603 Environmental Regulations jobs in the United States
Compliance Officer
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First State Bank – Job Description Job Title: Compliance Officer Status Exempt Department: Compliance Reports To: Compliance Primary Purpose of the JOB: The Compliance Officer position is designated by the Board of Directors and oversees the Compliance department. Responsible for establishing and maintaining a Bank-wide compliance program and compliance training for all Bank employees. Works closely with Bank counsel, other departments, compliance consultants, auditors, and examiners in fulfilling the above responsibilities. Provides necessary supervision and review of policy and procedure development, compliance audit procedures, and consumer complaint responses. Essential DUTIES: · Create a compliance program and continually maintain it · Keep BOD, Management and other Bank personnel informed of the implementation of new regulations or changes to existing regulations · Formulate and update risk assessments and Bank policies and procedures to maintain compliance with applicable statutes, regulations, and interpretations · Investigate and respond to complaints submitted by consumers through regulatory agencies · Prepare for regulatory examinations, function as liaison with regulators, and ensure an adequate corrective action process · Develop and maintain current compliance audit programs – writing new compliance audit programs and updating existing audit programs as regulatory changes or requirements occur · Assist the Bank and Management in understanding and addressing all applicable laws and regulations. Develops and maintains corporate compliance policies and establishes compliance review procedures. Review audits and findings of Specialist and exams. Respond to any deficiencies in controls, duplication of effort, timeliness of response to compliance issue or lack of compliance with laws, government regulations, and management policies or procedures. Report actual or possible violations to the Board of Directors, Audit Committee, Senior Management as necessary. Collaborate cross-functionally with departments to assess new products and initiatives, ensuring adherence to regulations. Review and approve Advertising/Marketing and Bank disclosures for compliance with Advertising regulations. Attend compliance training/sessions to increase knowledge in compliance requirements and changes. Create and maintain a courteous and professional relationship with co-workers while maintaining timely and prompt daily attendance Some of these duties and responsibilities can be delegated to other personnel. For example, Loan Review is responsible for ensuring that all loan documentation is in compliance with the various consumer laws and regulations. The Compliance Officer is then responsible for the periodic monitoring of that area to ensure compliance. Other DUTIES: Other duties as assigned Required Experience/SKILLS: Excellent oral and written communication skills Familiar with all areas of Banking Prior management experience Prior compliance auditing experience Five to eight years related job experience Ability to handle various tasks simultaneously Attention to detail and confident ability to make prompt decisions Required EDUCATION: Continued professional development and training in banking, auditing skills and compliance regulation Bachelor’s Degree, CRCM or equivalent specialized degree/job experience Working CONDITIONS: Office environment with little exposure to physical hazards or conditions Ability to enter data into a computer and work with computer programs WHAT CAN WE OFFER YOU: Working with an energetic team focused on making our customers financially successful! An opportunity to grow your career and do amazing things! Collaborative and energetic work environment Incentive program based on performance Paid Time Off (PTO) and Paid Holidays for Full Time/Part Time Employees Paid time to support your community! Health, Dental, Vision (Full Time Employees) 401K match and Life Insurance (Full Time/Part Time Employees) Educational Assistance Program (Full Time/Part Time Employees) Employee Assistance Program Authority The Compliance Officer shall have access to all departments and documentation that may be necessary to fulfill his or her responsibilities. The Compliance Officer shall have the authority to implement corrective action upon discovering possible or actual violations. Any actions are subject to approval of the Compliance Committee (as applicable) and/or the Board of Directors. Employees are expected to comply with all laws, regulations, bank policies and procedures, including specifically First State Bank’s Bank Secrecy Act and Anti-Money Laundering Policy and procedures, and its Customer Identification Program. Failure to comply with either the letter and/or spirit of these laws may result in disciplinary action, up to an including termination. This job description does not list all the duties of the job. Supervisors or managers may ask you to perform other instructions and duties. You will be evaluated in part based on your performance of the tasks listed in this job description. Management has the right to revise this job description at any time. The job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.
Compliance Officer
Posted today
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Ensures compliance to required Internal Controls, Tribal, Federal, and State Gaming Laws and regulations. Conduct gaming machine audits, compliance audits, and investigations as assigned. Compliance Officers are responsible for gaming machine compliance and the testing of all software and components. During the course of the duties assigned, Compliance Officers shall be able to apply interviewing and report writing techniques and proper interpretation and application of internal controls, ordinances, laws, and regulations.
