3,244 Compliance Control jobs in the United States
Vice President, Compliance & Control II
Posted 2 days ago
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Job Description
BNY Administrative Services LLC seeks a Vice President, Compliance & Control II for its Pittsburgh, PA location (100% remote work permitted).
DUTIES: Document software defects, using a bug tracking system, and report defects to software developers. Develop testing programs that address areas such as database impacts, software scenarios, regression testing, negative testing, error or bug retests, or usability. Design test plans, scenarios, scripts, or procedures. Document test procedures to ensure replicability and compliance with standards. Ensure that programs continue to function normally through software maintenance and testing, bring business units into compliance with complex regulatory and policy requirements, and develop compliance reporting in partnership with business unit managers. Implement improvements, identify project risks and recommend steps to minimize risks, including the completion of appropriate documentation when control changes are made, based on assessments of controls, works with business units. Design and conduct hardware or software tests. Communicate with staff or clients to understand specific system requirements. Research, test, and verify proper functioning of software patches and fixes. Identify, analyze, and document problems with program function, output, online screen, or content. Provide feedback and recommendations to developers on software usability and functionality. Test system modifications to prepare for implementation. Monitor bug resolution efforts and track successes. Analyze existing and proposed legislation, regulatory announcements and industry practices in order to help the assigned businesses develop and implement procedures to meet existing and upcoming requirements, and maintain relationships with outside regulators, government officials and senior business unit managers to ensure the timely delivery of information and favorable conditions for compliance activities. Implement software testing, using either manual or automated programs and exploratory testing, and evaluate results to communicate project information through presentations, technical reports, or white papers. Plan test schedules or strategies in accordance with project scope or delivery dates. Collaborate with field staff or customers to evaluate or diagnose problems and recommend possible solutions. Coordinate user or third-party testing. One hundred percent (100%) remote work permitted.
REQUIREMENTS: Bachelors degree, or foreign equivalent, in Computer Science, Electrical Engineering, Electronic Engineering, or a related field, and seven (7) years of experience in the job offered or in a related occupation in the IT services industry. Seven (7) years of experience must include: Performing data analysis utilizing SQL queries and MS Excel macros; Utilizing the software development lifecycle to deliver projects/solutions; Utilizing Scrum project management principles for software development; Handling system development using various tools or languages, including Mainframe development and JAVA; Project Managing the delivery of software solutions including the use of MS Project or Excel to track activities and tasks; and Developing and executing software quality assurance including the buildout of test plans and test cases. Salary Range: $127,500.00 to $49,000.00/yr. Qualified applicants please apply online at and utilize reference code #68258. Please indicate referral source advertisement WEB.
BNY Administrative Services LLC assesses market data to ensure a competitive compensation package for our employees. The base salary/range for this position is expected to be 127,500.00 to 149,000.00 per year at the commencement of employment. Base salary if hired will be determined on an individualized basis, including as to experience and market location, and is only part of BNY Administrative Services LLCs total compensation package, which, depending on the position, may also include commission earnings, discretionary bonuses, short and long-term incentive packages, and Company-sponsored benefit programs.
This position is at-will, and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation) at any time, including for reasons related to individual performance, change in geographic location, Company or individual department/team performance, and market factors.
Vice President, Compliance & Control II
Posted 8 days ago
Job Viewed
Job Description
BNY Administrative Services LLC seeks a Vice President, Compliance & Control II for its Pittsburgh, PA location (100% remote work permitted).
DUTIES: Document software defects, using a bug tracking system, and report defects to software developers. Develop testing programs that address areas such as database impacts, software scenarios, regression testing, negative testing, error or bug retests, or usability. Design test plans, scenarios, scripts, or procedures. Document test procedures to ensure replicability and compliance with standards. Ensure that programs continue to function normally through software maintenance and testing, bring business units into compliance with complex regulatory and policy requirements, and develop compliance reporting in partnership with business unit managers. Implement improvements, identify project risks and recommend steps to minimize risks, including the completion of appropriate documentation when control changes are made, based on assessments of controls, works with business units. Design and conduct hardware or software tests. Communicate with staff or clients to understand specific system requirements. Research, test, and verify proper functioning of software patches and fixes. Identify, analyze, and document problems with program function, output, online screen, or content. Provide feedback and recommendations to developers on software usability and functionality. Test system modifications to prepare for implementation. Monitor bug resolution efforts and track successes. Analyze existing and proposed legislation, regulatory announcements and industry practices in order to help the assigned businesses develop and implement procedures to meet existing and upcoming requirements, and maintain relationships with outside regulators, government officials and senior business unit managers to ensure the timely delivery of information and favorable conditions for compliance activities. Implement software testing, using either manual or automated programs and exploratory testing, and evaluate results to communicate project information through presentations, technical reports, or white papers. Plan test schedules or strategies in accordance with project scope or delivery dates. Collaborate with field staff or customers to evaluate or diagnose problems and recommend possible solutions. Coordinate user or third-party testing. One hundred percent (100%) remote work permitted.
