3,517 Head Of Compliance jobs in the United States

This range is provided by Coda SearchStaffing. Your actual pay will be based on your skills and experience talk with your recruiter to learn more.

Base pay range

180,000.00 / yr - $210,000.00 / yr

We are currently partnered with a high-growth real estate investment firm look for a highly skilled and experienced Head of Compliance to lead and oversee the firm's compliance program. This firms is performing incredibly well as they focus on ecommerce and last mile real estate investments. They have a strong employee centric culture offering a hybrid work environments great professional flexibility, and commitment to developing and promoting internal talent.

This senior role is crucial to ensuring that the firm adheres to all applicable laws, regulations, and industry standards, specifically focusing on compliance with the SEC Investment Advisers Act of 1940 , the Investment Company Act of 1940 , and other regulatory frameworks. The Head of Compliance will be responsible for designing and implementing compliance policies, procedures, and controls to mitigate risk and ensure ethical and legal standards are met. It's a high exposure role reporting into the COO and General Counsel, and working closely with the whole executive team and business leads.

Key Responsibilities :

Compliance Strategy and Oversight :

• Develop and implement a comprehensive compliance program that addresses regulatory requirements, industry best practices, and internal firm policies.

Regulatory Compliance (SEC Focus) :

Ensure the firm complies with the SEC Investment Advisers Act of 1940 , the Investment Company Act of 1940 , and other applicable laws, including regular updates to policies based on regulatory changes.

Policy Development and Implementation :

Create, revise, and enforce compliance policies, procedures, and controls, ensuring they are aligned with the firm's goals and regulatory obligations.

Identify, assess, and mitigate potential compliance risks. Proactively monitor for emerging regulatory risks in the real estate investment industry.

Training and Awareness :

Develop and deliver regular training programs for staff on compliance issues, regulatory requirements, and ethical standards.

Internal Audits and Investigations :

Conduct periodic compliance reviews, audits, and investigations to ensure adherence to internal policies and legal requirements.

Regulatory Reporting :

Manage regulatory filings, including Form ADV and other required disclosures to the SEC and other regulators.

Vendor and Third-Party Compliance :

Ensure third-party service providers adhere to the firm's compliance standards.

Collaboration with Legal and Other Departments :

Work closely with the Legal, Operations, and Risk teams to ensure compliance integration across all aspects of the firm's operations.

Monitoring Regulatory Developments :

Keep informed about new and emerging regulations, ensuring the firm adapts to changes in the regulatory environment.

Reporting to Senior Management :

Regularly update the COO, General Counsel, and other senior leaders on compliance matters, including any significant risks or breaches.

Qualifications : Experience :

5-10 years of experience in a compliance role, preferably within real estate investment management or related financial services. Strong familiarity with SEC regulations, particularly the Investment Advisers Act of 1940 and the Investment Company Act of 1940

Education :

Bachelor's degree in finance, law, business administration, or related field. A Juris Doctor (JD) or Master's in a related discipline is preferred.

Knowledge :

In-depth knowledge of U.S. federal and state securities laws, particularly as they pertain to real estate and investment management.

Skills :

Strong leadership and project management skills.

Ability to develop and implement compliance frameworks.

Excellent written and verbal communication skills.

High attention to detail and ability to handle sensitive issues confidentially.

Seniority level

Seniority level

Director

Employment type

Employment type

Full-time

Job function

Job function

Finance

Industries

Real Estate and Financial Services

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1 day ago Be among the first 25 applicants

Multiple Locations Northeast/Western US

Our client, the Family Office of an ultra-high net worth family that makes private investments on behalf of this family, has a rare opening on their tax team due to an upcoming retirement. This strategic role will have responsibility for the operations of the tax group with the strategic goal of improving processes and efficiencies by increasing the use of technology, along with data management and analysis. This dynamic tax function is highly valued by the organization and has engaged leaders and clients.

