2,101 Compliance Auditing jobs in the United States

Working Title: Compliance and Auditing Analyst

Job Class: Human Services Program Representative 2

Agency: Human Services Dept

• Job ID : 88501

• Location : St. Paul

• Telework Eligible : Yes

• Full/Part Time : Full-Time

• Regular/Temporary : Unlimited

• Who May Apply : Open to all qualified job seekers

• Date Posted : 08/26/2025

• Closing Date : 09/08/2025

• Hiring Agency/Seniority Unit : Human Services Dept / MAPE DHS Central Office

• Division/Unit : Department of Human Services (DHS) / Office of Inspector General (OIG) Background (BG) Studies Comp Management

• Work Shift/Work Hours : Day Shift / 8:00 a.m. - 4:30 p.m.

• Days of Work : Monday - Friday

• Travel Required : No

• Salary Range: $31.92 - $7.05 / hourly; 66,648 - 98,240 / annually

• Classified Status : Classified

• Bargaining Unit/Union : 214 - MN Assoc of Professional Empl/MAPE

• FLSA Status : Nonexempt

• Designated in Connect 700 Program for Applicants with Disabilities ( : Yes

The Department of Human Services (DHS) is unable to provide sponsorship for work visas. Applicants must be eligible to work in the United States at the start of employment. DHS does not participate in E-Verify.

The work you'll do is more than just a job.

At the State of Minnesota, employees play a critical role in developing policies, providing essential services, and working to improve the well-being and quality of life for all Minnesotans. The State of Minnesota is committed to equity and inclusion, and invests in employees by providing benefits, support resources, and training and development opportunities.

*This position is eligible for telework ( for applicants who reside in Minnesota or in a bordering state, with supervisory approval and satisfactory performance. If you live in a state bordering Minnesota, you must live within 50 miles or less from the primary work location to be eligible for telework.

*This posting may be used to fill multiple openings.

The Background Studies Division (BGS) in the Office of Inspector General is seeking two Compliance and Auditing Analysts to join our Compliance Management Office. As a Compliance and Auditing Analyst, you will develop, implement, and monitor compliance activities to ensure BGS systems and operations are meeting federal and state requirements, while contributing to the development of a sustainable long-term compliance infrastructure.

As a principal staff within the BGS Compliance Management Office, the Compliance and Auditing Analysts are responsible for division-wide policy and procedure development and review, risk assessment activities, and managing internal and external audits/reviews of access and use of DHS' statewide background study systems and data. These positions deliver highly technical compliance expertise related to access, use, handling, dissemination, storage, and destruction of criminal justice information (CJI) and criminal history records information (CHRI)and translate information to ensure DHS' statewide background study system adheres to all state and federal laws, regulations, and compliance that traverse public health care and human service programs.

Responsibilities include:

• Analyze annual and ongoing risk assessments, including mitigation efforts and strategic compliance improvement initiatives.

• Establish auditing and review plans for access and use of BGS-owned systems to ensure each stakeholders' business need use aligns with state and federal laws, data practices requirements, and minimum use principles.

• Develop and periodically review policies and procedures for BGS practices that affect business operations, program compliance, and data practices.

• Collaborate with the Quality Management Unit to advise on compliance and risk implications of quality assurance, quality control, and continuous quality improvement activities.

• Review information submitted by business units/areas and individual staff to determine compliance with state and federal regulations and/or health care and human service program compliance requirements.

• Prepare reports and data visualizations by gathering, analyzing, and summarizing information or findings.

Minimum Qualifications

To facilitate proper crediting, please ensure that your resume clearly describes your experience in the areas listed and indicates the beginning and ending month and year for each job held.

Three (3) years of compliance or audit experience in a regulatory or similar field.

Experience must demonstrate the following:

• Working knowledge of auditing/risk assessment standards, documentation principles and processes, and/or government compliance.

• Ability to read, analyze, and interpret state and federal statutes, regulations, and

• policy guidance.