REQUIREMENTS: Bachelor's degree, or foreign equivalent, in Computer Science, Electrical Engineering, Electronic Engineering, or a related field, and seven (7) years of experience in the job offered or in a related occupation in the IT services industry. Seven (7) years of experience must include: Performing data analysis utilizing SQL queries and MS Excel macros; Utilizing the software development lifecycle to deliver projects/solutions; Utilizing Scrum project management principles for software development; Handling system development using various tools or languages, including Mainframe development and JAVA; Project Managing the delivery of software solutions including the use of MS Project or Excel to track activities and tasks; and Developing and executing software quality assurance including the buildout of test plans and test cases. Salary Range: $127,500.00 to $49,000.00/yr. Qualified applicants please apply online at and utilize reference code #68258. Please indicate "referral source - advertisement - WEB."
BNY Administrative Services LLC assesses market data to ensure a competitive compensation package for our employees. The base salary/range for this position is expected to be 127,500.00 to 149,000.00 per year at the commencement of employment. Base salary if hired will be determined on an individualized basis, including as to experience and market location, and is only part of BNY Administrative Services LLC's total compensation package, which, depending on the position, may also include commission earnings, discretionary bonuses, short and long-term incentive packages, and Company-sponsored benefit programs.
This position is at-will, and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation) at any time, including for reasons related to individual performance, change in geographic location, Company or individual department/team performance, and market factors.
Compliance Control Testing Specialist, Wealth
Posted today
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Job Description
This role will deliver on components of the 1LOD testing plans for Wealth LOBs' in accordance with the Enterprise Compliance Program and Operational Non-Financial Risk Framework.
+ Execute the 1LOD testing program for the Wealth LOBs and document results, outcomes as required.
+ Design and implement specific monitoring and testing procedures for each applicable area of review, which may include independent development of new test scripts.
+ Demonstrate an understanding of testing methodology, business processes, control frameworks, that support underlying Regulatory Compliance requirements.
+ Ability to understand the methodology that supports the Enterprise Compliance Program and Operational Non-Financial Risk functions within Wealth Management.
+ Raise compliance and control related awareness with the Business and provide appropriate advice and guidance to mitigate exposures and risk. Identify root cause and communicate M&T identified issues to the businesses, 1LOD Compliance Advisory, 2LOD Compliance, 2LOD Risk.
+ Identify and assess potential opportunities to improve the efficiency, effectiveness of Control testing.
Qualifications:
+ 6+ years of related experience in a testing or audit role in areas involving Regulatory Compliance.
+ Recognized Compliance certificate or equivalent preferred.
+ Experience in independently executing Regulatory Compliance control testing, including development of test scripts, and identifying issues and exceptions.
+ Familiarity with Key Regulations applicable to Wealth Management and Investment Funds (e.g. SEC, OCC, etc.).
+ Excellent data analysis skills, organizational, analytical and communication skills.
+ application of regulations and compliance requirements.
+ Ability to independently deliver on complex assignments with competing deadlines.
+ Excellent interpersonal skills and strong written and verbal business communication skills.
+ Working knowledge of information technology tools required including: MS Excel, MS Word and portfolio management or investment industry software.
+ Ability to demonstrate effective use of judgment, interpretation, knowledge and skill with Regulatory Compliance control testing.
**Salary:**
$74,000.00 - $138,000.00
**Pay Type:**
Salaried
The above represents BMO Financial Group's pay range and type.
Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position.
BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: Us**
At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.
As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.
To find out more visit us at is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law.
BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to and let us know the nature of your request and your contact information.
Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.
Compliance & Control, Senior Analyst - Ratings
Posted 5 days ago
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Job Description
**Grade Level (for internal use):**
11
**Compliance & Control, Senior Analyst - Ratings**
**The Role**
The Senior Analyst role is based in New York and will be responsible for supporting the regulatory Compliance Program for the North American Structured Finance and Financial Services practice areas assisting the practices on advisory matters relating to Credit Rating Agency regulations. For individuals with a strategic mindset and a passion for regulatory compliance, this presents an exciting opportunity to contribute significantly. By joining this team, you have the chance to shape the success and integrity of S&P Global Ratings, making a meaningful impact in a role that is both challenging and rewarding.
