What Compliance Officer Roles Jobs are in the United States?

At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One.
**Job Description**
This position within RSS will serve as support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series trusts containing mutual funds and exchange traded funds employing diverse investment strategies regulated under the Investment Company Act of 1940 and the Securities and Exchange Commission (SEC). This position will assist the CCO in the continuous compliance oversight of service providers to the Trusts including numerous independent investment advisers, Fund Services as Transfer Agent, Fund Administrator, and Fund Accountant, U.S. Bank as Custodian, and external parties such as Distributor(s) to the Funds within the Trusts. The CCO Support individual will be primarily responsible for reviewing and monitoring elements of Adviser compliance programs in an ever-changing regulatory environment, a variety of internal and external documentation and reporting and preparing for and conducting annual due diligence visits (either virtually or in-person) to observe the compliance programs in place. Individuals will also be responsible for preparing written reports summarizing the due diligence visits utilized for Board reporting. Other responsibilities include assisting with the preparation of Trust Board reports and supporting documentation, issuing, documenting, and summarizing various certifications, assisting with quarterly calls with Advisers, participating in onboarding and offboarding of Funds/Advisers, monitoring for compliance gaps in conjunction with CCOs and other tasks or projects as assigned.
**Basic Qualifications**
+ Bachelor's degree, or equivalent experience
+ Eight to ten years of related experience
**Preferred Skills/Experience**
+ Eight or more years of experience in a compliance or financial industry related role, preferably securities related
+ Strong knowledge of federal securities regulations (1940 Act, Advisers Act) a plus
+ Critical thinking skills to effectively assimilate and monitor information
+ Strong organizational, collaborative, analytical and project management skills
+ Ability to manage multiple tasks/projects and deadlines simultaneously
+ Strong interpersonal skills; ability to develop client relationships
+ Exemplary verbal, and written communication skills
+ Ability to take direction and instructions from multiple sources/individuals
+ Proficient computer skills, specifically Microsoft Office applications and Adobe Acrobat
+ Ability to work independently and to manage priorities efficiently and effectively
+ Team player who can adjust rapidly in response to critical business needs
+ Approximately 5-10% travel required
The role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants ( .
**Benefits:**
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following:
+ Healthcare (medical, dental, vision)
+ Basic term and optional term life insurance
+ Short-term and long-term disability
+ Pregnancy disability and parental leave
+ 401(k) and employer-funded retirement plan
+ Paid vacation (from two to five weeks depending on salary grade and tenure)
+ Up to 11 paid holiday opportunities
+ Adoption assistance
+ Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
Review our full benefits available by employment status here ( .
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
**E-Verify**
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program ( .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $98,175.00 - $115,500.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
**Posting may be closed earlier due to high volume of applicants.**

Description We are looking for an experienced Compliance Officer to support a long-term contract opportunity in Burlington, Massachusetts. This part-time role is suited for someone who is detail oriented and has a strong background in ethics and compliance, including trade-related regulatory matters such as sanctions and export controls. The ideal candidate brings experience advising organizations with software offerings across both on-premise and SaaS models, along with knowledge of corporate compliance reporting in areas such as sustainability and climate-related obligations.
Responsibilities:
- Lead compliance initiatives across ethics, corporate policy, and regulatory risk management for the organization.
- Provide guidance on trade compliance matters, including export control requirements and sanctions-related obligations.
- Evaluate compliance exposure tied to software business models, including both cloud-based services and on-premise products.
- Support the development, review, and enhancement of internal compliance frameworks, controls, and governance processes.
- Partner with business stakeholders to assess regulatory risk and recommend practical mitigation strategies.
- Contribute to reporting and oversight activities connected to sustainability, climate-related disclosures, and broader corporate compliance obligations.
- Conduct compliance reviews and assist with audit-related activities to help maintain adherence to applicable laws and internal standards. Requirements - Broad experience in compliance, ethics, and corporate governance functions.
- Demonstrated knowledge of trade compliance, with emphasis on sanctions and export control regulations.
- Background supporting compliance programs within a software company environment is strongly preferred.
- Familiarity with reporting or regulatory obligations related to sustainability and climate matters is preferred.
- A JD is welcomed, though active legal practice is not required for consideration.
- Experience performing compliance assessments, audits, and risk evaluations.
- CRISC certification or a comparable risk and compliance credential is an asset.
Robert Half is the world's first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.
Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app ( and get 1-tap apply, notifications of AI-matched jobs, and much more.
All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.
© 2025 Robert Half. Robert Half is not a law firm and does not provide legal representation. Robert Half project lawyers do not constitute a law firm among themselves. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking "Apply Now," you're agreeing to Robert Half's Terms of Use ( and Privacy Notice ( .