• Experience performing quantitative and qualitative analysis sufficient to evaluate program information and make program recommendations for changes and improvements.

• Data literacy, including the ability to prepare reports and data visualizations by gathering, analyzing, and/or summarizing information or findings.

• Experience using computers/technology including, collaborative platforms such as SharePoint, WebEx; and Microsoft applications: Word, Excel, Outlook, PowerPoint, and Teams.

Preferred Qualifications

• Bachelor's degree in public policy, public administration, health policy or other related field.

• Knowledge of:

• OfficeofInspector General (OIG) -regulatoryandcompliancerole,functions,andrelationshipto Department of Human Services (DHS).

• HumanServicesBackgroundStudiesAct,MNStatutes,Chapter 245C.

• Backgroundstudysystem;ortheNETStudy2.0systemandotheroffice technologies,applicationsand functionality.

• DHSbackgroundstudyprocessesandworkflows.

• Stateandfederallawsandrules pertainingtoconductingbackgroundstudiesonpersonsprovidingdirect contact services in programs licensed or regulated by the DHS, DCYF, or the Minnesota Department of Health.

• Certification in Criminal Justice Information System (CJIS) Security Awareness.

• Abilitytoquickly learnandapplycomplexinformation.

• Exceptional attention to detail and interpersonal relationship skills.

• Exceptional ability to analyze information needs and initiate comprehensive data collection.

• Ability to organize/prioritize workload independently and meet critical deadlines.

• Experience partnering across business areas and working in a collaborative environment.

• Variety of experiences working effectively with others from different backgrounds and cultures.

Additional Requirements

This position requires successful completion of the following:

It is the policy of the Department of Human Services that the individual selected for this position successfully complete a background investigation prior to employment, including the following components:

• Criminal background check

• Reference check

• Fingerprinting check (MNJIS/CJIS)

Complete the Criminal Justice Information System (CJIS) Security Awareness training within 3-business days from the start of employment; and successfully obtain/retain CJIS certification annually.

AN EQUAL OPPORTUNITY EMPLOYER

Minnesota State Colleges and Universities is an Equal Opportunity employer/educator committed to the principles of diversity. We prohibit discrimination against qualified individuals based on their race, sex, color, creed, religion, age, national origin, disability, protected veteran status, marital status, status with regard to public assistance, sexual orientation, gender identity, gender expression, or membership in a local commission as defined by law. As an affirmative action employer, we actively seek and encourage applications from women, minorities, persons with disabilities, and individuals with protected veteran status.

Reasonable accommodations will be made to all qualified applicants with disabilities. If you are an individual with a disability who needs assistance or cannot access the online job application system, please contact the job information line at or email . Please indicate what assistance is needed.

Location: Tallahassee, FL Duration: 4+ Months

Candidate Responsibilities:

Contact constituents/complainants to discuss the details of the complaints that are filed. Read state statute and compare with complaints to analyze the issue. Communicating with the public, so good customer service skills are a MUST. Advise complainant of the Division.

Job Location: 11 East Street - Benton, ME

Position Type: Full Time

Salary Range: $30.00 - $4.00 Hourly

Description: The Risk Analyst/Compliance Officer (RA/CO) is responsible for overseeing and ensuring compliance with regulatory requirements, internal policies, licensing requirements, audits, contractor requirements, and all HIPAA regulations. This position would assist with risk management and policy development for all programs. The RA/CO will ensure all legal regulations and ethical standards are upheld within the organization. This position plays a critical role in maintaining the organization's adherence to regulatory requirements to protect both client information and organizational integrity. This is a full-time (40 hours per week) position working Monday through Friday at our Benton office.

Qualifications:

Position Requirements:

+ Proof of vehicle insurance at 50K/ 100K and a valid Maine driver's license are required

+ Bachelor's degree in business administration, law or related field required. Master's Degree preferred.