**Key Roles & Responsibilities**
Provide credible, reliable and responsive advisory services on Firm policies and procedures.
+ Supporting Compliance colleagues in the execution of a compliance communication program for the organization that promotes (a) heightened awareness of the Compliance goals, and (b) understanding of new & existing compliance initiatives and related policies & procedures.
+ Assists in the development of compliance training and in ongoing communications that promote heightened awareness of compliance policies and procedures, and the understanding of compliance issues.
+ Oversee the Compliance database of internal review and complaint metrics, including categorizing records and identifying trends that are used in training, management and board decks.
+ Work closely with the Compliance Control Room in the monitoring and resolution of surveillance escalations.
+ Investigate potential employee violations of policies and administer discipline as appropriate. As part of the review, determine the severity of the breach, assist in any necessary remediation actions and escalate to the appropriate stakeholders.
+ Work with the business to coordinate the process recording and resolution of both internal and external complaints.
+ Support the establishment and/or enhancement of policies and procedures as well as their implementation.
+ Liaise with internal control groups, regulatory agencies and other external entities on compliance related matters.
**Compensation/Benefits Information:** (This section is only applicable to US candidates)
S&P Global states that the anticipated base salary range for this position is $100,909.00 to $132,600.00. Final base salary for this role will be based on the individual's geographic location, as well as experience level, skill set, training, licenses and certifications.
**Required Education, Skills and Experience:**
+ A minimum of 3-5 years of directly related comparable compliance experience.
+ A bachelor's degree is required.
+ Strong interpersonal and team skills.
+ Strong oral and written communication skills.
+ Highly analytical, solutions-oriented and detail oriented.
+ Excellent presentation skills and ability to provide compliance training to all levels.
+ Ability to exercise sound judgement under pressure.
+ Self-motivated and well-organized; able to prioritize tasks and work well under pressure; able to stay abreast of changing regulatory rules and procedures in a developing industry.
+ Proficiency in Microsoft Office applications
**About S&P Global Ratings**
At S&P Global Ratings, our analyst-driven credit ratings, research, and sustainable finance opinions provide critical insights that are essential to translating complexity into clarity so market participants can uncover opportunities and make decisions with conviction. By bringing transparency to the market through high-quality independent opinions on creditworthiness, we enable growth across a wide variety of organizations, including businesses, governments, and institutions.
S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is the world's foremost provider of credit ratings, benchmarks, analytics and workflow solutions in the global capital, commodity and automotive markets. With every one of our offerings, we help many of the world's leading organizations navigate the economic landscape so they can plan for tomorrow, today.
For more information, visit In It For** **You?**
**Our Purpose:**
Progress is not a self-starter. It requires a catalyst to be set in motion. Information, imagination, people, technology-the right combination can unlock possibility and change the world.
Our world is in transition and getting more complex by the day. We push past expected observations and seek out new levels of understanding so that we can help companies, governments and individuals make an impact on tomorrow. At S&P Global we transform data into Essential Intelligence®, pinpointing risks and opening possibilities. We Accelerate Progress.
**Our People:**
We're more than 35,000 strong worldwide-so we're able to understand nuances while having a broad perspective. Our team is driven by curiosity and a shared belief that Essential Intelligence can help build a more prosperous future for us all.
From finding new ways to measure sustainability to analyzing energy transition across the supply chain to building workflow solutions that make it easy to tap into insight and apply it. We are changing the way people see things and empowering them to make an impact on the world we live in. We're committed to a more equitable future and to helping our customers find new, sustainable ways of doing business. We're constantly seeking new solutions that have progress in mind. Join us and help create the critical insights that truly make a difference.
**Our Values:**
**Integrity, Discovery, Partnership**
At S&P Global, we focus on Powering Global Markets. Throughout our history, the world's leading organizations have relied on us for the Essential Intelligence they need to make confident decisions about the road ahead. We start with a foundation of **integrity** in all we do, bring a spirit of **discovery** to our work, and collaborate in close **partnership** with each other and our customers to achieve shared goals.
**Benefits:**
We take care of you, so you can take care of business. We care about our people. That's why we provide everything you-and your career-need to thrive at S&P Global.
Our benefits include:
+ Health & Wellness: Health care coverage designed for the mind and body.
+ Flexible Downtime: Generous time off helps keep you energized for your time on.
+ Continuous Learning: Access a wealth of resources to grow your career and learn valuable new skills.
