131 Compliance Specialist jobs in Addison

Job Description

Title: Compliance Specialist (on W2)

Location: Chicago, IL - hybrid - 3 days onsite per week (local candidates only)

Qualifications (must-haves):

• 10+ years of functional and technical analysis experience
• Experience with financial risk stripes (credit risk, market risk, model risk) and regulatory reporting (SCCL, RWA, FRTB)
• Experience with data platforms such as Oracle, SQL Server, and Snowflake
• Experience in agile methodologies, writing user stories, and working with ADO for backlog management

Nice to have:

• Experience with BCBS239 or RDARR requirements
• FRM I, II certification or equivalent advanced studies

Daily Tasks & Responsibilities:

• Work with product owners and business stakeholders to translate business requirements into functional requirements
• Draft and refine user stories, acceptance criteria, and process flows in agile sprints
• Perform data analysis and map data elements to the financial risk data model

Dexian is a leading provider of staffing, IT, and workforce solutions with over 12,000 employees and 70 locations worldwide. As one of the largest IT staffing companies and the 2nd largest minority-owned staffing company in the U.S., Dexian was formed in 2023 through the merger of DISYS and Signature Consultants. Combining the best elements of its core companies, Dexian's platform connects talent, technology, and organizations to produce game-changing results that help everyone achieve their ambitions and goals.

Dexian's brands include Dexian DISYS, Dexian Signature Consultants, Dexian Government Solutions, Dexian Talent Development, and Dexian IT Solutions. Visit to learn more.

Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.

PROENERGY is a global and vertically integrated energy transition platform. Focused exclusively on fast-start, dispatchable power, our company supports both energy security and renewable growth with complete turbine services, project development, equipment manufacturing, turnkey generation facilities, operations, and maintenance.

Our Footprint

We are primed for the energy transition with permanent service locations in Missouri, Texas, and Argentina. Our world-class Missouri headquarters is purpose-built to meet dispatchable power needs. It sits on 90 acres in Sedalia and features more than 600,000 sq. ft of service capacity under roof, which includes the only independent Level-IV aeroderivative depot and string-test facility in the world. Our Houston, Texas, office is a strategic satellite positioned near our own dispatchable power installations.

Our Philosophy

We take care of our people and strive to make a positive difference for the world. We offer competitive pay, excellent benefits that include Medical, Dental, Vision, and Life/Disability Insurance at minimal cost to the employee, 10 paid holidays, paid time off, and a 401K plan. If you are looking for a rewarding career and possess specialized knowledge and quality-oriented problem-solving skills, we encourage you to apply today.

Position Summary

The Compliance Specialist provides essential administrative and professional support to the compliance team, helping the team delivers its external regulatory and internal compliance requirements. This role reports to the Chief Compliance Officer and involves accessing compliance reporting platforms, maintaining critical and confidential records, assisting with compliance policies, internal audits, and supporting compliance training and reporting activities.

Position Responsibilities

• Provide day-to-day administrative support to the Chief Compliance Officer and the compliance team.
• Administratively manage and monitor various compliance databases, calendars, workflows, and internal and external reporting tools.
• Collect and organize documentation and regulatory submissions required for compliance tracking and reporting.
• Support the compliance team in reviewing and updating compliance policies and procedures.
• Coordinate compliance training sessions, including scheduling, distributing material, and tracking attendance.
• Handle correspondence, emails, and inquiries related to compliance matters.
• Coordinate with internal departments to collect and disseminate information required for compliance and sustainability program purposes.
• Act as a liaison between the compliance team and other departments as needed.
• Communicate with consultants and contractors on POs, invoices, and work product compilation.
• Support the Compliance team improvement initiatives.
• Manage confidential compliance and business files and documentation.
• Other administrative duties as assigned.

• Bachelors degree in business administration or any related field.
• 3-10 years of administrative or professional experience, ideally in compliance or in a regulatory environment.
• Excellent written and verbal communication and interpersonal skills.
• Strong organizational skills with strong attention to detail.
• Ability to work with a heightened sense of urgency, manage multiple tasks, and meet critical deadlines.
• High level of integrity and ability to handle sensitive information confidentially.
• Proficiency in office software, including Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
• US work authorization is a precondition of employment. The company will not consider candidates who require sponsorship for a work-authorized visa.
• Successful candidate will need to satisfactorily complete pre-employment drug screen and background check

This position is office-based in Houston and requires minimal travel. Occasional remote working may be agreed upon on an as-needed basis, subject to the supervisors approval.