+ Professional compliance certification highly desired

+ Excellent verbal, written, interpersonal, communication, and presentation skills

+ Must be 18 years of age or older

+ Intermediate skill level with Microsoft Office Word and Excel

+ Minimum of five years of experience in a compliance role with in-depth knowledge of regulatory compliance, HIPAA regulations, and policy development

+ Ability to maintain confidentiality

+ High level of attention to detail

Benefits:

+ Generous Earned Benefit Time

+ Working in a team-oriented environment

+ 12 paid holidays per year

+ Agency-paid life insurance in the amount of your annual salary with a max of 50K

+ Agency-paid Short-Term Disability

+ Medical, dental, and voluntary insurances

Pay is commensurate with education and experience. Assistance Plus provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

Job Title: Compliance Officer

Working Pattern: Full time

Working location: Indianapolis, IN OR Reston, VA/Hybrid - 3 Office Days/Week

As a Compliance Officer for Rolls-Royce, you will play a crucial role in ensuring corporate and employee compliance with the Code of Conduct, various policies and relevant laws and regulations. The role involves partnering with the business to sustain a culture of integrity based on ethical principles and effective risk management. You will also provide support and guidance on all Ethics and Compliance policies including Conflicts of Interest, Gifts and Hospitality, Sponsorships and Donations, Confidential Information and Speak Up, as well as manage day-to-day operation of third-party risk management program for the business and support with Anti-Bribery and Corruption (ABC) risk assessment, monitoring, assurance, training and communication activities.

Why Rolls-Royce?

Rolls-Royce is one of the most enduring and iconic brands in the world and has been at the forefront of innovation for over a century. We design, build and service systems that provide critical power to customers where safety and reliability are paramount.

We are proud to be a force for progress, powering, protecting and connecting people everywhere.

We want to ensure that the excellence and ingenuity that has shaped our history continues into our future, and we need people like you to come and join us on this journey.

Rolls-Royce has been recognized as the top employer in the Engineering & Manufacturing category on the prestigious Forbes Top Employers for Engineers list for 2025. This ranking highlights our commitment to innovation, employee development, and fostering a collaborative environment where engineers can thrive.

Be part of a team that sets the industry standard and drives groundbreaking solutions.

At Rolls-Royce, we are committed to creating a workplace where all employees feel respected, supported, and empowered to do their best work. We foster a welcoming and innovative work environment that invests in you, giving you access to an incredible breadth and depth of opportunities where you can grow your career and make a difference.

Rolls-Royce is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to any protected characteristics.

What you will be doing

• Support the Head of Ethics and Compliance - Defense in implementing the company's Ethics and Compliance program and sustaining our culture of integrity throughout the business.
• Act as a first point of contact for Ethics and Compliance questions and concerns, providing support and guidance to employees in both the Defense and Civil Aerospace businesses on Ethics and Compliance policy matters, including reviewing and advising on conflict-of-interest declarations and conducting due diligence on recipients of sponsorships and donations.
• Operate the Third-Party Risk Management program within the business.
• Support the business to follow proper Ethics and Compliance policies and procedures, including reviewing and advising on conflict-of-interest declarations and conducting due diligence on recipients of sponsorships and donations.
• Carry out monitoring and assurance, including ABC risk assessment, Ethics and Compliance maturity reviews, joint venture monitoring and internal audits.
• Manage Ethics and Compliance speak up cases and investigations as required.
• Collaborate with various business, regional and head office Ethics and Compliance team members and other members of the General Counsel function to solve problems, share knowledge and help to develop and improve the global Ethics and Compliance program.
• Conduct risk assessments and develop risk mitigation strategies
• Support presentations and trainings on anticorruption and broader ethics and legal compliance topics
• Support the response to government investigations or queries as appropriate and/or required
• Engage with other business functions with people with differing levels of experience and knowledge and communicate effectively
• Other duties as assigned

Who we're looking for:

At Rolls-Royce we put safety first, do the right thing, keep it simple and make a difference. These principles form the behaviours that guide us and are an essential component of our assessment process. They are the fundamental qualities that we seek for all roles.

