Provide guidance on proposed product and process changes to ensure compliance Review marketing collateral to ensure compliance Assist with the Complaint Management Program via tracking trends and reviewing regulatory complaints Assist with quality reviews of Reg Z and Reg E disputes Help facilitate due diligence requests from bank partners Conduct risk assessments to identify potential areas for control enhancements Assist with the development and administration of relevant policies and procedures, and communicate these to all relevant stakeholders Support audits and regulatory examinations, including response management and remediation efforts What you bring Bachelor's degree in Finance, Accounting, or equivalent At least 8 years of experience in banking, payment regulations, money transmission, or consumer lending Familiarity with Truth in Lending Act / Reg Z and other consumer finance regulations Strong interpersonal experience with the ability to effectively communicate with all levels of the organization Self-starter with proven time management skills Ability to drive the mindset that Compliance is a strategic advantage What we offer Market competitive and pay equity-focused compensation structure 100% paid health insurance for employees with 90% coverage for dependents Annual lifestyle wallet for personal wellness, learning and development, and more! Lifetime maximum benefit for family forming and fertility benefits Dedicated mental health support for employees and eligible dependents Generous time away including company holidays, paid time off, sick time, parental leave, and more! Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter benefits Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. This role is also eligible to participate in a Robinhood bonus plan and Robinhood's equity plan. For other locations not listed, compensation can be discussed with your recruiter during the interview process. Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC) $115,000-$135,000 USD Zone 2 (Denver, CO; Westlake, TX; Chicago, IL) $101,000-$119,000 USD Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL) $89,000-$105,000 USD Click here to learn more about available Benefits, which vary by region and Robinhood entity. We're looking for more growth-minded and collaborative people to be a part of our journey in democratizing finance for all. If you're ready to give 100% in helping us achieve our mission-we'd love to have you apply even if you feel unsure about whether you meet every single requirement in this posting. At Robinhood, we're looking for people invigorated by our mission, values, and drive to change the world, not just those who simply check off all the boxes. Robinhood embraces a diversity of backgrounds and experiences and provides equal opportunity for all applicants and employees. We are dedicated to building a company that represents a variety of backgrounds, perspectives, and skills. We believe that the more inclusive we are, the better our work (and work environment) will be for everyone. Additionally, Robinhood provides reasonable accommodations for candidates on request and respects applicants' privacy rights. Please review the specific Robinhood Privacy Policy applicable to the country where you are applying.