Skills and Abilities
To perform this job, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skills, and/or ability required:
- Effective written and verbal communication skills.
- Self-motivated and capable of sound judgment.
- Willing to learn all aspects of gaming activity.
- Learn and understand the regulatory functions of the Commission and the purpose of regulating.
- Ability to understand, follow and explain regulations and policy pertaining to investigations and compliance.
- Ability to participate in gaming related seminars and/or workshops.
- Ability to handle confidential information and material.
- Able to work independently.
- Able to organize workload in order to meet deadlines - time management.
- Able to stand and walk for long periods of time.
- Working knowledge of Microsoft Office.
- Ability to be a team player.
- Ability to adapt in a fast moving and multi-faceted work environment.
Responsible for carrying out the duties and responsibilities as assigned (The following is used as a partial description and is not restrictive as to duties required.)
- Apply knowledge of gaming operations in relationship to, policies and procedures and applicable laws, regulations, and controls.
- Communicate with casino personnel, vendors, government agencies, other gaming commissions, casinos, and industry bodies.
- Conduct testing of gaming device control programmed storage media for verification of validity and authorized programming; responsible for ensuring gaming machine standards compliance.
- Inspects all gaming equipment and supplies for integrity and compliance.
- Conduct investigations, interviews, reporting deficiencies, and violations.
- Perform follow up investigations, when necessary, to ensure adherence to established regulations.
- Apply investigation, mathematical concepts, including probability, fractions, percentages ratios, etc.;
- General knowledge of or ability to learn basic investigative concepts and principles.
- Learn and apply basic financial, accounting, and business concepts and practices.
- Organize work assignments and maintain work files.
- Maintain professional working relationships with casino employee, co-workers, and outside agencies.
- Collect, analyze, consolidate, summarize, and communicate verbally and in written information obtain through the investigative process.
- Ability to draw conclusions from the information obtained through the investigative process; and
- Any other duties as assigned.
None
Minimum Requirements
- Ability to work anytime including evening, weekends and holidays.
- Must be at least 21 years of age.
- Successfully complete/ pass pre-employment drug screening and Background Clearance.
- Meet and maintain licensing standards/guidelines to qualify for a key gaming license; and
- Possession of a current California Drivers' License or California Identification.
Education/Experience
Preferable: A.S. or A.A Degree: High School diploma or G.E.D. from an accredited institution, and two (2) years of law enforcement, regulatory, auditing or investigating experience or training or an equivalent combination of education and experience.
Physical Demands
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions. While performing the duties of this job, the employee is required to speak and listen. The employee frequently is required to stand and walk. The employee is occasionally required to sit; use hands and fingers to feel objects, tools or controls, which will require the ability to reach out with upper appendages. The employee must occasionally lift and/or move up to 10 pounds. Specific vision abilities required by this job include ability to adjust focus.
Working Conditions
Commission employees are expected to work some days and hours outside the normal workweek. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly exposed to secondhand smoke. The employee will occasionally work near electronic gaming equipment. The noise level in the work environment is usually moderate.
An Equal Opportunity Employer
Native American preferable and an Equal Opportunity Employer 25 U.S.C.S. 472 et. Seg.
Note
This description incorporates the most typical duties performed. It is recognized that other duties not specifically mentioned may also be performed. The inclusion of these duties would not alter the overall evaluation of this position
Compliance Officer
Posted today
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Are you a detail-oriented, organized professional with a passion for healthcare compliance and making a real impact in the lives of others? We're looking for a Compliance Officer to help ensure the highest standards of regulatory compliance and quality care for our PACE North participants.
Why Join Us?
At PACE North, we are committed to providing quality care and services to our participants. We take pride in our collaborative team environment where your expertise will be valued, and your skills will help shape the future of healthcare compliance. This is your chance to bring your knowledge and experience to a team dedicated to positive outcomes for our most vulnerable population.
Key Responsibilities:
- Lead and Manage Compliance Programs: Develop, implement, and oversee the day-to-day operations of the compliance program.
- Risk Management: Complete annual risk assessments and create plans to address key risks, ensuring smooth operation.
- Collaboration and Leadership: Work with the Compliance Committee, leadership, staff, and external partners to resolve compliance issues.
- Audit & Monitoring: Conduct audits, ensure proper documentation, and maintain effective monitoring mechanisms.