+ Invest in Your Future: Secure your financial future through competitive pay, retirement planning, a continuing education program with a company-matched student loan contribution, and financial wellness programs.
+ Family Friendly Perks: It's not just about you. S&P Global has perks for your partners and little ones, too, with some best-in class benefits for families.
+ Beyond the Basics: From retail discounts to referral incentive awards-small perks can make a big difference.
For more information on benefits by country visit: Hiring and Opportunity at S&P Global:**
At S&P Global, we are committed to fostering a connected and engaged workplace where all individuals have access to opportunities based on their skills, experience, and contributions. Our hiring practices emphasize fairness, transparency, and merit, ensuring that we attract and retain top talent. By valuing different perspectives and promoting a culture of respect and collaboration, we drive innovation and power global markets.
S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to the Policy's requirements, candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition and remediation of positions when there is an effective or potential conflict of interest. Employment at S&P Global is contingent upon compliance with the Policy.
**Recruitment Fraud Alert:**
If you receive an email from a spglobalind.com domain or any other regionally based domains, it is a scam and should be reported to . S&P Global never requires any candidate to pay money for job applications, interviews, offer letters, "pre-employment training" or for equipment/delivery of equipment. Stay informed and protect yourself from recruitment fraud by reviewing our guidelines, fraudulent domains, and how to report suspicious activity here ( .
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**Equal Opportunity Employer**
S&P Global is an equal opportunity employer and all qualified candidates will receive consideration for employment without regard to race/ethnicity, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, marital status, military veteran status, unemployment status, or any other status protected by law. Only electronic job submissions will be considered for employment.
If you need an accommodation during the application process due to a disability, please send an email to: and your request will be forwarded to the appropriate person.
**US Candidates Only:** The EEO is the Law Poster describes discrimination protections under federal law. Pay Transparency Nondiscrimination Provision - - Middle Professional (EEO Job Group) (inactive), 20 - Professional (EEO-2 Job Categories-United States of America), RSKMGT202.2 - Middle Professional Tier II (EEO Job Group)
**Job ID:** 317848
**Posted On:** 2025-07-13
**Location:** New York, New York, United States
Compliance Internal Control Manager
Posted 21 days ago
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Job Description
Job DetailsJob LocationAgua Caliente Rancho Mirage - Rancho Mirage, CAPosition TypeFull Time - ExemptDescriptionManage internal controls and submissions to the Gaming Commission to ensure continuing integrity of operations and adherence to applicable laws, rules, regulations, policies and procedures.ESSENTIAL DUTIES AND RESPONSIBILITIES (other duties may be assigned)Develops and recommends policies and standard operating procedures. Monitors effective administration of all departmental policies and standard operating procedures; makes recommendations as needed.Ensures compliance with reporting commitments required by regulatory agencies.Work with subject matter experts to plan, develop, organize, write, and edit Internal Controls and other documents as needed.Serves as liaison to the ACBCI Gaming Commission and other regulatory agencies as required, as well as ensuring timely responses to incident and audit reports; review and prepare draft responses to compliance-related issues raised.Collaborate with company management and the ACBCI Gaming Commission to ensure significant changes to the company's operating environment (new facilities, system upgrades, gaming mix changes, etc.) are completed per regulations.Provides compliance guidance to gaming operations and other departments, as needed.Works closely with operations to ensure they have a thorough understanding of gaming regulations and general procedures.Ensures property is informed of new gaming rules and regulation requirements. Reviews, identifies, evaluates, and resolves compliance issues, internal and external audit findings, and submits responses to corrective action.ACCESS TO SENSITIVE AREAS AND INFORMATION (ACCRS & SRC)As per the ACGC access matrixSIGNATORY ABILITYInternal Control documents HR Related FormsQualificationsEDUCATION and/or EXPERIENCEBachelor's degree (B.A. /B.S.) in Business, Communications, or related field from a four-year college or university preferred; At least two years of experience in compliance, gaming, or governmental affairs, or equivalent combination of education and experience.Extensive knowledge of casino operations, NIGC Minimum Internal Control Standards, Federal and State Regulations.Must be proficient in Microsoft applications (World, Excel, and Outlook).Must have excellent organization and communication skills.Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the public.WORKING CONDITIONS/PHYSICAL DEMANDSTo perform this job successfully, the individual must me able to stand, move and work throughout the office area and properties, including walking up to 1 ½ mile, climbing stairs and sitting at a desk/work station for the duration of the shift. Also may be subjected to a smoke filled environment.Typically the individual will be housed in an office environment. The noise level in the work environment is usually moderate, but will escalate when located in the casino environment. Must be able to grasp, bend, lift and/or carry or otherwise move goods weighing a minimum of 25 lbs. on an intermittent basis, and sufficient dexterity of hand in order to use office equipment including, but not limited to: a computer keyboard, calculator, general office equipment and multi-line telephone.