Basic Qualifications:

• Bachelor's degree in Law, business, or a related field with 8+ years of related, OR
• Master's degree in Law, business, or a related field with 6+ years of related, OR
• JD in Law, business, or a related field with 3+ years of related
• In order to be eligible for consideration, you must be a U.S. Citizen

Preferred Requirements:

• A fundamental understanding of compliance and ethics principles and processes
• Prior experience with the Foreign Corrupt Practices Act, UK Bribery Act and other relevant laws.
• An individual with equivalent regulatory and/or commercial experience.
• Skilled in facilitating open dialogue with management to navigate complex decisions and ensure alignment with company values.
• Ability to communicate clearly and effectively with employees in a range of seniorities.
• Experience of negotiating and managing commercial contracts.
• An awareness of anti-bribery and corruption laws and related experience.
• Experience in an ABC compliance program will be an advantage.
• Negotiation and influencing skills.
• Experience in investigative techniques
• Experience in producing training materials and successfully running training programs.
• Passion and commitment to the development of professional capability.
• Experienced with Microsoft Excel, Word and PowerPoint

What we offer:

We offer excellent development opportunities, a competitive salary, and exceptional benefits. These include bonus, employee support assistance and employee discounts.

Your needs are as unique as you are. Hybrid working is a way in which our people can balance their time between the office, home, or another remote location. It's a locally managed and flexed informal discretionary arrangement. As a minimum we're all expected to attend the workplace for collaboration and other specific reasons, on average three days per week.

Relocation assistance is not available for this position.

Global Grade/Level: Level B

Closing date: 09/19/2025

#CLODEF

#CLOLI

Location:

Benefits

Rolls-Royce provides a comprehensive and competitive Total Rewards package that includes base pay and a discretionary bonus plan. Eligible employees may have the opportunity to enroll in other benefits, including health, dental, vision, disability, life and accidental death & dismemberment insurance; a flexible spending account; a health savings account; a 401(k) retirement savings plan with a company match; Employee Assistance Program; Paid Time Off; certain paid holidays; paid parental and family care leave; tuition reimbursement; and a long-term incentive plan. The options available to an employee may vary depending on eligibility factors such as date of hire, employment type, and the applicability of collective bargaining agreements.

• Proficient in monitoring, toggling and clearing alerts as well as preparing and loading watchlists.
• Solid working knowledge in rule coding and guideline review
• Extensive knowledge of the trading systems for the purposes of coding and improving functionality.
• Understanding our role in the firm, regularly reaching out to teams beyond portfolio compliance, and consistently examining ways to mitigate firm risk.
• Independently lead and complete projects of any size.
• Concrete understanding of Allspring investment strategies, systems functionality and limitations to be able to work through any questions received.
• Are either the SME or consistently work independently off hours, managing team responsibilities with limited to no real-time supervision.
• Collaborate with all levels of the organization to provide business compliance risk expertise and consulting for projects and initiatives, fostering a culture of collaboration and inclusivity.
• Offer guidance and assistance to different teams within Allspring, helping them understand communication standards and navigate through regulatory requirements.

• 10 years of compliance experience in the financial services industry, or related experience in Compliance, Legal or Risk Management.
• Experience working with order management systems Bloomberg AIM (or similar systems).
• Understanding of fixed income securities and investment strategies.
• Proven capability to recognize, assess, and address concerns consistently.
• Proven teamwork skills, collaborating effectively with diverse teams across the organization and office locations.
• Strong organizational skills and the ability to prioritize work in a fast-paced environment.
• Seeking an individual with strong strategic thinking skills and problem-solving abilities, who can contribute to the development of innovative solutions.
• Strong verbal and written communication skills, enabling you to effectively communicate complex information.
• Ability to multitask and succeed in a fast-paced environment, showcasing your ability to prioritize and meet deadlines with flawless execution.
• Proficient in Microsoft Office applications, showcasing strong PC skills.