This position can offer you:

• Modernization Step into a role where you will have the opportunity to transform the compliance function for this organization by creating a plan to upgrade the technology to make data more accessible and usable in strategic planning
• High Visibility This IS NOT a back-room compliance role. Interface with your client as well as executives throughout the organization as a true partner to implement changes that will transform this function for the future.
• Longevity and Stability Because of the culture of this company, positions at this level do not come open often. If you are seeking a role out of the professional services rat race, OR you would like to upgrade the size and scope of the family office you work for.you must consider this rare and unique opportunity.

Position requirements:

• Minimum 10+ total years of tax compliance and operations experience in a major accounting firm or industry
• Experience leading a tax practice and/or significant compliance engagement
• Experience leading a compliance or technology transformation is preferred
• CPA or JD
• In-depth experience with Federal and multistate filings: fiduciary and individual tax filings, as well as C/S-Corps and Partnerships
• Experience with US outbound international compliance
• Excellent interpersonal skills and the ability to work effectively with a diverse group of people, including cross-functional and collaborative efforts
• Strong people management skills. Ability to effectively manage individuals and teams, coach and empower others to their full potential in a deadline-driven, fast-paced environment

Contact me directly to discuss this opportunity further:

email

Seniority level

• Seniority level Director

Employment type

• Employment type Full-time

Job function

• Job function Accounting/Auditing
• Industries Staffing and Recruiting

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Senior Compliance Officer - Data Privacy - Legal & Compliance
Location
New York
Business Area
Legal, Compliance, and Risk
Ref #
10043072
**Description & Requirements**
The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy we're known for. It's what keeps us inventing and reinventing, all the time. Our culture is wide open, just like our spaces. We bring out the best in each other through collaboration. Through our countless volunteer projects, we also help network with the communities around us, too. You can do amazing work here. Work you couldn't do anywhere else. It's up to you to make it happen.
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 issues that come with being the world's leading financial news and information company. Our team is made up of talented and hardworking legal and compliance professionals who think creatively and work collaboratively in an open environment to deliver results, drive innovation, and solve difficult problems. We are committed to a workplace where all of our employees can thrive regardless of background, and where everyone feels empowered to make an impact. We also recognize the importance of giving back to our communities as evidenced by our award-winning pro bono program!
The Data Privacy Compliance team works closely with our Legal counterparts, business and engineering stakeholders to ensure compliance with current/developing rules and regulations, implement global training and communication programs and monitor privacy risk across the business. Our team also leads privacy product reviews and Data Privacy Impact Assessments, manages responses to data subject rights requests, drafts internal policies and coordinates regional privacy-related regulatory filings.
**What's The Role?**
This is a phenomenal opportunity help the firm to protect the personal data of its users, clients, employees and other third parties. The team has global coverage across the wide variety of products and services that Bloomberg offers, from news and media to data services, from content and analytics to electronic trading, in a fast-paced and dynamic environment. Bloomberg has a presence in a large number of jurisdictions across the world, and as such the data privacy landscape is complex and ever evolving, encompassing GDPR requirements as well as local laws and regulations.
**We'll Trust You To:**
- Support the implementation of the Privacy Program, ensuring Bloomberg meets its legal, regulatory, and reputational responsibilities
- Support, and at times lead the team, on specific regulatory Compliance projects /initiatives for privacy, for example, the mapping of applicable regulatory obligations to risks, controls, controls testing and policy documents
- Provide strong subject matter expertise to the privacy program, including being the lead for certain program pillars;
- Support the team in partnering with the business and support functions to conduct analyses of the key personal data processing of their areas, including documentation of data flows, processes and procedures;
- Provide expert knowledge on identification of risks and controls to address privacy requirements and translate them into guidelines to improve business compliance;
- Collaborate with the Privacy Legal team to translate legal requirements into privacy program deliverables and processes;
- Develop and implement policies and procedures for privacy compliance processes in support of our privacy strategy;
- Develop and leverage key performance indicators to track, manage, measure and report on metrics across the organization related to key privacy and compliance trends; and
- Implement appropriate data privacy compliance controls and tools, including working with compliance technology support and other internal functions to make improvements to systems and workflows and address any gaps identified.
**You'll need to have:**
- Minimum 7 years of data privacy Compliance and/or legal experience in-house, at a privacy regulator, a law firm, and/or in the government;
- Substantial subject matter expertise in data privacy laws, rules, regulations, and industry standards, including sound working knowledge of EU GDPR and US state privacy laws as well as expertise in managing privacy risk and compliance;
- Ability to work independently and effectively manage and prioritize multiple projects simultaneously
- Experience in identifying, assessing and calling out risk (across different functions and levels of the business);
- Ability to work collaboratively in a fast-paced environment in cross-functional teams, prioritize and meet deadlines;
- An ability to advise and influence senior business people on data privacy matters;
- Strong stakeholder management experience and skills to collaborate effectively with security and risk professionals, engineers, software developers, product development, Human Resources, and other teams;
- Strong communication skills and belief in the effective management of privacy as a key business differentiator and core value;
- Excellent presentation and negotiation skills and the ability to thrive in an open office environment and as part of a fast-paced team; and
- Strong attention to detail and excellent organizational skills.
**We'd love to see:**
- Experience working with and/or within regulated financial institutions, software and other technology companies, media corporations, or large global organisations;
- A real passion for being part of a global in-house team and contributing to team knowledge and development;
- A track record of operating successfully and contributing to the development of others; and
- Law degree preferred, but not required
**Does this sound like you?**
Apply if you think we're a good match. We'll get in touch to let you know that the next steps are.
Salary Range = 18000 - 21000 USD Annually + 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.
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