**Job Overview**
PenFed is hiring a (Hybrid) Compliance Officer at our Eugene, Oregon; Omaha, Nebraska or Tysons, Virginia location. The primary purpose of this job is to implement and administer all aspects of PenFed's Compliance Management System for assigned products and services. The incumbent monitors operational programs for compliance within regulatory requirements. This position adheres to rules that govern operations and product offerings, provides compliance guidance to project teams, and assists the Office of General Counsel with compliance research.
**Responsibilities**
Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. This is not intended to be an all-inclusive list of job duties and the position will perform other duties as assigned.
+ Maintains knowledge of current regulations and upcoming regulatory changes and reviews regulatory change requirements with assigned business line managers. Ensures business goals and objectives are consistent with current regulations and upcoming regulatory changes.
+ Maintains up to date knowledge of operational policies, procedures, and systems in assigned business areas. Reviews proposed changes to policies, procedures, and processes to provide compliance related feedback as required.
+ Performs assigned compliance transaction testing reviews and follows up on corrective action where required.
+ Participates in new product and service development projects to ensure that regulatory compliance requirements are understood and incorporated throughout the product's life cycle.
+ Monitors the compliance mailbox in rotation with other compliance staff to ensure prompt compliance review of employee questions, advertisements and other marketing materials. Researches and provides responses to compliance questions from employees, coordinating with other compliance staff, business unit managers and other subject matter experts as needed.
+ Reviews monthly complaint log to determine if regulatory issues need to be addressed in assigned areas. Researches specific consumer complaints as assigned, providing assistance to compliance management and the executive correspondence department as requested.
+ Assists compliance management in researching and responding to audit and examination findings.
+ Assists with maintaining PenFed's compliance with all applicable federal, state and local laws, regulations and ordinances by abiding by PenFed compliance program and all policies, procedures, rules and regulations.
+ This is not intended to be an all-inclusive list of job duties.
*This role is responsible for ensuring business continuity.*
**Qualifications**
Equivalent combination of education and experience is considered.
+ Bachelor's degree or equivalent combination of education and related work experience is desired.
+ Minimum of 5 years experience at either a financial institution or bank regulatory agency, with a portion of those years spent a compliance capacity. The combined work experience must provide an in-depth knowledge of operational functions and systems, consumer banking regulations and regulator expectations for an effective compliance program.
+ Thorough understanding of credit union products, processes and operating systems. Broad knowledge of one of more of the following operational functions and associated operating systems: consumer lending, mortgage lending, deposits, or payment systems.
+ Credit card compliance experience preferred.
+ Experience using A.I. preferred.
**Supervisory Responsibility**
This position will not supervise employees.
**Licenses and Certifications**
Compliance competency certification such as the America's Credit Union Certified Credit Union Compliance Officer (CUCO) required, or designation must be obtained within 12 months of starting the position.
**Work Environment**
While performing the duties of this job, the employee is regularly exposed to an indoor office setting with moderate noise.
*Most roles require working in an office setting with moderate noise and the ability to lift 25 pounds.*
**Travel**
Ability to travel to various worksites and be on-call may be required.
**Pay Transparency**
The anticipated starting salary range for this role is $60,000.00 - $117,168.00
This position is eligible for an organizational performance based annual bonus, subject to board discretion and approval.
This position is eligible for an individual performance based annual bonus.
\#LI-Hybrid
**Benefits**
At PenFed, we offer a robust benefits package designed to support you both personally and professionally. You'll have access to comprehensive health, dental, and vision plans; paid time off; and family-friendly benefits like paid parental leave, care support, and fitness center access. Financial wellness is encouraged through features like a 401(k) match, employee loan discounts, and fully paid life and disability coverage. We also support growth via education assistance, community involvement, and volunteer opportunities.
**Our Purpose**
Helping members achieve their dreams since 1935. Pentagon Federal Credit Union (PenFed) is one of America's largest federal credit unions, serving 2.8 million members worldwide with $29 billion in assets. PenFed offers market-leading certificates, checking and savings, credit cards, personal loans, mortgages, auto loans, and a wide range of other financial services, always with members' interests in mind. PenFed is federally insured by the NCUA and is an Equal Housing Lender.
Berkshire Hathaway HomeServices PenFed Realty, LLC is a full-service real estate company ready to assist our clients with buying, selling and renting a home. The company is a wholly owned subsidiary of PenFed Credit Union and is the largest independently-owned brokerage in the Berkshire Hathaway HomeServices network, placing us in the top 1% of all real estate brokerages in the country. With almost 60 offices and nearly 2,000 world-class sales professionals, we offer complete service coverage in Virginia, Maryland, the District of Columbia, Delaware, Pennsylvania, West Virginia, Florida, Tennessee, Kansas and Texas. In addition, we also offer specialized client services which include management of vacation properties and long-term rentals, corporate relocation services and national referral network.
**Equal Employment Opportunity**
PenFed management will maintain and observe personnel policies which will not discriminate or permit harassment or retaliation against a person because of race, color, creed, age, sex, gender, gender identity, gender expression, religion, national origin, ancestry, marital status, military or veteran status or obligation, the presence of a physical and/or mental disability or medical condition, genetic information, sexual orientation, and all statuses protected by applicable state or local law in all recruiting, hiring, training, compensation, overtime, position classifications, work assignments, facilities, promotions, transfers, employee treatment, and in all other terms and conditions of employment. PenFed will also prohibit retaliation against individuals for raising a complaint of discrimination or harassment or participating in an investigation of same. PenFed will also reasonably accommodate qualified individuals with a disability so that they can apply for a job or perform the essential functions of a job unless doing so causes a direct threat to these individuals or others in the workplace and the threat cannot be eliminated by reasonable accommodation or if the accommodation creates an undue hardship to PenFed. Contact human resources (HR) with any questions or requests for accommodation at ** ** .