• Background in risk or compliance, giving you the necessary skills to navigate complex requirements.
• Strong leadership, collaboration, and demonstrated ability to drive for results, allowing you to effectively lead and inspire a team.
• Excellent interpersonal communication skills with experience communicating issues across various levels of management including regulators, enabling you to successfully navigate complex relationships.
• Strong analytical and critical thinking skills with high attention to detail and accuracy, ensuring flawless execution in your work.
• Proven ability to consistently meet deadlines, demonstrating your exceptional time management skills and ability to deliver results.
• Stable value investment experience or knowledge of stable value investment concepts a plus.

COMPLIANCE OFFICER -

Date: Sep 5, 2025

The State Personnel System is an E-Verify employer. For more information click on our E-Verify Website ( .

Requisition No:

Agency: Agriculture and Consumer Services

Working Title: COMPLIANCE OFFICER -

Pay Plan: Career Service

Position Number:

Salary: $39,000.00 - $44,000.06

Posting Closing Date: 09/10/2025

Total Compensation Estimator Tool (

COMPLIANCE OFFICER

FLORIDA DEPARTMENT OF AGRICULTURE AND CONSUMER SERVICES

DIVISION OF LICENSING

***OPEN COMPETITIVE OPPORTUNITY ***

CONTACT:

Leferm Bailey , Romane Morgan

MINIMUM REQUIREMENTS:

A high school diploma or its equivalentandtwo (2) years of secretarial or clerical experience, administrative work, regulatory work, consumer complaint program work, interviewing, business administration, customer or public relations, or investigations.

College education from an accredited college or university can substitute at the rate of 30 semester or 45 quarter hours for each year of the required work experience.

An equivalent combination of education and experience which equals two (2) years can substitute for the above requirements.

ATTENTION CANDIDATES

To be considered for a position with the Florida Department of Agriculture and Consumer Services:

• All fields in the Candidate Profile must be completed (an attached resume is not a substitution for the information required on the candidate profile).

• Work history, duties and responsibilities, hours worked, supervisor, and formal education fields, etc. must be filled out to determine qualifications for this position.

• Responses to Qualifying Questions must be verifiable in the Candidate Profile.

The Florida Department of Agriculture and Consumer Services values

and supports employment of individuals with disabilities. Qualified

individuals with disabilities are encouraged to apply.

NOTES:

Successful applicant must pass a background screening, including fingerprinting, as a condition of employment.

JOB DUTIES:

Administers exceptional customer service by providing application intake for individuals and agencies licensed under Chapter 493, Florida Statutes, and for new and renewal concealed weapon license applications under section 790.06, Florida Statutes.

Applicant intake includes the following: maintaining the appointment calendar; examination and analysis of application and supporting documentation to verify completion; notarization administration of oath of the application; electronically scanning the applicant's fingerprints; digitally photographing the applicant; and payment processing.

Issues and prints renewal licenses.

Performs appropriate data entry to maintain records and statistics using a complex interactive computer database, specifically, the electronic document management system (EDMS).

Responds to applicant and licensee inquiries regarding statutory and procedural eligibility requirements for applications and renewals. Interprets policies, procedures and applicable Florida Statues. Reviews applications, fingerprints and other documentation to determine the action(s) required to complete the processing of an application or renewal application. The incumbent must have a thorough working knowledge of a variety of integrated software packages to request and direct research necessary to resolve licensing problems.

Assists hearing officers in conducting informal hearings held in the regional office, administers oath to hearing witnesses and performs appropriate data entry for hearing documents.

Performs other related duties as required.

KNOWLEDGE, SKILLS AND ABILITIES:

• Knowledge of the principles and techniques of effective communication.

• Ability to review data for accuracy and completeness.