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

Job Description

Interactive Brokers LLC is looking for a motivated and talented Head of Compliance Testing who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone with experience in designing, maintaining and managing a compliance testing program.

Responsibilities

• Managing the firms annual compliance testing program.
• Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with firm procedures.
• Assist in the development of the firms compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices.
• Execute the firms compliance testing program.
• Drafting specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staff.
• Reporting compliance testing findings to management and defining management action plans with stakeholders to address findings.
• Tracking compliance testing findings from discovery to remediation.
• Other core compliance activities as needed.

Qualifications

• At least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM. Experience in a compliance testing or audit role is strongly preferred.
• Experience testing regulatory requirements related to markets and trading across various products, such as stocks, options, bonds, and futures.
• High degree of comfort and fluency with computers and technology.
• Outstanding oral and written communication skills.
• Ability to work both independently and to multi-task with minimal supervision.
• Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration); if no registrations, can consider a member in good standing of the bar of any U.S. state or the District of Columbia.
• Experience with Atlassian Confluence/JIRA preferred.

Company Benefits & Perks

• Competitive salary, annual performance-based bonus and stock grant.
• Retirement plan 401(k) with a competitive company match.
• Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
• Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP).
• Paid time off and a generous parental leave policy.
• Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snacks.
• Corporate events, including team outings, dinners, volunteer activities and company sports teams.
• Education reimbursement and learning opportunities.
• Modern offices with multi-monitor setups.

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Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds, and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

Job Description

Interactive Brokers LLC is looking for a motivated and talented Head of Compliance Testing who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker/dealer, regulatory agency, exchange, accounting firm, or law firm. In particular, we are looking for someone with experience in designing, maintaining, and managing a compliance testing program.

Responsibilities

The primary responsibilities of the Compliance Testing Officer include:

1. Managing the firms annual compliance testing program.
2. Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with firm procedures.
3. Assisting in the development of the firms compliance testing program, including testing procedures, methodologies, risk assessments, and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices.
4. Executing the firms compliance testing program.
5. Drafting specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staff.
6. Reporting compliance testing findings to management and defining management action plans with stakeholders to address findings.
7. Tracking compliance testing findings from discovery to remediation.
8. Other core compliance activities as needed.

Qualifications

1. At least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm, or law firm with a focus on security or commodity regulations, a broker-dealer, or an FCM. Experience in a compliance testing or audit role is strongly preferred.
2. Experience testing regulatory requirements related to markets and trading across various products, such as stocks, options, bonds, and futures.
3. High degree of comfort and fluency with computers and technology.
4. Outstanding oral and written communication skills.
5. Ability to work both independently and to multi-task with minimal supervision.
6. Registrations (i.e., SIE, Series 7, 24, and/or Series 3 registration); if no registrations, can consider a member in good standing of the bar of any U.S. state or the District of Columbia.
7. Experience with Atlassian Confluence/JIRA preferred.

