4,733 Head Of Regulatory jobs in the United States
Head of Regulatory Compliance (Chicago)
Posted 12 days ago
Job Viewed
Job Description
At Harris, the true value of what makes us successful is found in our people. It is our unique mix of cultures, experiences, beliefs and backgrounds that sets Harris apart from the rest. We constantly strive to cultivate, nurture and amplify an unparalleled environment, where we value intellectual curiosity and uniqueness of thought. Inclusion is embedded in the very fabric of our culture of collaboration and openness.
We understand that a job description only tells one part of a broader story, and Harris is seeking dynamic candidates who can add to our best-in-class environment. We recognize that qualifications can be gained through both traditional and non-traditional paths, and we are committed to considering candidates who possess the potential to be excellent in this role regardless of prior experiences.
Therefore we encourage ALL interested individuals to submit their applications, even if they do not meet every requirement outlined in the job description.
Position Summary
The Head of Regulatory Compliance is directly accountable for regulatory compliance matters, the preparation and filing of regulatory filings, and for the oversight of the compliance review and approvals of marketing materials and external communications under firm policies and applicable regulatory regulations for Harris Associates L.P. (SEC registered investment adviser) and for Harris Associates Securities L.P. (limited purpose broker-dealer). This individual will have broad investment management compliance experience and demonstrate the ability to manage, develop, and support a high performing team in a high volume, collaborative environment. The Head of Regulatory Compliance works with multiple departments on regulatory compliance projects and provides support and assistance to the Chief Compliance Officer as well as other departments as needed.
Success in this role means having a proactive, hands-on, and collaborative attitude with a readiness to take ownership and drive accountability of a variety of initiatives. This position will serve in both an individual contributor role and leadership role and reports to the Chief Compliance Officer.
Duties and Responsibilities
- Regulatory Tracking and Developments
- Monitor and evaluate the impact of regulatory developments related to an SEC registered investment adviser and limited purpose broker dealer in various jurisdictions, including new rules, regulatory guidance and best practices.
- Provide recommendations based on impact assessment and consult with the CCO on 206(4)-7 compliance program adjustments to deliver on recommendations.
- Regulatory Compliance Matters
- Cultivate and promote relationships with business partners and develop knowledge of products, operating environment, clients, and trends.
- Apply understanding of the business and regulatory knowledge to provide guidance to the business and determining compliance program implications.
- Actively participate in discussions with business unit personnel/management to better gain an understanding of relevant processes in order to improve regulatory reporting processes.
- Implement and maintain a records management framework and establish a data retention and deletion program across systems and processes.
- Data privacy documentation (e.g., register of data and processes, policies, procedures, remediation plan).
- Provide support to Employee Compliance in developing Regulatory Compliance related training materials.
- Support the CCO on all regulatory exams/inquiries.
- Develop metrics and key performance indicators (KPIs) for various dashboard reporting, trends, and analysis to help track effectiveness and efficiencies of compliance programs.
- Other tasks as necessary to provide solid compliance support to an evolving business.
- Regulatory Reporting, Licensing & Registration
- Maintain firm registrations and exemptions in foreign jurisdictions.
- Prepare and submit regulatory filings, including, but not limited to: Form ADV, Form CRS, Form BD, Form PF, Bureau of Economic Analysis (BE-11; BE-180; BE-15, BE-10A), Bank Holding Company Reporting, Fed TIC filings (B, S, D, SLT, SH-C/A/LA), 13 G & F, 13h-1 (Large Trader), Forms U4/U5, FINRA Contacts, etc.
- Marketing Compliance
- Serve as the back-up for the review and approval of marketing materials in accordance with compliance requirements, the firm's policies, and applicable regulatory regulations.
- Oversee maintenance of marketing compliance guidelines and remain current on developments to provide appropriate guidance and training to Marketing and other impacted groups.
- Team Management
- Contribute to developing, coordinating, and implementing departmental and team specific strategies and consistently bring forward thinking ideas and action plans for future goals and program enhancements.
- Support Privacy Officer with privacy regulations, including the review and monitoring of business activities and vendor management to ensure compliance.
- Coach, develop and advise team members focused on Volcker rule compliance, financial crimes monitoring and reporting, including AML and global sanctions.
Position Qualifications (Knowledge, Skills, Abilities)
- Bachelors degree in business administration, finance or related field with a minimum of 15 years relevant work experience in the financial services industry (investment advisory, mutual funds, broker-dealer).
- Deep expertise of SEC and FINRA laws, regulations, and guidance, particularly as it relates to providing investment advisory activities to mutual funds, ETFs, SMAs, wrap accounts, and model delivery clients.
- Experience dealing with U.S. and foreign regulators and attorneys in foreign jurisdictions.
- Excellent judgment in assessing potential compliance matters, the application of industry developments to the business and knowing when to seek independent advice and when to act independently.
- Superior communication skills with an ability to present ideas and information in a clear, succinct and logical manner.
- Strong technical and organizational skills, along with the ability to manage competing priorities and deadlines.
- Excellent attention to detail, a high degree of initiative and adaptability, and the ability to deliver timely work products.
- Strong interpersonal skills and the ability to work with all levels of personnel with a high degree of integrity, professionalism and maturity.
- Driven by collective success with proven ability to lead, coach and develop a team.
- FINRA Series 7 and 24, a plus.
- Knowledge of GIPS compliance and disclosure requirements, a plus.