Director--Compliance, Conflicts & Control Room
Posted 8 days ago
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Job Description
While we are rooted in core financial products, we are differentiated by our approach. Our bankers are seasoned financial experts who possess deep experience across a multitude of industries. Equally important, they bring commitment - investing the time and resources to understand our clients' immediate needs, identify market opportunities and meet long-term objectives. At Texas Capital, we do more than build business success. We build long-lasting relationships.
Texas Capital provides a variety of benefits to colleagues, including health insurance coverage, wellness program, fertility and family building aids, life and disability insurance, retirement savings plans with a generous 401K match, paid leave programs, paid holidays, and paid time off (PTO).
Headquartered in Dallas with offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, Texas Capital was recently named Best Regional Bank in 2024 by Bankrate and was named to The Dallas Morning News' Dallas-Fort Worth metroplex Top Workplaces 2023 and GoBankingRate's 2023 list of Best Regional Banks. For more information about joining our team, please visit us at Overview of Position
The Head of the Control Room is a key advisory position within Compliance responsible for overseeing and administering the firm's Conflicts of Interest (COI) and Control Room (CR) regulatory compliance programs as they relate to enterprise-wide regulatory and reputational risk. The responsibilities of this role also include identifying and managing strategic goals and corporate initiatives while ensuring business processes and controls are compliant with and support adherence to applicable laws, regulations, and internal policy. This role will review the firm's Equity Research prior to publication to ensure it adheres to FINRA and SEC disclosure requirements, and will advise Equity Research, Equity Capital Markets, and Investment Banking regarding applicable regulatory requirements and risks related to conflicts of interest.
This Head of the Control Room reports to the Texas Capital Bank's Chief Compliance Officer and is part of the Compliance Department.
Responsibilities
* Design, develop, execute and oversee an effective COI Program by enabling the identification, operationalization, and communication of applicable federal and state regulations regarding COI
* Fostering an understanding of associated COI risks across the entire organization and implementation of suitable risk mitigation strategies
* Identify and oversee the Control Room which consists of investment banking deals, MNPI mitigation, Watch and Restricted Lists while acting as a resource for research COI risk mitigation including required chaperoning of research analyst interaction with investment bankers
* Act as a trusted advisor and primary COI subject matter expert to/for internal and external stakeholders
* Provide guidance to the relevant business (1LOD) and independent risk management (2LOD) concerning suggested policies, procedures, practices and controls
* Define and implement, as necessary, restrictions applicable to the firm's Equity Capital Markets group and the Research Department
* Facilitate clearance of Equity Research materials which will include a review Equity Research Reports for any potential or actual conflicts due to the firm's involvement with an issuer on the firm's Watch or Restricted Lists
* Chaperone communication between Investment Bankers and Research Analysts
* Review vetting requests from Equity Capital Markets and Corporate Access requests
* Manage a 2-4 person team of subject matter experts
* Act as a key liaison during regulatory exams, internal audits, and 2LOD testing
* Assist in the execution of, and act as key advisor for, the firm's Regulatory Compliance Risk Assessments
* Design and deliver management reporting on KRIs, KPIs, and any significant developments within the COI Program
* Prepare and deliver FINRA Firm Element Continuing Education training
* Maintain knowledge of applicable rule changes, latest industry guidelines, and best practices
* Manage departmental expenses and annual budget
* Recruit, train, and retain talent within the department
* Demonstrate sound judgement and leadership in a fast-paced, dynamic, collaborative, and transformative environment
* Manage and execute multiple complex projects within the required timelines
* The duties listed above are the essential functions of this job classification. The essential functions of individual positions within the classification may differ. Texas Capital may assign reasonably related additional duties to individual employees consistent with standard departmental policy.