Company Benefits & Perks

1. Competitive salary, annual performance-based bonus, and stock grant.
2. Retirement plan 401(k) with a competitive company match.
3. Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
4. Wellness screenings and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP).
5. Paid time off and a generous parental leave policy.
6. Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snacks.
7. Corporate events, including team outings, dinners, volunteer activities, and company sports teams.
8. Education reimbursement and learning opportunities.
9. Modern offices with multi-monitor setups.

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Statement of Acknowledgement

Interactive Brokers (IBKR) is committed to protecting the privacy of its users.

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Job Description

Job Description

The Pack Labs is leading the way in the hemp-derived cannabinoid industry with premium brands like Delta Munchies and Imperial Extraction. With a focus on quality, innovation, and expanding our national presence, we’re committed to creating the highest-quality products that stand out in the market. 

As we continue to grow, we are seeking a Head of Compliance to lead our regulatory strategy and operations at our new Santa Fe Springs facility. This role is essential to ensuring that our manufacturing processes, product development, and commercial operations remain fully aligned with California hemp laws, FDA and CDPH requirements, and emerging federal and state regulations.

The Head of Compliance will report directly to executive leadership and work cross-functionally with operations, quality assurance, legal, and marketing to build and sustain a best-in-class compliance program. This is a hands-on leadership role that combines regulatory knowledge, policy development, internal auditing, and team training into one cohesive, scalable system.

Role & Responsibilities

• Manage the full lifecycle of business-critical licenses and permits, including hemp extract registration, food processing facility permits, and all related renewals. Prepare supporting documentation for new license applications or modifications based on operational expansion.
• Oversee all regulatory compliance efforts across the organization, with a primary focus on California Department of Public Health (CDPH), FDA (for ingestibles), Cal/OSHA, and local health regulations. Monitor and interpret relevant state and federal laws, including HSC §11018.5 and §111920, and provide actionable updates to executive leadership
• Develop and maintain robust Standard Operating Procedures (SOPs) for all regulated processes, ensuring full alignment with cGMP, HACCP, QMS standards, and evolving compliance frameworks. SOPs should clearly govern all manufacturing activities across prerolls, vape filling, and edible production.
• Lead the creation of documentation systems that ensure accurate, audit-ready records for all regulatory touchpoints, including batch tracking, raw material COAs, sanitation logs, employee training files, and incident or recall reports.
• Establish and execute internal audit schedules to assess compliance adherence across departments. Identify risk, lead root cause analysis, and implement corrective and preventive actions (CAPA) as needed.
• Oversee compliance testing protocols for all raw materials and finished products. Confirm results meet required thresholds for potency, contaminants, and microbial content. Review all packaging and labels to ensure compliance with California and FDA regulations, including ingredient panels, QR codes, and health warnings.
• Serve as the primary point of contact for state and federal inspections. Lead the organization’s audit preparedness and respond to compliance-related notices, product holds, or consumer complaints in collaboration with legal counsel when necessary.
• Design and lead company-wide training initiatives on regulatory expectations, GMP practices, and hygiene protocols. Maintain documentation of all compliance training activities and ensure they are refreshed and up to date.
• Support environmentally responsible waste disposal practices and ensure compliance with CalEPA and hazardous materials handling requirements.
• Collaborate closely with QA/QC, production, R&D, marketing, HR, and executive teams to ensure a cohesive, company-wide compliance culture. Advise on product claims, marketing materials, and customer-facing content to prevent unlawful or misleading representations.