It is PROENERGYs policy to provide equal opportunity in employment to all its employees and applicants for employment without regard to race, color, religion, sex, pregnancy, age, disability, national origin, marital status, ancestry, medical condition, military status, or any other characteristic protected by State or Federal law.

Join to apply for the Compliance Specialist role at Prosper

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Join to apply for the Compliance Specialist role at Prosper

We are seeking a Compliance Specialist to assist the companys compliance department in administering its regulatory compliance program. The role will report directly to the Compliance Manager for the Personal Loan Compliance Program, but also support the maintenance of the other Compliance Programs as needed.

Problems You Will Solve

• Utilize extensive knowledge of consumer lending compliance laws to support the management and execution of the compliance program and ensure ongoing compliance with applicable laws, regulations, and best practices.
• Handle both proactive and reactive needs arising from identified issues, changing regulatory environments and potential emerging risks.
• Support the compliance testing and monitoring function and work with business lines to prepare remediation plans of identified issues.
• Support the marketing compliance reviews for the personal loan, credit card and home equity suite of products.
• Support the compliance third party oversight program.
• Assist with the review of training materials to ensure compliance with consumer finance laws.
• Support partner relationships, including working directly with Prospers bank partners to facilitate review and approval of company policies.
• Assist in internal and external audit responses, investigations, and validations.
  
  

• Bachelors degree preferred
• 3+ years experience in regulatory compliance for a financial services company, FinTech company, or government agency
• Demonstrated knowledge of federal financial statutes and regulations (e.g. TILA and Reg. Z, ECOA and Reg. B, UDAAP, Dodd-Frank, SCRA, MLA, FCRA, BSA, FDCPA, etc.)
• Solid interpersonal skills and ability to effectively communicate findings, identified issues and remediation plans
• Ability to work independently and identify and focus on critical issues
• Ability to operate in a fast-paced environment with flexibility to prioritize, balance, and respond to competing needs within the organization
• Must be highly organized, detail-oriented, and service-oriented
• Basic SQL understanding a strong plus
  
  

• The opportunity to collaborate with a team of creative, fun, and driven colleagues on products that have an immediate and significant impact on people's lives
• The opportunity to work in a fast-paced environment with experienced industry leaders
• Flexible time off, comprehensive health coverage, competitive salary, paid parental leave, and other wellness benefits
• A bevy of other perks including Udemy access, childcare assistance, pet insurance discounts, legal assistance, and additional discounts through Perkspot
  
  

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Finance and Sales
• Industries Hospitals and Health Care, Non-profit Organizations, and Government Administration

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• Deploy to individual teams/sites as needed to conduct targeted investigations, ensure follow-up on compliance-related tasks, or to serve as a subject matter expert on compliance issues. Create back-and-forth communication about high-risk processes and improvement opportunities. Help the Director maintain a living inventory of compliance risks.
• Serve as the Director's primary partner in the preparation, execution, and follow-up for accreditation and certification surveys/audits. Keep on top of new standards and regulations, prioritizing them by risk to the company.
• Manage the client feedback program under supervision of the Director. Conduct initial investigations into client complaints/grievances and help leadership staff navigate the complaint escalation process within our PHP reporting software.
• Serve as a liaison with OIG and mandated reporting agencies. Coordinate investigations, interviews, and document submissions under supervision of Director. Assist Director in compliance investigations and follow-up activity for other regulators.
• Participate in projects to improve compliance with policies, procedures, regulations, etc. Help staff to close the gaps that you identify. Practice improvement science and change management skills.
• Review client health records and clinical documentation (utilization reviews, clinical note reviews, residential reviews, SUPR reviews, employment service reviews, etc.) pertaining to state regulations, including assessing the quality of clinical documentation, level of care, and overall level of services; i.e. Rule 140, Rule 132, and Rule 2060 through internal quarterly audits. Collect and analyze data to make recommended process improvements and identify training needs.
• Compile statistical data and produce narrative reports summarizing compliance findings. Assist the clinical leadership team in identifying trends in documentation. Provide meaningful feedback about quality improvement activity and possibilities to all stakeholders.
• Coordinate with and educate employees regarding documenting medical necessity for services being requested for authorization, by partnering with clinicians to ensure documentation is timely and supports the services identified.
• Acts as a resource to other departments regarding utilization management matters, coverage guidelines, and assisting as needed with clinical or claims issues.
• Support the Quality Team with completion of medication audits, mortality reviews, visits to clinical or administrative teams, site visits, targeted investigations, change management tasks, and internal communication.
• Participate in meetings, committees, and work groups as needed.
• Perform other related duties and/or projects as assigned.