- Training and Education: Design, implement, and enhance compliance training programs across all levels.
- Respond to Compliance Issues: Handle internal and external reports, investigations, and corrective action plans. Ensure that participant rights are always prioritized.
- A Team Player: Ability to collaborate with diverse teams and work toward common goals.
- A Problem Solver: Excellent judgment to identify and resolve compliance issues efficiently.
- A Strong Communicator: Ability to maintain professional relationships and communicate effectively across departments and with external partners.
By joining our team, you're not just taking on a job - you're making a difference in the lives of our participants. You'll have the opportunity to grow your career through continuous education and training, working with a team that values your expertise and dedication.
What's in it for You:
- Competitive Pay & Benefits: We offer a comprehensive benefits package.
- Career Development: Ongoing education and training to help you grow professionally.
- Collaborative Environment: A team-focused culture that values communication and mutual support.
- Meaningful Work: Be part of a mission-driven organization where your work truly matters.
Requirements
Qualifications:
Education: Bachelor's degree from an accredited institution in a related field of study.
Licensure/Certification: A valid Michigan Registered Nurse license in good standing is preferred.
Experience: 3-5 years working in healthcare compliance or in PACE, MA, MA-PD, or PDP programs, with at least one year of experience working with frail or elderly populations.
Skills: Strong organizational, decision-making, and negotiation skills. Ability to multitask and communicate effectively with all stakeholders.
Technical Knowledge: Proficiency in common business software and strong attention to detail.
Compliance Officer
Posted 1 day ago
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Thisposition reports to the President of Resource Bank and is responsible for thegeneral overall administration of the compliance program.
Essential Functions:
- Develop and maintain an in-depth, current understanding of Bank products and activities in respect to the applicability of legal/regulatory requirements.
- Attend Board of Director's Meeting (Audit-Compliance Committee) to present policies and procedures for Board approval and discuss compliance issues, as well as provide compliance training to the Board of Directors.
- Research regulatory reference materials and obtain advice from regulatory agency staff, legal counsel or industry group professionals to answer compliance related questions from management.
- Develop, evaluate, review and revise all compliance risk management programs and policies and procedures.
- Coordinate and review all compliance audits, and report their results to the Audit-Compliance Committee.
- Develop Compliance Training Program to address compliance policies and procedures, as well as all applicable U.S. laws and regulations.
- Coordinate Compliance and CRA regulatory agency examinations.
- Review all advertisements, brochures, lobby notices, signs and other promotional materials prior to printing to ensure their compliance with regulations.
- Provide appropriate compliance solutions to enhance the Bank's ability to meet its goals and objectives.
- Oversee the Loan Documentation Review and BSA functions of the Bank.
- Act as the Community Reinvestment Act Officer for the Bank.
Education and Experience:
Bachelor'sDegree with Accounting or Finance emphasis preferred. Have extensive (five plus years) experiencein Compliance in a banking environment with progressive management experience.CRCM preferred.
Resource Bank strivesto be the "employer of choice" EEOMinorityFemaleVetsDisabled
Compliance Officer
Posted 3 days ago
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Job Description
Native American Bank isa leading financial institution committed to providing exceptional services to IndianCountry while maintaining the highest standards of compliance and riskmanagement. We are seeking a dedicated Compliance Officer to join our team andensure our operations adhere to regulatory requirements and internal policies.
*This role is only open to candidates currently residing within a 45 miles radius from Denver, CO at this time.
Responsibilities
- Monitor and interpret current and new banking regulationsand ensure implementation of necessary changes across the organization.
- Conduct regular compliance audits and risk assessments toidentify potential areas of non-compliance.
- Planning, organizing and controlling the company'sday-to-day compliance activities
- Consultation to bank staff and the Board of Directors inthe establishment or refinement of controls to mitigate compliance andregulatory risks.
- Manage elements of high-risk and specialty bankingprograms.
- Collaborate with COO, Risk & Compliance Committee,BSA Officer, Operations Manager and Lending Managers.
- Provide direction, counseling, and support to BSA andFraud groups.
- Provide guidance and training staff on compliance-relatedtopics and best practices.
- Prepare and submit compliance reports to seniormanagement and regulatory agencies as required.
- Investigate compliance violations and recommendcorrective actions to address any issues.
- Stay updated on industry trends and changes inregulations to ensure continuous compliance.