Qualifications

• Minimum 3 years of compliance leadership experience in a regulated manufacturing environment (cannabis or hemp)
• In-depth understanding of California and nationwide hemp regulations, FDA and CDPH standards, and food safety laws
• Strong working knowledge of cGMP, HACCP, QMS, and regulatory audit frameworks
• Proven success developing and enforcing SOPs, maintaining licensing portfolios, and managing regulatory audits and inspections
• Demonstrated ability to build documentation systems that support transparency, traceability, and recall readiness
• Exceptional attention to detail, organizational discipline, and risk management acumen
• Strong communication and leadership skills with the ability to influence and educate across departments and levels of seniority
• Experience collaborating with executive teams and regulatory counsel on compliance strategy and operational impact
• Must be 21+ and authorized to work in the United States
   

What We Offer

• Competitive salary: $60,000- $90,000
• Full benefits package including medical, dental, vision, and paid time off
• High-visibility leadership role with significant impact on the company’s growth and operational integrity
• A collaborative, high-performance environment built on accountability, transparency, and innovation
• The opportunity to define and scale a compliance function in one of the most dynamic, fast-evolving industries in the country

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**Job Summary**
Manage the cGMP compliance at site focusing on Quality Systems, processes, procedures and controls ensuring that the cGMP documentation and records conforms to established standards and in compliance to regulatory requirements.
**Area Of Responsibility**
+ Implement and manage the records in electronic Quality Systems, such as QMS, EDMS, and LMS, etc. providing procedures and training for employees to effectively use the electronic Quality Systems
+ Supervise the QA Documentation department in the creation, issuance, maintenance, archiving, and storage of cGMP and cGXP controlled documentation and records
+ Manage electronic document processing, retrieval, and distribution systems (EDMS), electronic learning management system (LMS), electronic Quality Management System (TrackWise), etc.
+ Administer document and system access rights and revision control to ensure security of system and integrity of master documents
+ Lead Monthly Quality Review Board (QRB) meetings, Quality Investigation Board (QIB)
+ Supervise the creation of an annual training calendar and other training initiatives at the site
+ Provide expertise and input to other functional areas affecting controlled documents and records
+ Assist with FDA and other compliance audits including corporate audits and vendor audits.
+ Facilitate and follow up with stakeholders with regard to responses to audit observations
+ Prepare annual internal audit schedule and perform execution of the same.
+ Oversee site vendor management program including performing annual vendor risk assessment
+ Oversee harmonization efforts between corporate and plant Quality procedures and policies
+ Provide QA review of Annual Product Reviews (APRs) to identify trends and recommend CAPA as needed
+ Provide QA review of quality events such as unplanned/planned deviations and change controls
+ Participate in investigation team efforts to determine root cause for critical quality events and recommend appropriate CAPA
+ Develop presentation materials for upper management to disseminate on the topics of quality issues, QMSinitiatives, and related projects
+ Participate in Regional Quality related projects and initiatives, acting as an point of contact with corporate activities and projects.
+ Issuance of Quality Alerts, coordinate with Corporate Quality team for FAR/Recall as per procedures
+ Other duties as assigned
**Work Conditions:**
+ Office Environment
+ Manufacturing / Production Environment
+ Warehouse Environment
+ Field Familiarity Environment
**Physical Requirements:**
+ Stand, walk, sit, use hands and fingers to handle or feel, reach with hands and arms, climb or balance, stoop, kneel, crouch or crawl, hear or talk, taste or smell
+ Operate computer/office machines
+ Gowning, safety glasses, gloves, booties
+ Close, distance, color and peripheral vision; depth perception, ability to adjust focus
+ Lift up to 10 lbs.
**Travel Estimate**
Up to 10%
**Education and Job Qualification**
+ BS in chemistry or related scientific field
+ Minimum ten (10) years of related experience in pharmaceutical (manufacturing) environment, biotech industry, Quality Assurance, Quality Control and/or production, or FDA regulated industry.
**Experience**
+ Strong working knowledge of a Quality Management System (QMS) and adherence to 21 CFR Parts 210, 211; aseptic drug manufacturing experience a plus
+ Superior internal and external customer service/people skills
+ Ability to manage multiple responsibilities and training projects in a fast paced environment, in an efficient manner
+ Ability to present self in a professional, credible manner and communicate effectively at all levels of the organization
+ Ability to prioritize and organize own work, multi-task, meet deadlines and keep commitments
+ Experience in developing and managing various types of training initiatives expected
+ Excellent administrative & organization skills
+ Strong presentation and MS Power Point Skills
+ Positive attitude; values others and works well independently and in a team environment
+ Excellent verbal, written and interpersonal communication skills
+ Works under minimal supervision following established procedures along with own judgment.
+ Expert knowledge of electronically based Quality Systems
+ Working knowledge of pharmaceutical and medical device documentation and change controls
+ Experience with continuous improvement programs and project management skills
+ Working knowledge of applicable domestic and international standards and regulations
We provide equal employment opportunities for all current employees and applicants for employment. This policy means that no one will be discriminated against because of race, religion, creed, color, national origin, nationality, citizenship, ancestry, sex, age, marital status, physical or mental disability, affectional or sexual orientation, military or veteran status, generic predisposing characteristics or any other basis prohibited by law.