Qualifications
* Possess a minimum of 10 years of securities industry experience at full-service financial institutions and a minimum of 5 years of working in a Control Room environment
* Subject matter expert in Conflicts of Interest and/or Control Room compliance
* Strong knowledge of U.S. securities rules and regulations, specifically, those of the SEC (i.e., Securities Exchange Act of 1934 Section 15(g), 10(b) and Rule 10b-5, Rules 138 and 139) and FINRA (i.e., FINRA Rules 2241 and 2242)
* Self-motivated, well organized, and detail-oriented to handle complex and concurrent assignments
* A high degree of integrity, strong work ethic, and an ability to work independently while leading a team of compliance professionals
* Problem-solving skills, with a strong analytical and data-driven work style
* Communication skills and the ability to influence all levels of management and external partners
* Bachelor's degree in a related field or equivalent years of experience (required) and an advanced degree in a related field (e.g., law, business or accounting) (preferred)
* Hold applicable industry licenses (Series 7, 24, 87, 79) and certifications (CRCM, CRCP, CFA) (preferred)
The duties listed above are the essential functions, or fundamental duties within the job classification. The essential functions of individual positions within the classification may differ. Texas Capital Bank may assign reasonably related additional duties to individual employees consistent with standard departmental policy.Texas Capital is an Equal Opportunity Employer.
Quality Compliance & Document Control Coordinator
Posted 4 days ago
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Job Description
Job Location
Orange - QAF - Orange, CA
Position Type
Full Time
Salary Range
$25.20 - $30.00 Hourly
Job Shift
1st Shift
Description
The Quality Compliance & Document Control Coordinator is responsible for managing and maintaining all controlled documents related to customer, engineering, and quality specifications. This position ensures compliance with AS9100D, NADCAP, and customer requirements while supporting operational efficiency by reducing documentation workload for technical staff. The role is critical to maintaining revision accuracy, timely updates, and complete audit readiness.
ESSENTIAL FUNCTIONS: (include but are not limited to)
- Maintain accurate revision control for customer, engineering, and quality specifications.
- Manage the complete document lifecycle, including creation, review, approval, distribution, and archival.
- Track and retrieve updated material and process certifications.
- Prepare and compile certification packets for Certificates of Conformance (CofCs).
- Maintain, review, and control final router packets.
- Create and review First Article Inspection Reports (FAIR) in accordance with AS9102.
- Support audit preparation for AS9100D and NADCAP compliance.
- Assist with contract reviews for the Quality department.
- Gather and organize data for Corrective Actions (CARs) and Nonconformance Reports (NCRs).
- Ensure timely updates to specifications, drawings, and other technical documentation.
- Collaborate with engineering, production, and quality staff to resolve documentation discrepancies.
- Maintain organized and secure document control systems in accordance with company and customer requirements.
- Participate in continuous improvement activities, including 5S and process optimization.
- Performs other duties as assigned.
QUALIFICATIONS:
- High school diploma or equivalent required; Associate's or Bachelor's degree in a related field preferred.
- Minimum of 2 years of experience in document control within aerospace manufacturing or a regulated industry.
- Knowledge of AS9100D, NADCAP, and quality management systems.
- Proficiency in document control systems and Microsoft Office Suite.
- Strong organizational and time management skills with exceptional attention to detail.
- Effective written and verbal communication skills.
- Ability to work independently and collaboratively in a fast-paced environment.
- Ability to sit for extended periods while reviewing and managing documents.
- Use hands and fingers to handle files, operate computer systems, and manage documentation.
- Occasionally lift and/or move up to 15 pounds.
- Required vision: close, distance, peripheral, depth perception, and ability to adjust focus.
- Primarily office-based with occasional time spent in manufacturing or inspection areas.
- Moderate noise levels typical of an office environment; occasional exposure to manufacturing floor noise and activity.
- Reasonable accommodations may be made for individuals with disabilities.
We believe a workforce with diverse backgrounds, skills and experiences helps us reach our goals and realize our full potential. We may have different ways of approaching problems, but we solve them together with a focus on our Core Values of Integrity, Responsiveness, Respect and Passion.
SIFCO Forge has a very competitive compensation and benefits package, including medical, dental, vision, life insurance, short- and long-term disability, flexible spending accounts, and a 401(k) plan with an exceptional company match.
If you need assistance with the application process due to a disability, please email
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Analyst-Compliance: Quality Control Review
Posted today
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At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career.
Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.
American Express's Global Financial Crimes Surveillance Unit (GFCSU) is part of the broader Global Risk & Compliance organization, operating within Global Financial Crimes Compliance (GFCC), provides end-to-end oversight and support of global financial crimes investigations. In partnership with broader GFCC teams, GFCSU supports the development, testing, implementation and adjudication of transaction monitoring rules, reports, and other tools to detect potential criminal activity. GFCSU plays a vital role in ensuring compliance with key regulations, including the Bank Secrecy Act (BSA), USA PATRIOT Act, and the Foreign Corrupt Practices Act. They also support law enforcement by providing critical information to combat money laundering, terrorist financing, credit card fraud, identity theft, and other financial crimes.