- Performs other related duties asnecessary or assigned.
- Bachelor's degree, or equivalent combination of education and professional work experience.
- Certifications: Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS).
- Minimum of 7 years of experience in compliance, risk management, or auditing within the banking or financial services industry.
- Strong understanding of federal and state banking regulations, including BSA/AML Fair Lending and Community Reinvestment Act.
- Ability to set expectations on delivery dates and milestones.
- Excellent analytical skills and attention to detail.
- Strong communication and interpersonal skills, with the ability to work collaboratively across departments.
- Strong presentation skills with the ability to present complex concepts at the management and /or executive level.
- Proficient in compliance software and Microsoft OfficeSuite.
- Prolongedperiods of sitting at a desk and working on a computer.
- Must be able to lift15 pounds at times.
- Competitivesalary and benefit package
- Professionaldevelopment opportunities
- Health,Dental and Vision Insurance
- HealthSavings Account with company contribution
- Employerpaid Short-term and Long-term disability insurance
- Employerpaid Life Insurance
- 401(k)plan and matching
- RTDEcoPass (Denver) ORCA (Seattle)
- PetInsurance
- PaidTime Off
- Volunteer Time Off
Native American Bank is a full-service community bankcommitted to meeting the financial needs of individuals, businesses, andnon-profits within the Native American community and beyond. Our focus is ondelivering a personalized banking experience that honors culturalsensitivities. Since our founding in 2001, our mission has been to empowerNative American and Alaskan Native individuals, enterprises, and governments byproviding affordable and flexible banking and financial services tailored totheir unique goals.
We take pride in cultivating personal relationships with our customers whileupholding the highest standards of professionalism. Our diverse range ofservices includes personal and business banking, lending solutions, and more,all designed to support our clients' aspirations.
At Native American Bank, we go beyond traditional banking by encouraging ouremployees to engage in community service through our Mission in Motion program.We believe in giving back and nurturing a collaborative spirit among ourneighbors. By joining Native American Bank, you play a crucial role in helpingour community thrive while ensuring that our financial practices are guided byour cherished traditional values.
Additional Information:
- Passbackground check prior to hire
- This position allowsfor a hybrid schedule.
Please visit our careers page to see more job opportunities.
Compliance Officer
Posted 3 days ago
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Job Description
Student Data Management - Oversight of Records: Responsible for the comprehensive management of student records related to clinical health requirements, including immunizations, background checks, and certifications. Ensure all documentation is compl Compliance Officer, Compliance, Officer, Program Leader, Healthcare, Business Services, Management
Compliance Officer
Posted 3 days ago
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Job Description
Imagine working on Washington States beautiful North Olympic Peninsula where recreational opportunities abound. Whether you enjoy hiking, camping, fishing, kayaking or cycling, the Olympic Peninsula is home to numerous adventures for outdoor enthusiasts. It's a great place to live, work, play and raise a family.
Bordered by the scenic Olympic National Park, the Strait of Juan de Fuca and the Pacific Coast - with Seattle and Victoria, BC just a ferry ride away - you wont find a better location. Youll receive a competitive salary, excellent benefits, relocation assistance plus an amazing PNW lifestyle a perfect combination!
FTE: 100%
ABOUT OLYMPIC MEDICAL CENTER:
Olympic Medical Center (OMC) is committed to providing high-quality healthcare services. This role is pivotal in ensuring compliance with federal and state regulations, fostering a compliant work environment, and aligning the compliance program with OMC's business objectives.
WORK SHIFT: Day
PAY RANGE: $94,560.96 - $154,284.00
SHIFT DIFFERENTIALS/PREMIUMS:
Weekend & Holidays Shifts: No
On Call Shifts: No
JOB DESCRIPTION:
Administers and provides oversight of Olympic Medical Center's compliance program. This position leads the development and administration of the program and provides oversight and guidance in accordance with the expectations of the Federal Sentencing Guidelines, HHS Office of the Inspector General, and applicable state and federal laws. Develops and implements processes, tools, and templates to assist OMC employees, board members, and customers as a resource on compliance and ethics information applicable to this organization. All elements of the compliance program are included, such as compliance training and education, auditing and monitoring, and communication of compliance concepts related to rules, regulations, and policies. The position also conducts investigations and assists management in the remediation of high-risk compliance issues. Required reporting and interactions with local, state, and federal governments are also part of this positions responsibilities. Serves as an expert on significant compliance and ethics issues, program development/effectiveness, and fosters a compliant work environment to achieve legal and regulatory requirements. This position will ensure that the compliance program is aligned with the business objectives and strategies of OMC to promote buy-in and reduction of compliance-related risks.