Posted 5 days ago

Contract Compliance Specialist-logo
Contract Compliance Specialist
Premier, Inc.Charlotte, NC
Contract Compliance Specialist What you will be doing: The purpose of the Contract Compliance Specialist role is to recover administrative fees owed Premier from contracted suppliers, therefore directly impacting the net revenue of Premier. The recovery process involves data analysis, identification of reporting discrepancies, contract interpretation, direct conversations with suppliers (from contract administrators up to the President level) and continued correspondence and negotiations with suppliers until issues are resolved. The specialist develops, executes, and leads action plans for resolving these incidences of unreported administrative fees through collaboration with contract management, sourcing, operations, finance, legal, field force, etc., as well as directly with Premier members and suppliers at many different levels within their respective organizations. Key Responsibilities Revenue Recovery- 85% Recover unreported administrative fees from Premier contracted suppliers and distributors. Annual individual gross administrative fee revenue recovery goal of at least $1,500,000. Proactively discover recovery opportunities through standardized data analysis using data from members, suppliers, and distributors. Requires original thought and the ability to analyze data to determine root causes. Interpret and fully vet recovery opportunities by developing necessary strategies and procedures within each recovery methodology. Investigate inquiries from the Premier field force, Premier members, and internal sources regarding underreporting by Premier contracted suppliers and distributors. Regularly communicate updates to the inquirer throughout the recovery process. Validation of the discrepancy Export data from large datamarts and data warehouses (up to one million lines) Analyze and interpret the data through queries and filtering using unscripted and non-routine processes. Interpret supplier contract language to determine if fees are legally due. Use investigative reasoning to critically audit the data to understand the interconnectivity between the data, the supplier's operational processes and the member's purchasing habits. Diagnose the operational and reporting gaps that are true problems without being distracted by information that is irrelevant. Expand the scope of the recovery with little guidance (where appropriate) to cover the entire contract, category, or membership. Develop, execute, and lead action plans to resolve. Discern subtle deviations in contract language and articulate their impact on the business and legal position to substantiate reporting of sales. Possess the business acumen and professional integrity to articulate and reach equitable resolution of the issue with the contracted supplier in a courteous, professional manner, without jeopardizing the overall relationship. Communicate results directly to field force, members, and Premier staff. This involves both formal and informal presentations of data using MS Excel or MS PowerPoint. Responsibility #2 - 5% Knowledge Sharing, Drive Process Improvements Articulate the operational processes required of the supplier to uphold the GPO agreement. Must also troubleshoot operational processes with suppliers and present identified gaps in such a manner that moves parties to make operational changes to support contract compliance. Understand the limitations in Premier's ability to collect administrative fees and work internally to drive process improvement. Inform Sourcing when alternate interpretations of contract language preclude the recovery of administrative fees. Requires occasional education of the field, sourcing, membership services, data management, and fee & volume regarding how Premier's operational processes and data affect reporting (membership roster, price activations, PMDFs etc.). Responsibility #3 - 10% Other Maintain updated and complete list of leads and communications with suppliers in the Vault database. Track supplier conversion to Premier through the Vault database. Lead quarterly team-building activity to promote engagement for hybrid team. Required Qualifications Work Experience: Years of Applicable Experience- 2 or more years Education: High School Diploma or GED (Required) Preferred Qualifications Skills: Data analysis Quality assurance processes Effective communication Experience: Experience consulting/auditing/supply chain Contract interpretation and dispute resolution SQL Education: Bachelor's degree Additional Job Requirements: Remain in a stationary position for prolonged periods of time Be adaptive and change priorities quickly; meet deadlines Attention to detail Operate computer programs and software Ability to communicate effectively with audiences in person and in electronic formats. Day-to-day contact with others (co-workers and/or the public) Making independent decisions Ability to work in a collaborative business environment in close quarters with peers and varying interruptions Working Conditions: Air conditioned office space Travel Requirements: Travel 1-20% within the US Physical Demands: Sedentary: 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 remaining stationary most of the time. Jobs are sedentary if movement is required only occasionally, and all other sedentary criteria are met. Premier's compensation philosophy is to ensure that compensation is reasonable, equitable, and competitive in order to attract and retain talented and highly skilled employees. Premier's internal salary range for this role is $62,000 - $93,000. Final salary is dependent upon several market factors including, but not limited to, departmental budgets, internal equity, education, unique skills/experience, and geographic location. Premier utilizes a wide-range salary structure to allow base salary flexibility within our ranges. Qualified full and part time regular employees also receive access to the following benefits: Health, dental, vision, life and disability insurance 401k retirement program Paid time off Participation in Premier's employee incentive plans Tuition reimbursement and professional development opportunities Premier at a glance: Ranked #1 on Charlotte's Healthiest Employers list for 2019, 2020, 2022, and 2023 and 21st Healthiest Employer in America (2023) Named one of the World's Most Ethical Companies by Ethisphere Institute for the 16th year in a row Modern Healthcare Best in Business Awards: Consultant- Healthcare Management (2024) The only company to be recognized by KLAS twice for Overall Healthcare Management Consulting For a listing of all of our awards, please visit the Awards and Recognition section on our company website. Employees receive: Perks and discounts Access to on-site and online exercise classes Premier is looking for smart, agile individuals like you to help us transform the healthcare industry. Here you will find critical thinkers who have the freedom to make an impact. Colleagues who share your thirst to learn more and do things better. Teammates committed to improving the health of a nation. See why incredible challenges require incredible people. Premier is an equal opportunity employer. Qualified applicants will receive consideration for employment without regard to unlawful discrimination because of their age, race, color, religion, national origin, ancestry, citizenship status, sex, sexual orientation, gender identity, gender expression, marital status, familial status, pregnancy status, genetic information, status as a victim of domestic violence, covered military or protected veteran status (e.g., status as a Vietnam Era veteran, disabled veteran, special disabled veteran, Armed Forces Serviced Medal veteran, recently separated veteran, or other protected veteran) disability, or any other applicable federal, state or local protected class, trait or status or that of persons with whom an applicant associates. We also consider qualified applicants with criminal histories, consistent with applicable federal, state and local law. In addition, as a federal contractor, Premier complies with government regulations, including affirmative action responsibilities, where they apply. EEO / AA / Disabled / Protected Veteran Employer. Premier also provides reasonable accommodations to qualified individuals with a disability or those who have a sincerely held religious belief. If you need assistance in the application process, please reply to diversity_and_accommodations@premierinc.com or contact Premier Recruiting at 704.816.5200. Information collected and processed as part of any job application you choose to submit to Premier is subject to Premier's Privacy Policy.