The GFCSU's Quality Control Review (QCR) Team performs ongoing monitoring of Anti-Money Laundering (AML) investigations performed by Global Financial Crimes Surveillance Unit and US Investigations to ensure adherence to legal and regulatory standards as well as internal procedural requirements.
**How will you make an impact in this role?**
+ Conduct quality control reviews of Financial Crime Compliance processes (AML, EDD, Screening) processes managed by the GFCSU and USIU, which includes evaluating cases after initial decision is made to ensure adherence with procedural and regulatory guidance.
+ Provide real time feedback to analysts if a material or non-material error is identified.
+ Close all cases after review is completed. This includes correcting any errors prior to submission for closure if required.
+ Assist in BAU case investigations based on business needs
**Minimum Qualifications**
+ Two years of work experience at a financial services institution, retail/commercial bank, or payment processing institution in any of the following areas: AML/BSA, financial crimes compliance, enhanced due diligence, screening/sanctions risk management, and/or operational risk
+ Proven analytical skills and demonstrated ability to research, assess, interpret, resolve, and remediate issues with regulatory impact
+ Excellent time-management skills and demonstrated ability to balance competing priorities in a deadline-driven environment
+ Detail-oriented with strong verbal and written communication skills
**Preferred Qualifications**
+ Self-motivated with an ability to learn quickly and independently
+ Business Self Testing (BST), Quality Control, or Quality Assurance experience is a plus
+ Bachelor's Degree preferred
+ Ability to handle sensitive information in a confidential and professional manner
**Qualifications**
Salary Range: $55,000.00 to $105,000.00 annually bonus benefits
The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors.
We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:
+ Competitive base salaries
+ Bonus incentives
+ 6% Company Match on retirement savings plan
+ Free financial coaching and financial well-being support
+ Comprehensive medical, dental, vision, life insurance, and disability benefits
+ Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
+ 20 weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy
+ Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
+ Free and confidential counseling support through our Healthy Minds program
+ Career development and training opportunities
For a full list of Team Amex benefits, visit our Colleague Benefits Site .
American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions.
We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually.
US Job Seekers - Click to view the " Know Your Rights " poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: eligibility to work with American Express in the United States is required as the company will not pursue visa sponsorship for these positions.
**Job:** Compliance
**Primary Location:** US-Arizona-Phoenix
**Other Locations:** US-Utah-Sandy, US-Florida-Sunrise
**Schedule** Full-time
**Req ID:** 25014432
Analyst-Compliance: Quality Control Review
Posted today
Job Viewed
Job Description
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career.
Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.
American Express's Global Financial Crimes Surveillance Unit (GFCSU) is part of the broader Global Risk & Compliance organization, operating within Global Financial Crimes Compliance (GFCC), provides end-to-end oversight and support of global financial crimes investigations. In partnership with broader GFCC teams, GFCSU supports the development, testing, implementation and adjudication of transaction monitoring rules, reports, and other tools to detect potential criminal activity. GFCSU plays a vital role in ensuring compliance with key regulations, including the Bank Secrecy Act (BSA), USA PATRIOT Act, and the Foreign Corrupt Practices Act. They also support law enforcement by providing critical information to combat money laundering, terrorist financing, credit card fraud, identity theft, and other financial crimes.
The GFCSU's Quality Control Review (QCR) Team performs ongoing monitoring of Anti-Money Laundering (AML) investigations performed by Global Financial Crimes Surveillance Unit and US Investigations to ensure adherence to legal and regulatory standards as well as internal procedural requirements.
**How will you make an impact in this role?**
+ Conduct quality control reviews of Financial Crime Compliance processes (AML, EDD, Screening) processes managed by the GFCSU and USIU, which includes evaluating cases after initial decision is made to ensure adherence with procedural and regulatory guidance.
+ Provide real time feedback to analysts if a material or non-material error is identified.
+ Close all cases after review is completed. This includes correcting any errors prior to submission for closure if required.
+ Assist in BAU case investigations based on business needs
**Minimum Qualifications**
+ Two years of work experience at a financial services institution, retail/commercial bank, or payment processing institution in any of the following areas: AML/BSA, financial crimes compliance, enhanced due diligence, screening/sanctions risk management, and/or operational risk
+ Proven analytical skills and demonstrated ability to research, assess, interpret, resolve, and remediate issues with regulatory impact
+ Excellent time-management skills and demonstrated ability to balance competing priorities in a deadline-driven environment
+ Detail-oriented with strong verbal and written communication skills
**Preferred Qualifications**
+ Self-motivated with an ability to learn quickly and independently
+ Business Self Testing (BST), Quality Control, or Quality Assurance experience is a plus
+ Bachelor's Degree preferred
+ Ability to handle sensitive information in a confidential and professional manner
**Qualifications**
Salary Range: $55,000.00 to $105,000.00 annually bonus benefits
The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors.