• Bachelor's degree in Social Work, Psychology, Counseling, or health related field required, Master's degree preferred.
• Licensed Clinical Professional Counselor or Licensed Clinical Social Worker in Illinois preferred.
• Minimum two years' experience in a healthcare, social services, or non-profit setting, preferably in a compliance role
• Ability to spend minimum 2 days per week on site, with availability for more on site days as work duties require.
• Experience in reviewing health care services for medical necessity in a clinical setting or in a utilization management role or similar activities preferred.
• Knowledge and understanding of medical necessity, Rules 132, 140, 115, 2060 preferred
• Knowledge of change management skills is preferred
• Excellent interpersonal, organizational and oral/written communication skills, and ability to engage with stakeholders at all levels.
• Superior ability to collaborate and interact with other programs/departments
• Experience with developing workflows and/or processes highly preferred
• Maintenance of confidentiality and adherence to HIPAA regulations
• Detail oriented and ability to complete projects with strict deadlines
• Advanced computer skills in Microsoft Office applications, and ability to learn new computer systems

• FREE Virtual Primary Care, Urgent Care, and Mental Health Counseling for ALL Employees
• PAID Maternity/Paternity leave
• Medical Insurance (BCBS of IL)
• Dental Insurance
• Vision Insurance
• Life Insurance
• Long-Term & Short-Term Disability
• Pet Insurance
• FSA (Health, Dependent Care, Transit)
• Telemedicine
• EAP
• 403(b) Retirement Plan with Employer Match

Performs administrative and compliance support activities under general supervision to ensure adherence to the Authority's Disadvantaged Business Enterprise (DBE) and Small Business Enterprise (SBE) programs. Supports the contract compliance process through data management, report preparation, and vendor coordination.

Provides administrative support for contract compliance activities including scheduling, document preparation, vendor list management, and database updates. Supports Coordinators and Senior Coordinators as needed. Assists with contract-specific goal setting and evaluation processes. Conducts site visits to construction projects to verify compliance with contract and DBE/SBE requirements and applicable regulations. Supports the creation of DBE statistical reports and documentation required by the FTA and Authority. Participates in outreach activities to help grow the DBE/SBE vendor pool. Performs related duties as assigned.

Interpreting and applying evolving federal compliance regulations. Promoting understanding of DBE/SBE program requirements to vendors.

Foundational knowledge of federal, state, and local DBE/SBE program regulations. Understanding of contract and vendor administration processes. Intermediate Microsoft 365 skills; experience with B2GNow preferred. Strong communication, organization, and customer service skills. Ability to manage sensitive information with discretion and confidentiality.

General office environment. Occasionally required to travel to field locations within the Chicago Metropolitan Area. Requires remaining in a stationary position for extended periods and constant use of office equipment.

Personal computer and related software (Word, Excel, Power BI, PowerPoint, Outlook, SharePoint). Compliance software (B2GNow). Standard office equipment.

$70,000 - 80,000 /Yr.
Schedule: Monday - Friday; 8:00 am - 4:30 pm
Location: Rogers Park
Hybrid Schedule: 3 days in-office; 2 days remote

Compliance is the shield that protects Trilogy staff and clients as we walk the road to Recovery together. The Compliance Specialist is responsible for project implementation duties for compliance related projects. This staff will provide support during accreditation survey preparation and follow-up activity and will be the go-to staff deployed to address compliance-related issues with clinical teams. This staff will serve as an investigator/coordinator for external and mandated reports, including to OIG. This specialist will manage the client feedback program, including investigations of complaints and grievances, and will conduct education and training for compliance-related issues including ethical behavior and code of conduct.

The Compliance Specialist is also responsible for monitoring and improving clinical record compliance in accordance with federal, state, local, certifying, and licensing guidelines. They will execute internal audits, present trending and summary reports regarding their findings, and make recommendations regarding improvements to processes or results. The Compliance Specialist must demonstrate an aptitude for data management and information systems, and a well-rounded clinical knowledge base.