About the Role

Our client, a dynamic and growing financial services firm, is seeking a meticulous Compliance Officer to join their dedicated team in Sacramento, California . This role is essential for ensuring adherence to all applicable laws, regulations, and internal policies. The Compliance Officer will be responsible for developing, implementing, and monitoring compliance programs, conducting internal investigations, and providing guidance on regulatory matters. This is a critical position for safeguarding the company's reputation and operational integrity.

Key Responsibilities

• Develop, implement, and maintain the firm's compliance program.
• Monitor regulatory changes and assess their impact on the firm's operations.
• Conduct periodic compliance reviews and internal audits to ensure adherence to policies and regulations.
• Investigate potential compliance violations, document findings, and recommend corrective actions.
• Prepare and file required regulatory reports.
• Develop and deliver compliance training programs to employees.
• Advise business units on compliance-related issues and provide guidance on new products and services.
• Act as a liaison with regulatory agencies during examinations and inquiries.
• Maintain up-to-date knowledge of relevant laws and regulations, including SEC, FINRA, and state-specific requirements.
• Manage the firm's compliance risk assessment process.

Requirements

• Bachelor's degree in Law, Finance, Business Administration, or a related field.
• Minimum of 4 years of experience in a compliance, legal, or regulatory role within the financial services industry.
• Comprehensive understanding of federal and state securities laws and regulations.
• Experience with compliance program development and implementation.
• Strong analytical, investigative, and problem-solving skills.
• Excellent written and verbal communication skills, with the ability to draft clear and concise policies and reports.
• High ethical standards and integrity.
• Ability to work independently and manage multiple priorities effectively.
• Proficiency in Microsoft Office Suite.
• Relevant certifications such as CRCP or CAMS are a plus.

Benefits

Our client offers a competitive salary and benefits package, including health, dental, and vision insurance, a 401(k) plan with company contributions, and generous paid time off. Opportunities for professional growth and development are encouraged through ongoing training and educational support. The role is based in our vibrant Sacramento, California office, providing a collaborative and professional work environment.

About this opportunity

We are looking for a Compliance Officer to support Group Function Third Party Assessments within Compliance Programs & Operations. You will be part of a dynamic team that is pivotal in maintaining Ericsson’s Ethics and Compliance (E&C) Program and responsible for providing tactical advice to employees globally on anti‑bribery and corruption and fraud prevention.