We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:
+ Competitive base salaries
+ Bonus incentives
+ 6% Company Match on retirement savings plan
+ Free financial coaching and financial well-being support
+ Comprehensive medical, dental, vision, life insurance, and disability benefits
+ Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
+ 20 weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy
+ Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
+ Free and confidential counseling support through our Healthy Minds program
+ Career development and training opportunities
For a full list of Team Amex benefits, visit our Colleague Benefits Site .
American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions.
We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually.
US Job Seekers - Click to view the " Know Your Rights " poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: eligibility to work with American Express in the United States is required as the company will not pursue visa sponsorship for these positions.
**Job:** Compliance
**Primary Location:** US-Arizona-Phoenix
**Other Locations:** US-Utah-Sandy, US-Florida-Sunrise
**Schedule** Full-time
**Req ID:** 25014432
Analyst-Compliance: Quality Control Review
Posted 13 days ago
Job Viewed
Job Description
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career.
Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.
American Express's Global Financial Crimes Surveillance Unit (GFCSU) is part of the broader Global Risk & Compliance organization, operating within Global Financial Crimes Compliance (GFCC), provides end-to-end oversight and support of global financial crimes investigations. In partnership with broader GFCC teams, GFCSU supports the development, testing, implementation and adjudication of transaction monitoring rules, reports, and other tools to detect potential criminal activity. GFCSU plays a vital role in ensuring compliance with key regulations, including the Bank Secrecy Act (BSA), USA PATRIOT Act, and the Foreign Corrupt Practices Act. They also support law enforcement by providing critical information to combat money laundering, terrorist financing, credit card fraud, identity theft, and other financial crimes.
The GFCSU's Quality Control Review (QCR) Team performs ongoing monitoring of Anti-Money Laundering (AML) investigations performed by Global Financial Crimes Surveillance Unit and US Investigations to ensure adherence to legal and regulatory standards as well as internal procedural requirements.
**How will you make an impact in this role?**
+ Conduct quality control reviews of Financial Crime Compliance processes (AML, EDD, Screening) processes managed by the GFCSU and USIU, which includes evaluating cases after initial decision is made to ensure adherence with procedural and regulatory guidance.
+ Provide real time feedback to analysts if a material or non-material error is identified.
+ Close all cases after review is completed. This includes correcting any errors prior to submission for closure if required.
+ Assist in BAU case investigations based on business needs
**Minimum Qualifications**
+ Two years of work experience at a financial services institution, retail/commercial bank, or payment processing institution in any of the following areas: AML/BSA, financial crimes compliance, enhanced due diligence, screening/sanctions risk management, and/or operational risk
+ Proven analytical skills and demonstrated ability to research, assess, interpret, resolve, and remediate issues with regulatory impact
+ Excellent time-management skills and demonstrated ability to balance competing priorities in a deadline-driven environment
+ Detail-oriented with strong verbal and written communication skills
**Preferred Qualifications**
+ Self-motivated with an ability to learn quickly and independently
+ Business Self Testing (BST), Quality Control, or Quality Assurance experience is a plus
+ Bachelor's Degree preferred
+ Ability to handle sensitive information in a confidential and professional manner
**Qualifications**
Salary Range: $55,000.00 to $105,000.00 annually bonus benefits
The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors.
We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:
+ Competitive base salaries
+ Bonus incentives
+ 6% Company Match on retirement savings plan
+ Free financial coaching and financial well-being support
+ Comprehensive medical, dental, vision, life insurance, and disability benefits
+ Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
+ 20 weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy
+ Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
+ Free and confidential counseling support through our Healthy Minds program
+ Career development and training opportunities
For a full list of Team Amex benefits, visit our Colleague Benefits Site .
American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions.
We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually.
US Job Seekers - Click to view the " Know Your Rights " poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: eligibility to work with American Express in the United States is required as the company will not pursue visa sponsorship for these positions.
**Job:** Compliance
**Primary Location:** US-Arizona-Phoenix
**Other Locations:** US-Utah-Sandy, US-Florida-Sunrise
**Schedule** Full-time
**Req ID:** 25014432