Posted 30+ days ago

Licensing & Regulatory Compliance Specialist-logo
Licensing & Regulatory Compliance Specialist
Humana Inc.Raytown, MO
Become a part of our caring community and help us put health first This is an in-office position for approx 6 months during training, then remote after with occasional in office requirements. Must live in the Kansas City market/surrounding areas. The office is located in Overland Park, KS. The role of a Licensing and Certification Analyst/Specialist will include: Preparation and submission of required license applications to various governmental and third party agencies, including State Departments of Health, CMS/Medicare, Medicaid, and local governmental agencies and entities. Conducting research of local, state, and federal statutes and regulations in support of company initiatives, culminating in clear and concise written reports of findings. Gathering of information pertaining to the analyst's specified region of control as it relates to licensure or certification of facilities in the region. Preparation and submission written notices of reportable events to appropriate state and federal agencies. Development and maintenance of working relationships with representatives of various internal departments and external regulatory agencies. Use your skills to make an impact Required Qualifications Bachelor's Degree, JD Degree preferred or equivalent work experience within the field Comprehensive knowledge of all Microsoft Office applications, including Word, Excel and PowerPoint Proven analytical skills and creative thinker Demonstrated ability to respond effectively as issues arise Strong written and oral communication skills Demonstrated attention to detail and accuracy Self-motivated with an ability to manage multiple priorities and work under pressure to meet deadlines Ability to interact effectively with associates across all levels of the organization Must be passionate about contributing to an organization focused on continuously improving consumer experiences Preferred Qualifications Knowledge of state regulations pertaining to compliance in the health industry 1-2 years of healthcare / legal experience Experience in a regulatory or compliance position, experience working with governmental agencies Project Management skills Additional Information To ensure Home or Hybrid Home/Office employees' ability to work effectively, the self-provided internet service of Home or Hybrid Home/Office employees must meet the following criteria: At minimum, a download speed of 25 Mbps and an upload speed of 10 Mbps is required; wireless, wired cable or DSL connection is suggested. Satellite, cellular and microwave connection can be used only if approved by leadership. Employees who live and work from Home in the state of California, Illinois, Montana, or South Dakota will be provided a bi-weekly payment for their internet expense. Home or Hybrid Home/Office employees will be provided with telephone equipment appropriate to meet the business requirements for their position/job. Work from a dedicated space lacking ongoing interruptions to protect member PHI / HIPAA information. CenterWell Home Health offers a variety of benefits to promote the best health and well-being of our employees and their families. Our competitive and flexible benefits surround you with support the same way you do for our patients and members, including: Health benefits effective day 1 Paid time off, holidays, and jury duty pay Recognition pay 401(k) retirement savings plan with employer match Tuition assistance Scholarships for eligible dependents Caregiver leave Employee charity matching program Network Resource Groups (NRGs) Career development opportunities Scheduled Weekly Hours 40 Pay Range The compensation range below reflects a good faith estimate of starting base pay for full time (40 hours per week) employment at the time of posting. The pay range may be higher or lower based on geographic location and individual pay will vary based on demonstrated job related skills, knowledge, experience, education, certifications, etc. $58,700 - $70,400 per year Description of Benefits Humana, Inc. and its affiliated subsidiaries (collectively, "Humana") offers competitive benefits that support whole-person well-being. Associate benefits are designed to encourage personal wellness and smart healthcare decisions for you and your family while also knowing your life extends outside of work. Among our benefits, Humana provides medical, dental and vision benefits, 401(k) retirement savings plan, time off (including paid time off, company and personal holidays, volunteer time off, paid parental and caregiver leave), short-term and long-term disability, life insurance and many other opportunities. About Us About CenterWell Home Health: CenterWell Home Health specializes in personalized, comprehensive home care for patients managing a chronic condition or recovering from injury, illness, surgery or hospitalization. Our care teams include nurses, physical therapists, occupational therapists, speech-language pathologists, home health aides, and medical social workers - all working together to help patients rehabilitate, recover and regain their independence so they can live healthier and happier lives. About CenterWell, a Humana company: CenterWell creates experiences that put patients at the center. As the nation's largest provider of senior-focused primary care, one of the largest providers of home health services, and fourth largest pharmacy benefit manager, CenterWell is focused on whole-person health by addressing the physical, emotional and social wellness of our patients. As part of Humana Inc. (NYSE: HUM), CenterWell offers stability, industry-leading benefits, and opportunities to grow yourself and your career. We proudly employ more than 30,000 clinicians who are committed to putting health first - for our teammates, patients, communities and company. By providing flexible scheduling options, clinical certifications, leadership development programs and career coaching, we allow employees to invest in their personal and professional well-being, all from day one. Equal Opportunity Employer It is the policy of Humana not to discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, national origin, age, marital status, genetic information, disability or protected veteran status. It is also the policy of Humana to take affirmative action, in compliance with Section 503 of the Rehabilitation Act and VEVRAA, to employ and to advance in employment individuals with disability or protected veteran status, and to base all employment decisions only on valid job requirements. This policy shall apply to all employment actions, including but not limited to recruitment, hiring, upgrading, promotion, transfer, demotion, layoff, recall, termination, rates of pay or other forms of compensation and selection for training, including apprenticeship, at all levels of employment.