• Ability to communicate effectively.

• Ability to establish and maintain effective working relationships with others.

• Knowledge of basic computer operations.

• Knowledge of Chapter 493 and section 790.06, FS.

The Benefits of Working for the State of Florida

Working for the State of Florida is more than a paycheck. The State’s total compensation package for employees features a highly competitive set of employee benefits including:

• Annual and Sick Leave benefits;

• Nine paid holidays and one Personal holiday each year;

• State Group Insurance coverage options, including health, life, dental, vision and other supplemental insurance options;

• Retirement plan options, including employer contributions (For more information, please visit

• Flexible Spending Accounts;

• Tuition waivers;

• And more!

For a complete list of benefits, visit

For an estimate of the total compensation package for this position, please visit the“Total Compensation Estimator Tool”located above under the “Posting Closing Date.”

SPECIAL NOTES:

The State of Florida is an Equal Opportunity Employer/Affirmative Action Employer, and does not tolerate discrimination or violence in the workplace.

Candidates requiring a reasonable accommodation, as defined by the Americans with Disabilities Act, must notify the agency hiring authority and/or People First Service Center ( ). Notification to the hiring authority must be made in advance to allow sufficient time to provide the accommodation.

The State of Florida supports a Drug-Free workplace. All employees are subject to reasonable suspicion drug testing in accordance with Section , F.S., Drug-Free Workplace Act.

VETERANS’ PREFERENCE. Pursuant to Chapter 295, Florida Statutes, candidates eligible for Veterans’ Preference will receive preference in employment for Career Service vacancies and are encouraged to apply. Certain service members may be eligible to receive waivers for postsecondary educational requirements. Candidates claiming Veterans’ Preference must attach supporting documentation with each submission that includes character of service (for example, DD Form 214 Member Copy #4) along with any other documentation as required by Rule 55A-7, Florida Administrative Code. Veterans’ Preference documentation requirements are available by clickinghere ( . All documentation is due by the close of the vacancy announcement.

Location:

WEST PALM BEACH, FL, US, 33401 WEST PALM BEACH, FL, US, 33405 WEST PALM BEACH, FL, US, 33406 WEST PALM BEACH, FL, US, 33407 WEST PALM BEACH, FL, US, 33409 WEST PALM BEACH, FL, US, 33410 WEST PALM BEACH, FL, US, 33411 WEST PALM BEACH, FL, US, 33412 WEST PALM BEACH, FL, US, 33413 WEST PALM BEACH, FL, US, 33415 WEST PALM BEACH, FL, US, 33417 WEST PALM BEACH, FL, US, 33418 WEST PALM BEACH, FL, US, 33426 WEST PALM BEACH, FL, US, 33460

Nearest Major Market:Palm Beach

Nearest Secondary Market:Miami

At WSFS Bank, we empower our Associates to grow their careers, guide our customers to secure their financial futures, and actively support our Communities so they can fully thrive. Careers with WSFS Bank offer an inclusive and supportive culture, competitive salaries, advancement opportunities, and more. We are the region's locally headquartered bank and wealth management company. We are honored to consistently be named a Top Workplace by our Associates, who make a difference every day for the people, businesses, and Communities we serve. We Stand For Service is more than part of our name, it's our mission and our purpose.

The Compliance Officer is responsible for operational support duties of the Compliance Department. This role's primary function is to execute assigned compliance monitoring and testing in accordance with WSFS Banks established procedures and schedule. The incumbent will collaborate with fellow Compliance and Risk Associates as well as other business lines to ensure that WSFS Bank is compliant with all applicable regulations and laws.