Responsibilities

Quality Improvement

• Deploy to individual teams/sites as needed to conduct targeted investigations, ensure follow-up on compliance-related tasks, or to serve as a subject matter expert on compliance issues. Create back-and-forth communication about high-risk processes and improvement opportunities. Help the Director maintain a living inventory of compliance risks.
• Serve as the Director’s primary partner in the preparation, execution, and follow-up for accreditation and certification surveys/audits. Keep on top of new standards and regulations, prioritizing them by risk to the company.
• Manage the client feedback program under supervision of the Director. Conduct initial investigations into client complaints/grievances and help leadership staff navigate the complaint escalation process within our PHP reporting software.
• Serve as a liaison with OIG and mandated reporting agencies. Coordinate investigations, interviews, and document submissions under supervision of Director. Assist Director in compliance investigations and follow-up activity for other regulators.
• Participate in projects to improve compliance with policies, procedures, regulations, etc. Help staff to close the gaps that you identify. Practice improvement science and change management skills.
• Review client health records and clinical documentation (utilization reviews, clinical note reviews, residential reviews, SUPR reviews, employment service reviews, etc.) pertaining to state regulations, including assessing the quality of clinical documentation, level of care, and overall level of services; i.e. Rule 140, Rule 132, and Rule 2060 through internal quarterly audits. Collect and analyze data to make recommended process improvements and identify training needs.
• Compile statistical data and produce narrative reports summarizing compliance findings. Assist the clinical leadership team in identifying trends in documentation. Provide meaningful feedback about quality improvement activity and possibilities to all stakeholders.
• Coordinate with and educate employees regarding documenting medical necessity for services being requested for authorization, by partnering with clinicians to ensure documentation is timely and supports the services identified.
• Acts as a resource to other departments regarding utilization management matters, coverage guidelines, and assisting as needed with clinical or claims issues.
• Support the Quality Team with completion of medication audits, mortality reviews, visits to clinical or administrative teams, site visits, targeted investigations, change management tasks, and internal communication.
• Participate in meetings, committees, and work groups as needed.
• Perform other related duties and/or projects as assigned.

Qualifications

• Bachelor’s degree in Social Work, Psychology, Counseling, or health related field required, Master’s degree preferred.
• Licensed Clinical Professional Counselor or Licensed Clinical Social Worker in Illinois preferred.
• Minimum two years’ experience in a healthcare, social services, or non-profit setting, preferably in a compliance role
• Ability to spend minimum 2 days per week on site, with availability for more on site days as work duties require.
• Experience in reviewing health care services for medical necessity in a clinical setting or in a utilization management role or similar activities preferred.
• Knowledge and understanding of medical necessity, Rules 132, 140, 115, 2060 preferred
• Knowledge of change management skills is preferred
• Excellent interpersonal, organizational and oral/written communication skills, and ability to engage with stakeholders at all levels.
• Superior ability to collaborate and interact with other programs/departments
• Experience with developing workflows and/or processes highly preferred
• Maintenance of confidentiality and adherence to HIPAA regulations
• Detail oriented and ability to complete projects with strict deadlines
• Advanced computer skills in Microsoft Office applications, and ability to learn new computer systems

Benefits:  

• FREE Virtual Primary Care, Urgent Care, and Mental Health Counseling for ALL Employees
• PAID Maternity/Paternity leave
• Medical Insurance (BCBS of IL)
• Dental Insurance
• Vision Insurance
• Life Insurance
• Long-Term & Short-Term Disability
• Pet Insurance
• FSA (Health, Dependent Care, Transit)
• Telemedicine
• EAP
• 403(b) Retirement Plan with Employer Match

Equal Opportunity Employer
This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

The Compliance Officer role at IMC is responsible for ensuring the organization complies with all applicable laws, regulations, and internal policies for trading US financial products across IMC's US operations. The role requires a specialized understanding of US regulatory frameworks regarding Delta1 products. This role will report directly to IMC's US Chief Compliance Officer. The role offers considerable growth and opportunity for responsibility expansion within the Compliance team.

Your Core Responsibilities:

• Partner with Compliance team to drive IMC's regulatory vision and compliance efforts.
• Promote the Firm's Compliance culture, awareness of regulatory requirements, and best practices.
• Act as the primary liaison between US Compliance team and the Firm.
• Monitor trading activity using the Firm's in-house surveillance systems.
• Maintain detailed, accurate, and organized documentation of the execution of the Firm's processes and procedures.
• Assist in investigating compliance issues, responding to requests for information, audits, and regulatory exams, including trade data review and analysis.
• Assist in onboarding new personnel and managing various SRO registration processes.
• Provide specialized training for employees on US regulatory standards.
• Develop, implement, and update compliance policies and procedures designed to address US regulatory requirements.
• Advise trading and technology personnel on potential US compliance risks.
• Monitor for and assess new or proposed changes in US regulations and enforcement actions.
• Collaborate with compliance teams in other regions where applicable.