Posted 5 days ago

Robinhood logo
Senior Manager Of Compliance Communications
RobinhoodDenver, CO

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Job Description

Join a leading fintech company that's democratizing finance for all.

Robinhood Markets was founded on a simple idea: that our financial markets should be accessible to all. With customers at the heart of our decisions, Robinhood and its subsidiaries and affiliates are lowering barriers and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in.

With growth as the top priority...

The business is seeking curious, growth-minded thinkers to help shape our vision, structures and systems; playing a key-role as we launch into our ambitious future. If you're invigorated by our mission, values, and drive to change the world - we'd love to have you apply.

About the team

The Compliance team at Robinhood Securities, LLC ("RHS"), and Robinhood Financial, LLC ("RHF"), drives a culture of compliance that actively supports the people, process and technologies vital to our business. We strive to craft and implement effective compliance programs to protect customers, promote market integrity, and reduce regulatory, financial, operational and reputation risk.

The Senior Manager of Compliance Communications will be responsible for reviewing, advising, auditing, and Principal Reviewing - PR (approving) retail communications content (which includes advertising & marketing) to ensure compliance with regulatory requirements and internal guidelines.

The Sr. Manager will support the team in guiding internal customers (Marketing, Social, Communications, Public Relations (PR), Research and Product) teams on the compliance guidelines for projects and customer facing communications to ensure we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies.

The role is located in the office location(s) listed on this job description which will align with our in-office working environment. Please connect with your recruiter for more information regarding our in-office philosophy and expectations.

What you'll do

  • Lead a team of communication specialists to ensure compliance guidelines for communications are followed
  • Develop and implement process improvements to increase quality and scalability
  • Establish program efficiencies and enhance processes within the team
  • Build strong relationships and align compliance strategy among different stakeholders
  • Review, analyze, and advise stakeholders on the adherence of communications with compliance and internal guidelines
  • Principal Review (approve) communications materials to ensure it meets regulatory and internal standards
  • Guide internal customers and staff on compliance for projects and deliverables
  • Conduct internal Quality Assurance of the communications compliance review process and final approved marketing pieces

What you bring:

  • Bachelor's Degree
  • FINRA Series 7 and 24, Series 4 is nice to have
  • 7+ years working in compliance or a relevant function
  • 5+ years managing people or leading teams
  • Ability to effectively manage multiple priorities and adapt to a changing environment
  • Good written and verbal communication, strategic, negotiation skills and strong attention to detail
  • General financial services industry experience as a regulator or within compliance, audit, risk, marketing, or communication

What we offer

  • Market competitive and pay equity-focused compensation structure
  • 100% paid health insurance for employees with 90% coverage for dependents
  • Annual lifestyle wallet for personal wellness, learning and development, and more!
  • Lifetime maximum benefit for family forming and fertility benefits
  • Dedicated mental health support for employees and eligible dependents
  • Generous time away including company holidays, paid time off, sick time, parental leave, and more!
  • Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter benefits

Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. This role is also eligible to participate in a Robinhood bonus plan and Robinhood's equity plan. For other locations not listed, compensation can be discussed with your recruiter during the interview process.

Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC)

$183,000-$215,000 USD

Zone 2 (Denver, CO; Westlake, TX; Chicago, IL)

$161,000-$189,000 USD

Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL)

$143,000-$168,000 USD

Click here to learn more about available Benefits, which vary by region and Robinhood entity.

We're looking for more growth-minded and collaborative people to be a part of our journey in democratizing finance for all. If you're ready to give 100% in helping us achieve our mission-we'd love to have you apply even if you feel unsure about whether you meet every single requirement in this posting. At Robinhood, we're looking for people invigorated by our mission, values, and drive to change the world, not just those who simply check off all the boxes.

Robinhood embraces a diversity of backgrounds and experiences and provides equal opportunity for all applicants and employees. We are dedicated to building a company that represents a variety of backgrounds, perspectives, and skills. We believe that the more inclusive we are, the better our work (and work environment) will be for everyone. Additionally, Robinhood provides reasonable accommodations for candidates on request and respects applicants' privacy rights. Please review the specific Robinhood Privacy Policy applicable to the country where you are applying.

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Submit 10x as many applications with less effort than one manual application.

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