Job Responsibilities:

• Execute quality assigned regulatory compliance monitoring and testing activities under minimum supervision.
• Obtain information needed for monitoring and testing purposes, develop testing workbooks or scripts, and document all work performed in a detailed manner.
• Assess adherence with applicable regulatory obligations, policies, and procedures.
• Perform control testing of policies, procedures, processes; perform transactional testing, as applicable.
• Schedule, plan, and facilitate meetings related to assigned monitoring and testing activities (e.g., kickoff, walkthroughs, exit meetings).
• Analyze information/data needed for monitoring and testing purposes, document details of testing performed, identify root causes, and prepare written reports that summarize the scope of each test, findings, and recommendations.
• Communicate WSFS Banks compliance management system framework and Compliance Monitoring and Testing Program requirements to all relevant internal stakeholders.
• Engage cross-functionally to cultivate effective business relationships and promote the Banks culture of compliance.
• Document and track findings and recommendations using the Banks governance, risk, and compliance platform.
• Follow up on the status of open corrective action plans and verify that issues identified during testing have been remediated by the first line.
• Provide support to all areas of the department as directed or where service or assistance is needed.
• Participate in Financial Industry Groups, as needed, to keep abreast of updates and/or hot topics of regulatory concerns within the industry.
• Complete annual training assigned, that would be applicable to the role, and participate in any other training opportunities, as assigned, that may arise for opportunity to learn and grow.
• Maintain highly proficient knowledge of all applicable banking laws, rules, and regulations.
• Perform a variety of routine daily tasks; reviews reports, prepares correspondence; and participates in special department projects.
• Assure compliance with all Bank policies, procedures and processes, and all applicable state and federal banking laws, rules, and regulations.
• Provide support to various business lines in the form of providing regulatory guidance when requested.
• Participate in various project teams as the compliance liaison.
• Other duties as assigned.

WSFS Bank is inclusive and supportive of individual needs. If you have a physical or other impairment that might require an accommodation, including technical assistance with the WSFS Bank Careers website or submission process, please contact us via email at WSFS is an equal opportunity employer. We do not discriminate based upon race, religion, color, national origin, gender (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

This individual will act as a Compliance Officer for Leerink Partners, an institutional brokerage and investment-banking firm specializing in the healthcare sector. The broker-dealer has a need for an experienced compliance officer with knowledge that includes FINRA registrations and licensing, onboarding including pre-hire FINRA background review, compliance training, employee disclosure items, continuing education, branch inspections (including RSLs, remote) and the FINRA Gateway and CRD system.

In addition, the ideal candidate will become involved and have an opportunity to play an active role in other areas of core compliance including regulatory inquiries, marketing and research reviews, surveillance and regulatory compliance efforts in the primary business units of Institutional Sales and Trading, Research, and Investment Banking.

Primary Duties and Responsibilities:

• Conduct licensing and registrations activities including regulatory reporting on (Form U4, U5, BR, BD, 4530)
• Conduct annual registration renewals for individuals, states, and foreign jurisdictions
• Coordinate annual review (or as needed) and update of FORM BRs and FORM BD
• Research securities rules and regulations, specifically those that impact areas of responsibility, including interaction with FINRA.
• Review and revise firm policies and procedures related to the areas of responsibility.
• Act as a resource and provide guidance, education and training to business lines, firm employees and representatives on current and changing industry rules, regulations, compliance matters, firm policies and best practices for areas of responsibility.
• Assist in obtaining information responsive to regulatory inquiries and investigations as requested.
• Assist with technological upgrades to meet increasing regulatory demands.
• Participate in specific compliance related projects as may be assigned from time to time.
• This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.

Experience and Qualifications Required:

• BA or BS degree required
• Series 7 or equivalent preferred; Series 24 or other registrations a plus
• Three to seven years compliance experience
• Three years' experience with FINRA CRD system
• Strong verbal and written communication skills communications, including the ability to: Effectively and proactively communicate with persons of any professional level; and understand, explain and deliver urgent information
• Ability and experience in identifying regulatory issues and management reporting
• Ability to prioritize and handle multiple projects simultaneously
• Able to take initiative and assume responsibility
• Strong work ethic and commitment to Firm and Department