• Bachelor's degree; Advanced degree preferred.
• Proven experience (5+ years) in US regulatory compliance, with experience working at a proprietary trading firm or market maker strongly preferred.
• FINRA Series License SIE and 57 will be required within 1 year of employment; Any FINRA Licenses are a plus.
• Strong interpersonal, organizational, problem-solving, and time-management skills.
• Sophisticated analytical skills and ability to interpret complex regulatory frameworks.
• High level of integrity and discretion when handling sensitive and confidential information.
• US financial industry business knowledge and interest in the US regulatory environment.
• Excellent written and verbal communication skills and ability to convey complex ideas or concepts clearly.
• Strong attention to detail; Eager to learn, ask questions, and admit mistakes.
• Familiarity with SEC, CFTC, and other regulations applicable to broker-dealers. e., RegSHO, RegNMS
• Familiarity with regulatory reporting including Trace, CAT, TRF, or other regulatory audit trails.
• Experience with meeting business requirements for regulatory requests, audits, examinations, and investigations.
• Proactive and reliable, with the ability to work independently as well as with others in a small team.

• Provides independent support and engages Deans, Program Directors, and faculty in accreditation and compliance activities associated with maintaining a college's regional accreditation, and obtaining and maintaining specialized accreditation and state licensure for new and existing academic and career programs.
• Advises and guides reaccreditation committee members on procedural requirements, evaluation processes, and required materials in preparation for a college's scheduled comprehensive evaluation and on-site visit by the Higher Learning Commission (HLC).
• Reviews and suggests edits to a variety of reports including program self-studies, institutional updates, Quality Initiative proposal and report, and specialized accreditation reports for content and clarity and to assure alignment and compliance with the accrediting agency's standards and expectations.
• Maintains the HLC's Assurance System, uploading and linking evidentiary materials to Assurance Arguments prepared by the college's stakeholders demonstrating compliance with the Commission's criteria for accreditation and federal compliance requirements.
• Accountable for ensuring Program Directors and program faculty remain engaged and on schedule for completing activities necessary for obtaining and maintaining regional and specialized accreditation and state licensure for academic and career programs.
• Maintains communications with regional and specialized accreditors and State regulatory agencies to remain abreast of new or revised standards, processes or requirements and to communicate information to key stakeholders.
• Assists in maintaining an overall master calendar schedule to track regional accreditation and specialized accredited program due dates for self-studies, site-visits, follow-up compliance reports, and additional implementation follow-up activities
• Maintains an accurate and up to date inventory of a college's programs (i.e. nursing, allied health, child development) with specialized accreditation and state licensure.
• Monitors and ensures the currency of information on the accreditation and state licensure status of programs on the District's and college websites.
• Works closely with Program Directors and college administrators in preparing for focus and site visits, including conducting mock site visits and reviewing documents and presentation of evidence and data demonstrating compliance with standards.
• Leads work efforts to identify, compile, and analyze data relating to program and student learning outcomes assessment for inclusion in compliance reporting.
• Ensures adherence to HLC policies on institutional changes including new programs, preparing required applications, notifications, and support documentation in compliance with established procedures.
• During site visits serves as liaison to visitation teams, assisting in compiling informational materials and requested reports, providing logistical support, coordinating and planning schedules, and assisting with travel and hotel arrangements.
• Notifies college's Financial Aid Office of HLC's approval of new academic programs and ensures submission of program application to the Department of Education (DOE).

• A Bachelor's degree from an accredited college or university
• Master's degree or a Juris Doctor from an American Bar Association (ABA) accredited law school preferred.
• Three years of work experience in higher education in and administrator or faculty role OR in a professional, non-academic organization in the areas of accreditation and compliance, regulatory compliance, quality assurance, certification and/or licensing of programs.
• Demonstrated project leadership skills.
• Familiarity with regional accreditation standards for colleges, as well as specialized accreditation standards for various career fields, including the health sciences is highly desirable.
• Familiarity with state and federal regulations and standards concerning post-secondary institutions highly desirable.
• A combination of education and experience may be taken into consideration based on the applicant's credentials.
• Proficiency in the use of Microsoft Suite (Word, Excel, PowerPoint).

• Knowledge and understanding of higher education accreditation and program review practices
• Knowledge of the Higher Learning Commission's regional accreditation processes and compliance requirements
• Some knowledge of quantitative and qualitative research methods
• Excellent interpersonal and verbal communication skills
• Excellent writing and presentation skills
• Strong administrative and organizational skills
• Ability to move an agenda/plan of action without direct authority over stakeholders
• Ability to work within a culturally diverse environment
• Ability to work independently and collaboratively