Job Details

Job Location
California Garden Grove UEI - Garden Grove, CA

Salary Range
$69000.00 - $71000.00 Salary/year

Job Category
Corporate

Description

International Education Corporation is the leader in post-secondary career education. Working at our employee-owned company is more than just a great career - its an investment in yourself. Our mission is to drive personal and community transformation by empowering students to make a positive and enduring life change. We are consistently searching for like-minded compassionate professionals who strive to be the best in their respective fields. Our top candidates share our commitment to helping students build the skills to create a future of which they can be proud.

We are currently seeking an Compliance Officer to join our team. This position is directly responsible for ensuring successful achievement of all campus outcomes relative to accreditation and state regulatory compliance, including accreditation readiness visits, placement confirmation and related functions. The successful Compliance Officer must know and understand all pertinent accreditation standards, state regulations, and state and local statutes and/or agency regulations at all campuses and is responsible for ensuring campus and corporate compliance therewith. The position must identify and work in concert with all functional areas to cure all areas of compliance vulnerability and risk, developing corrective action plans for resolution of problematic issues, providing general guidance on proper internal controls, and executing an effective compliance plan. The position reports to the Regional Director/Manager, Regulatory Compliance.

The Compliance Officer conducts the preparation and training for all campus functional areas for accreditor, state agency and programmatic oversight agency visits, including mock visits, updates, training, and regular audits. This position is responsible for the review and gathering of information and documentation for the preparation of applications, notices, and self-studies and the analysis and drafting of responses, requiring complex collaborating with both the field and the corporate management team. The Compliance Officer is directly responsible for the Companys internal quality control in the placement confirmation process and ensures the accuracy, completeness, and integrity of student outcomes (completion, graduation, retention, and placement) for all campuses, independently verifying that all data and processes are in compliance with company, state, accrediting, and federal standards. The position coordinates with Corporate Regulatory Compliance colleagues and the field to ensure compliance on all campuses.
Essential Job Duties and Responsibilities