EDUCATION: Bachelors degree in health care or related field required.
EXPERIENCE: Ten+ years of experience with demonstration of progressive leadership roles related to health care and compliance. Equivalent experience will be considered.
LICENSURE/CREDENTIALS: CHC (Certification in Health Care Compliance by Health Care Compliance Association) required or completion within the first 6 months of this role.
UNION: None
BENEFITS INFORMATION:
Click here for information about our benefits.
EQUAL EMPLOYMENT OPPORTUNITY (EEO) STATEMENT:
Olympic Medical Center is an Equal Opportunity Employer that values workplace diversity. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, or protected veteran status and will not be discriminated against on the basis of disability. For more information, please visit
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Compliance Officer
Posted 3 days ago
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Job Description
Location : 2105 East Aztec Ave., Gallup NM
Job Type: Full-Time
Job Number: 202500014
Department: Community Services
Opening Date: 06/17/2025
Closing Date: 12/31/2025 11:59 PM Mountain
Description
FOR BEST CONSIDERATION APPLY BY: JULY 1, 2025
Definition :
The purpose of this position is to assist Magistrate Judges and District Court Judges with Supervised Probation. This is accomplished by supervising defendants, facilitating client court appearances and monitoring client compliance with court orders. Other duties include entering client data and managing court correspondence regarding defendants.
ESSENTIAL JOB FUNCTIONS :
- Supervising defendants by providing physical and telephone check-in, drug testing, breath testing, and SCRAM and GPS monitoring; receiving court paperwork; collecting probation fees; and placing GPS and SCRAM devices on clients.
- Facilitating client Court appearances by appearing in court daily; giving referrals; serving and answering subpoenas to testify; providing Notices to Appear (NTA) for probation violations; and answering phones and emails.
- Entering data by inputting court referrals, court documents, violation reports, and defendant intakes, screening appointment information, and check-in information using multiple established client tracking database systems.
- Managing court correspondence regarding defendants by emailing reports; receiving and submitting court paperwork; sending defendant report notices; filing NTA's, executing warrants and checking custody referrals.
- Conduct necessary screenings and assessments to identify risk and needs levels of supervised defendants.
- Knowledge or understanding of approved principles and practices of law enforcement, court processes, and applicable law and ordinances.
- Knowledge or understanding of investigative techniques and practices.
- Ability to pass a rigid background investigation including work history, character, honesty, integrity, criminal record, driving record, etc.
- Ability to establish and maintain effective working relationships with fellow employees
- Ability to work independently; to analyze and evaluate investigative writing; to prioritize workload; to work in a stressful environment; operate a computer; be persuasive, assertive, and empathetic to people from various cultures; and maintain confidentiality.
- Ability to maintain a professional relationship at all times with clients, judges, attorneys, jail staff and referral sources.
MINIMUM QUALIFICATIONS:
- High school diploma or equivalent
- 1-2 years' experience directly related to the essential job functions listed
- College coursework and/or an Associate Degree in Criminal Justice or Human Services
- 3-5 years' experience directly related to the essential job functions
- Experience in judicial or criminal justice system of New Mexico
- Experience working in a local/county government environment.
CERTIFICATES AND LICENSES : Possess a valid driver's license or the ability to obtain one for insurance and liability purposes.
SUPERVISION:
Work requires the occasional direction of helpers, assistants, seasonal employees, interns, or temporary employees.
Disclaimer: Nothing in this job description restricts management's right to assign or reassign duties and responsibilities to this job at any time.
McKinley County is proud to offer a full compensation benefits package. Below is a list of benefits offered through the SoNM Local Public Body to enhance the lives of eligible full-time employees and their qualified family members.
- Medical
- Pharmacy
- Vision
- Dental
- Paid Leave
- Life & Disability Insurance
- Employee Assistance Program
- Retirement (PERA)
- Voluntary Benefits
- Deferred Compensation Plan
To learn more details, visit our benefits page.
McKinley County is an Equal Opportunity Employer
and does not discriminate in hiring or promotion on the basis of race, color, national origin, political affiliation, religious faith or absence thereof, sex, age, handicap, or disability, or status as a Vietnam era or special disabled veteran, in accordance with applicable Federal and State laws.