The Compliance Officer will advise on the programmatic aspects of Ericsson’s Third‑Party Management Program (TPM) acting as a senior subject‑matter expert in due diligence and third‑party risk assessments. This opportunity will allow you to continue to develop and apply essential compliance skills and advance subject‑matter expertise in anti‑bribery and corruption, fraud prevention and ethics. You will collaborate with the Market Area and Group Compliance teams, Sourcing Compliance, Sourcing and Sales teams, to mitigate third‑party risks. This opportunity requires a senior compliance professional and due diligence expert with strong communication and analytical skills, who is excited about TPM. The role reports to the Head of Third Party Assessments, GFLA Compliance Programs & Operations.

Location

The applicants can apply globally. The preferred location is EMEA countries.

What you will do

• Support Ericsson’s Third‑Party Management program;
• Independently lead due diligence activities on third parties including reviewing due diligence assessments, identifying red flags, proposing mitigation measures, drafting of related reports. Perform third‑party compliance risk assessments and ongoing monitoring;
• Support Business Partner Review Boards (BPRBs) at Group and/or Market level as assigned. Present reports to Business Partner Review Boards or to Heads of Market Area Compliance. Act as an assigned liaison when appointed as needed;
• Manage internal stakeholders (e.g. management, compliance network) and external partners (e.g. third parties under review) in relation to compliance demands. Lead and handle external providers (external counsel and due diligence providers) as appropriate. Coordinate with, and respond to feedback from, multiple partners involved in TPM process;
• Collect and assess due diligence material including questionnaires, online research, and external reports. Conduct interviews with Global Fortune 500 counterparty organizations as part of compliance verification. Attend and contribute to onsite third‑party audits as needed;
• Draft compliance‑related reports as required by the Head of Third Party Assessments;
• Contribute to the development of risk mitigation strategies and to the strengthening the internal control system;
• Ensure accurate documentation of risk assessments and related risk‑mitigation plans and implementation;
• Conduct transaction monitoring and testing as directed, including the review of transactional documentation;
• Maintain a sound understanding of the global and local business activities, applicable laws, and regulations. Conduct training on TPM process and third‑party risks. Provide regular updates to leadership teams, the compliance organization, and others, as needed, regarding third‑party issues;
• Carry out other activities as assigned by the Head of Third Party Assessments.

You will bring

• High level of integrity with character consistent with Ericsson values of respect, professionalism, and perseverance; must be empathetic and willing to listen;
• University degree suitable for compliance role;
• Working experience 7+ years in compliance, legal or other relevant field (audit, consulting, corporate intelligence); Working experience in compliance area, at least 3 years of anti‑bribery and corruption compliance or addressing compliance topics;
• Experience at a recognized international third‑party due diligence service provider is an advantage;
• Experience in drafting risk assessment and compliance reports;
• Good business knowledge/understanding and ability to analyze and distill compliance data;
• Experience with a monitorship is preferrable;
• International experience and cultural awareness;
• Strong project management and organizational skills and capability to handle shifting priorities and multiple projects at one time;
• Excellent communication skills (including the ability to handle executive level internal and external contacts);
• Independent, goal‑oriented and systematic way of working;
• Proficient in English, second language desirable (Arabic, French).

Join our Team

At Ericsson, you’ll have an outstanding opportunity. The chance to use your skills and imagination to push the boundaries of what’s possible. To build solutions never seen before to some of the world’s toughest problems. You’ll be challenged, but you won’t be alone. You’ll be joining a team of diverse innovators, all driven to go beyond the status quo to craft what comes next.

What happens once you apply? Click Here to find all you need to know about what our typical hiring process looks like.

Encouraging a diverse and inclusive organization is core to our values at Ericsson, that’s why we champion it in everything we do. We truly believe that by collaborating with people with different experiences we drive innovation, which is essential for our future growth. We encourage people from all backgrounds to apply and realize their full potential as part of our Ericsson team. Ericsson is proud to be an Equal Opportunity Employer. learn more.

Primary country and city: Lebanon (LB) | Beirut

Req ID:

#J-18808-Ljbffr

Trade Compliance Officer
Location
New York
Business Area
Legal, Compliance, and Risk
Ref #