• Complies with applicable federal and state laws and regulations, accreditor standards, and institutional policies and procedures.
• Monitors, assesses, completes and is responsible for the submission of all state and accreditation deliverables on time and with a high degree of quality professionalism and accuracy.
• Must have thorough and complete knowledge of and is responsible for the dissemination of information regarding local, state, national, accreditation and regulatory requirements.
• Provides timely, accurate and complete management reporting for assigned areas of responsibility.
• Works collaboratively with campus leadership and staff and Corporate Regulatory Compliance colleagues to ensure all campuses meet compliance and regulatory requirements.
• Communicates regularly, professionally and effectively with all stakeholders at all times to achieve expected and planned results.
• Develops and maintains positive rapport with accreditation agencies and other applicable state/local regulators as directed.
• Assesses operational strengths and weaknesses and executes an effective accreditation and relevant state regulatory training program for assigned areas of responsibility, including appropriate introductory training for new associates and ongoing training for all colleagues and managers in the field.
• Holds frequent trainings and webinars with campus personnel to train and educate on accreditation and state regulations, standards and criteria.
• Gathers, reviews and maintains a complete and updated licensing/accreditation record for each program and campus and oversees the reconciliation of any approval issues and/or problems. Ensures official documents are submitted to Corporate Regulatory Compliance colleagues and retained in appropriate repository.
• Manages the preparation and submission of accurate communications and submissions to accreditors and state agencies.
• Assesses and identifies changes in applicable rules, regulations, standards and related trends that are relevant to maintaining accreditation and state licensing.
• Assesses and identifies necessary modifications to policies, procedures, and internal communications such as catalogs, websites, and marketing materials in conjunction with feedback from the corporate management team and the field.
• Obtains written verification (EVL) of graduate employment from employers based on accreditor-specific standards and company policy.
• Ensures the Companys internal quality control through independent verification of all self-employment documentation, waivers, drops-in-field, non-graduate completers and required documentation.
• Conducts an independent audit and verification function of placement documentation in student files to ensure the accuracy, completeness, and integrity of files.
• Updates, maintains, and reconciles outcomes reporting tools on a continual basis.
• Maintains professional appearance and demeanor for the management position and serves as a role model, leader and mentor to the campus community.
• Maintains independent continuing learning and education in all areas of compliance to ensure most up-to-date knowledge.
• Regular, reliable and predictable attendance at the assigned campus/office.
• Other projects as assigned.

Qualifications

• Excellent communication skills expressed in writing and in oral communication
• Experience in collaboration in managing projects with accuracy
• Possess advanced computer skills in word processing, spreadsheets, presentation software
• Be able to read, analyze, and interpret regulations, guidelines, and standards, as well as policies and procedures
• In-depth knowledge of accreditation and state rules & regulations
• Highly organized and goal oriented
• Ability to collaborate within all levels of the organization

We offer an exciting, fast-paced and dynamic work environment. In addition, full-time colleagues have a variety of benefits available that include; Medical, Dental, Vision, Life Insurance, Disability Coverage, a generously matched 401(k) plan, voluntary benefits and much more.

If changing students lives is also important to you, and you have the qualifications reflected above, we would love to hear from you!

General Information

Country

United States

City

Boston

Department

Finance

Posted

15-Jan-2024

Working Time

Permanent - Full-time

Description and Requirements

We are looking for a Compliance Officer to ensure that our operations and business transactions follow all relevant legal and internal rules. You will also review employees' work and provide advice on compliance.

To succeed in this role, you should be a reliable professional who is not afraid to speak their mind and stand by their decisions. You should be familiar with risk management and our industry's standards. If you also have a sharp business acumen, we'd like to meet you.

Your goal will be to ensure we operate in a legal and ethical manner while meeting our business objectives.

Responsibilities:

• Develop and implement an effective legal compliance program
• Create sound internal controls and monitor adherence to them
• Draft and revise company policies
• Proactively audit processes, practices and documents to identify weaknesses
• Evaluate business activities (e.g. investments) to assess compliance risk
• Collaborate with external auditors and HR when needed
• Set plans to manage a crisis or compliance violation
• Educate and train employees on regulations and industry practices
• Address employee concerns or questions on legal compliance
• Keep abreast of internal standards and business goals

Requirements:

• Proven experience as a Compliance Officer or Compliance Manager
• Experience in risk management
• Knowledge of legal requirements and controls (e.g. Anti-Money Laundering, or AML)
• Familiarity with industry practices and professional standards
• Excellent communication skills
• Integrity and professional ethics
• Business acumen
• Teamwork skills
• Attention to detail
• BSc/BA in law, finance, business administration or a related field
• Professional certification (e.g. Certified Compliance & Ethics Professional (CCEP)) is a plus

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• Evaluate the financial aspects of product development, specifically budgets, expenditures, research and development appropriations, and return-on-investment and profit-loss projections.
• Formulate, direct and coordinate marketing activities and policies to promote products and services, working with advertising and promotion managers.
• Direct the hiring, training, and performance evaluations of marketing and sales staff and oversee their daily activities.
• Negotiate contracts with vendors and distributors to manage product distribution, establishing distribution networks and developing distribution strategies.