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Please rate your knowledge or understanding of approved principles and practices of law enforcement, court processes, and applicable law and ordinances.
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Please rate your knowledge or understanding of investigative techniques and practices.
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Please rate your ability to pass a rigid background investigation including work history, character, honesty, integrity, criminal record, driving record, etc.
- No Ability
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Please rate your ability to work independently; to analyze and evaluate investigative writing; to prioritize workload; to work in a stressful environment; operate a computer; be persuasive, assertive, and empathetic to people from various cultures; and maintain confidentiality.
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Please rate your ability to maintain a professional relationship at all times with clients, judges, attorneys, jail staff, and referral sources.
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Required Question
Compliance Officer
Posted 3 days ago
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Job Description
Magnetar is a leading global alternative asset manager with $22B+ AUM as of May 31, 2025. We are based in Evanston, IL-just north of Chicago and easily accessible by the "L"-with additional offices in New York, London and Menlo Park, CA.
Grounded in two decades of investing experience, we aim to generate consistent performance for our investors by identifying differentiated investment opportunities and building scalable businesses across our core strategies: Alternative Credit and Fixed Income, Systematic Investing, and Venture.
This year, we proudly celebrate our 20th anniversary-a testament to our legacy of innovation, expertise and commitment to our clients and team.
Magnetar employees are among the best in the business at what they do. Our employees thrive on intellectual curiosity, collaboration and identifying creative solutions to complex problems. Our team is made up of highly skilled, passionate professionals who care deeply about delivering results for our investors, our firm and one another. We are proud to foster an inclusive, welcoming environment that empowers each employee to succeed.
At Magnetar, our commitment to our employees matches our dedication to our work. We offer top-tier benefits including comprehensive health, dental and vision insurance, a 401k match, competitive paid time off, wellness programs, daily lunches, and professional development through Magnetar University. We are also passionate about giving back, supporting financial education and community engagement through our Foundation and various volunteer initiatives.
We hope you'll consider joining us as you explore a career at Magnetar!
Position Overview
As a Compliance Officer at Magnetar, the role will be responsible for supporting all aspects of the Compliance Department including review and marketing materials, Code of Ethics monitoring, trade surveillance monitoring, testing, training, and developing compliance policies, procedures and internal controls. This position reports to and works in close coordination with the Chief Compliance Officer.
Responsibilities
- Assist with marketing material reviews, RFP and due diligence requests
- Assist in the preparation of regulatory filings, including responses to regulatory inquiries
- Assist with administration the firm's Code of Ethics, including the personal trading policy, gifts and entertainment, outside business activities, and pay-to-play
- Assist in the supervision of employee compliance with the firm's policies & procedures and Code of Ethics
- Responsible for verifying the firm's compliance with policies & procedures through testing and surveillance
- Assist with new hire compliance onboarding
- Assist in the development of compliance training programs, including the on-going development of training materials and conducting training sessions for all new and existing employees
- Assist with monitor trade execution, best execution, allocation, trade errors, cross trades, and general compliance oversight of the trade execution function
- Conduct conflict checks, update and maintain the firm's restricted list
- Assist with the annual risk assessment and 206(4)-7 annual review
- Work with the team to prepare for regulatory compliance reviews, exams and certifications
- Coordinate and oversee ongoing policy review and development
- Extensive oversight of all functions and interaction with all levels of the organization
- Bachelor's degree required
- A successful candidate must have experience within the financial services industry, including at least 2-3 years directly within the compliance function and must possess knowledge of the registered investment advisor industry and practices.
- Familiar with institutional advisory regulations including experience with the SEC marketing rules
- Experience with trading systems, Bloomberg, MCO, STAR Compliance and other compliance platforms preferred.
- Securities industry experience, including operations, accounting or internal audit within the compliance function, is a plus.
- Keen eye for identifying compliance risk and ability to escalate appropriately.
- Ability to work independently as well as part of a close-knit team and among various levels of management.
- High attention to detail, strong organizational skills and the ability to excel in a fast-paced work environment.
- Dedicated, pro-active, problem-solving mindset and a can-do attitude.
The annual base salary range for this position is $0,000 to 180,000 USD. The actual base salary will depend upon the candidate's relevant experience, qualifications, skills, business needs and market. This role may be eligible for a discretionary bonus and if awarded is based on a variety of factors including firm and individual performance.