**Description & Requirements**
Title: Compliance Officer - Americas Trade Compliance
Location: New York Business Area: Legal, Compliance, and Risk
Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world. We move quickly and thoughtfully to help address a variety of complex legal issues that arise across the Company's various businesses. Our team is made up of talented and hardworking professionals who think creatively and work collaboratively in an open environment to deliver results, drive innovation, and solve difficult problems. We also recognize the value of diversity and inclusion in cultivating a supportive workplace and the importance of giving back to our communities as evidenced by our award-winning pro bono program.
The global Sanctions and Trade Compliance team within Bloomberg's Legal, Compliance & Risk Department provides screening and coverage for Bloomberg's businesses. We work to address regulatory issues, ensure compliance with evolving sanctions and trade compliance rules and regulations, support compliant business activities, and interact with regulatory authorities.
What's The Role?
We are seeking an Americas Trade Compliance Officer to execute core export control and import compliance activities across hardware, software, technology, and customer-facing products. This position focuses on classification, restricted party controls, customer diligence, software access controls, and compliance program governance development. The role plays a critical part in closing identified compliance gaps, operationalizing government regulatory requirements, and supporting a scalable, defensible trade compliance program.
We'll Trust You To:
- Manage and support regional trade compliance activities, including:
o Conduct Export Control Classification Number (ECCN) (particularly with a focus on software, technology, and related items), and Harmonized Tariff Schedule (HTS) determinations
o Ensure appropriate usage of import/export authorizations, licenses, and permits assist with customs and export formalities and record retention.
o Support regional import and export transactions in compliance with applicable laws and regulations
- Partner with Engineering, Product, Chief Technology Office (CTO), Chief Information Security Office (CISO), and other relevant technical teams to ensure accurate export classifications of products and solutions and implement controls to restrict access for prohibited or export-restricted parties
- Perform and document export-restricted party reviews, including compiling detailed diligence rationales and maintaining a centralized tracker of associated control requirements
- Support development and maintenance of software and technology classification inventories, and implementation of processes to ensure Trade Compliance is included in software development lifecycle
- Identify operational improvement initiatives, with a focus on globally consistent processes, standards, and systems that support a high-performing trade compliance program
- Monitor changes in international trade regulations and assess potential impacts across the Americas region
- Communicate import, export, product conformity, ESG, and related compliance requirements to key internal stakeholders in a clear and actionable manner
- Apply a risk-based approach to develop, enhance, and document Trade Compliance policies, procedures, and internal controls
- Lead and /or support regional deployment of global trade compliance processes and controls
- Partner with regional and local teams (e.g., Supply Chain, Legal, Engineering, Facilities, Networks) to seamlessly integrate trade compliance into broader business operations
You'll Need To Have:
- Bachelor's or equivalent degree
- 7+ years direct trade compliance / supply chain experience
- Strong knowledge of trade compliance laws and regulations, with a specific focus on United States and LATAM export control and import/customs requirements
- Experience working with software, technology, or data-driven products and at organizations in the IT/technology industry
- Demonstrated experience conducting ECCN classifications for software and technology with cryptographic functionality under the EAR or other export control regime
- Knowledge of supply chain concepts, practices, and models
- Strong documentation, analytical, and organizational skills; comfortable managing detailed trackers and records
- Ability to operate independently, exercise sound judgment, and translate regulatory requirements into practical controls
We'd Love To See:
- Master's or equivalent degree
- Licensed Customs Broker, or other Trade Compliance related professional certifications
- Working knowledge of SAP Global Trade Solutions (GTS)
- Demonstrated innovation in the use of technology to enable enhancements and efficiencies in Trade Compliance and related programs (Logistics, Planning, etc.)
Salary Range = 180,000 - 215,000 USD Annual + Benefits + Bonus
The referenced salary range is based on the Company's good faith belief at the time of posting. Actual compensation may vary based on factors such as geographic location, work experience, market conditions, education/training and skill level.
We offer one of the most comprehensive and generous benefits plans available and offer a range of total rewards that may include merit increases, incentive compensation (exempt roles only), paid holidays, paid time off, medical, dental, vision, short and long term disability benefits, 401(k) +match, life insurance, and various wellness programs, among others. The Company does not provide benefits directly to contingent workers/contractors and interns.
Discover what makes Bloomberg unique - watch our for an inside look at our culture, values, and the people behind our success.
Bloomberg is an equal opportunity employer and we value diversity at our company. We do not discriminate on the basis of age, ancestry, color, gender identity or expression, genetic predisposition or carrier status, marital status, national or ethnic origin, race, religion or belief, sex, sexual orientation, sexual and other reproductive health decisions, parental or caring status, physical or mental disability, pregnancy or parental leave, protected veteran status, status as a victim of domestic violence, or any other classification protected by applicable law.
Bloomberg is a disability inclusive employer. Please let us know if you require any reasonable adjustments to be made for the recruitment process. If you would prefer to discuss this confidentially, please email