Disclaimer
The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified. All personnel may be required to perform duties outside of their normal responsibilities from time to time, as needed.
Compliance Officer
Posted 3 days ago
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Job Description
1. Compliance Officer's primary responsibility is design, implementation and effective operation of the
compliance program.
2. In carrying out policies and responsibilities of the office, Compliance Officer:
•Have direct access to CEO and Board of Trustees.
•Not be subordinate to financial business office director/manager.
•Have authority to investigate compliance violations and act as needed.
•Have access to all needed information, including contracts, billing records and contractual arrangements.
3. Board of Trustees will provide oversight of Compliance Officer's activities.
4. Compliance Officer provides updates on a regular basis to CEO and Board of Trustees on progress of
implementation and improvement of the compliance program.
Procedure
1. Oversee and monitor design, implementation and improvement of the compliance program in light of
changes in regulatory and legal environment and conformity to ethical standards.
2. Be responsible for developing, coordinating and participating in a multifaceted compliance education and
training program that ensures all employees and affiliated parties are educated about Code of Conduct,
corporate compliance program and other specific issues deemed necessary.
3. Ensure independent contractors and agents who furnish services are aware of requirements of the
compliance program with respect to coding, billing and marketing, among other things.
4. Coordinate personnel issues with Human Resources to ensure List of Excluded Individuals and Entities,
General Services Administration Debarment List and National Practitioner Data Bank have been checked
with respect to all employees, medical staff and independent contractors.
5. Work with CFO in periodic reviews, ongoing monitoring and evaluation of regulatory compliance in all
business activities, and recommend development of internal systems and controls to reinforce compliance in
those areas.
6. Independently investigate and act on matters related to compliance, ensuring corrective actions are taken
where compliance failures have been identified.
7. Develop and manage Hotline system and other feedback mechanisms that encourage managers and employees to report suspected fraud and other improprieties without fear of retaliation.
8. Be responsible, together with Audit and Monitoring Committee, to implement all necessary actions to ensure
achievement of objectives of an effective compliance program by means of review, relevant training, system
of consistent enforcement of rules and development/implementation of corrective action plans.
9. Work with Board of Trustees in consultation with outside legal counsel in reviewing and updating Code of
Conduct to ensure its continuing currency and relevance in providing guidance to management and
employees.
10. Develop, maintain and revise compliance policies and procedures for general operation of the program and
related activities to prevent illegal, unethical or improper conduct. Revise/update as needed.
11. Oversee and manage performance of the compliance program and identify potential areas of compliance
vulnerability and risk and provide specific direction for resolution of problematic issues, as well as general
guidance on how to deal with similar situations.
12. Prepare periodic reports and evidence for Board of Trustees on progress and effectiveness of compliance
activities and efforts.
13. Develop and oversee a system for uniform responses to violations of rules, regulations, policies, procedures
and Code of Conduct and ensure proper reporting of potential violations of law to duly authorized law enforcement agencies.
14. Establish audit controls and measurements to ensure correct processes are in place.
15. Maintain a working knowledge of relevant issues, laws and regulation through periodicals, seminars, training
programs and peer contact.
16. Respond appropriately if a violation is uncovered, including direct report to Board of Trustees or external
agency, if deemed necessary.
17. As part of ongoing auditing and monitoring, Compliance Officer arranges for periodic independent evaluation
of effectiveness of the compliance program.
18. Performance of other duties as may be assigned from time to time.
HIPAA Compliance
The Hospital will train Compliance Officer on all aspects of Healthcare Insurance Portability and Accountability
Act (HIPAA). Compliance Officer will adhere to all security and patient confidentiality rules and regulation
mandated by federal government and State of Mississippi. Upon commencement of employment, employee
must sign a Patient Confidentiality and Security Agreement and abide by the Hospital's Confidentiality, Privacy
and Security Policies and Procedures. Failure to adhere to HIPAA standards, Hospital's Security and
Confidentiality Policies and those set forth by federal government and State of Mississippi will result in
disciplinary action up to and including termination.
Qualifications:
Education: Doctor of Jurisprudence (JD) or equivalent degree or corporate compliance certification.
Experience: Five (5) or more years of experience desirable.
Supervised by: Administrator/CEO and reports directly to Board of Trustees.
Workers Supervised: Compliance Audit and Appeals Department.
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.