We offer a comprehensive benefits package designed to integrate life and work and to support our employees and their families. Benefits include, but are not limited to; medical, prescription drug, dental and vision insurance, paid time off, profit sharing plan, 401k plan, tuition reimbursement, commuter and holistic wellness benefits along with volunteer programs.
Actual annual base salaries may vary based on factors including but not limited to education, training, experience, and other job-related factors. If hired, base pay will be determined on an individualized basis and is only one part of the total compensation package, which, depending on the position, may also include a discretionary performance bonus and other Harris sponsored benefit programs.
Expected range for this Chicago-based role
$190,000 - $230,000 USD
Equal Employment Opportunity Policy Statement Harris Associates L.P. pursues a policy of equal opportunity in all areas of employment including recruitment, hiring, training, compensation, benefits, advancement, and treatment on the job. This means that Harris does not discriminate against employees, or qualified applicants, based on an individual's race, color, religion, creed, sex, age, national origin, physical disability, sexual orientation, trans-gender status, transsexual status, status as a veteran or disabled veteran, genetic information or for any other reason prohibited by law. Harris reserves the right to review publicly available information about applicants (i.e., via social networking sites), to the extent permissible under applicable law.
Reasonable Accommodation Notice
We provide reasonable accommodation for individuals with disabilities and disabled veterans in job application procedures. If you have any difficulty using our online system and you need an accommodation due to a disability, you may use the alternative email address below to contact us about your interest in employment at or you can call us at .
Privacy Statement
The information you send to us is used for employment purposes only. What you send is kept confidentialwe will not give your personal information to outside parties without your consent.
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Are you local to Chicago, IL or willing to relocate? * Select.
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During the last year, have you been a member of an audit team that audited the
Head of Regulatory Compliance (Chicago)
Posted 12 days ago
Job Viewed
Job Description
At Harris, the true value of what makes us successful is found in our people. It is our unique mix of cultures, experiences, beliefs and backgrounds that sets Harris apart from the rest. We constantly strive to cultivate, nurture and amplify an unparalleled environment, where we value intellectual curiosity and uniqueness of thought. Inclusion is embedded in the very fabric of our culture of collaboration and openness.
We understand that a job description only tells one part of a broader story, and Harris is seeking dynamic candidates who can add to our best-in-class environment. We recognize that qualifications can be gained through both traditional and non-traditional paths, and we are committed to considering candidates who possess the potential to be excellent in this role regardless of prior experiences.
Therefore we encourage ALL interested individuals to submit their applications, even if they do not meet every requirement outlined in the job description.
Position Summary
The Head of Regulatory Compliance is directly accountable for regulatory compliance matters, the preparation and filing of regulatory filings, and for the oversight of the compliance review and approvals of marketing materials and external communications under firm policies and applicable regulatory regulations for Harris Associates L.P. (SEC registered investment adviser) and for Harris Associates Securities L.P. (limited purpose broker-dealer). This individual will have broad investment management compliance experience and demonstrate the ability to manage, develop, and support a high performing team in a high volume, collaborative environment. The Head of Regulatory Compliance works with multiple departments on regulatory compliance projects and provides support and assistance to the Chief Compliance Officer as well as other departments as needed.
Success in this role means having a proactive, hands-on, and collaborative attitude with a readiness to take ownership and drive accountability of a variety of initiatives. This position will serve in both an individual contributor role and leadership role and reports to the Chief Compliance Officer.
Duties and Responsibilities
Regulatory Tracking and Developments
- Monitor and evaluate the impact of regulatory developments related to an SEC registered investment adviser and limited purpose broker dealer in various jurisdictions, including new rules, regulatory guidance and best practices.
- Provide recommendations based on impact assessment and consult with the CCO on 206(4)-7 compliance program adjustments to deliver on recommendations.
Regulatory Compliance Matters
- Cultivate and promote relationships with business partners and develop knowledge of products, operating environment, clients, and trends.
- Apply understanding of the business and regulatory knowledge to provide guidance to the business and determining compliance program implications.
- Actively participate in discussions with business unit personnel/management to better gain an understanding of relevant processes in order to improve regulatory reporting processes.
- Implement and maintain a records management framework and establish a data retention and deletion program across systems and processes.
- Data privacy documentation (e.g., register of data and processes, policies, procedures, remediation plan).
- Provide support to Employee Compliance in developing Regulatory Compliance related training materials.
- Support the CCO on all regulatory exams/inquiries.
- Develop metrics and key performance indicators (KPIs) for various dashboard reporting, trends, and analysis to help track effectiveness and efficiencies of compliance programs.
- Other tasks as necessary to provide solid compliance support to an evolving business.
Regulatory Reporting, Licensing & Registration
- Maintain firm registrations and exemptions in foreign jurisdictions.
- Prepare and submit regulatory filings, including, but not limited to: Form ADV, Form CRS, Form BD, Form PF, Bureau of Economic Analysis (BE-11; BE-180; BE-15, BE-10A), Bank Holding Company Reporting, Fed TIC filings (B, S, D, SLT, SH-C/A/LA), 13 G & F, 13h-1 (Large Trader), Forms U4/U5, FINRA Contacts, etc.
Marketing Compliance
- Serve as the back-up for the review and approval of marketing materials in accordance with compliance requirements, the firm's policies, and applicable regulatory regulations.
- Oversee maintenance of marketing compliance guidelines and remain current on developments to provide appropriate guidance and training to Marketing and other impacted groups.
Team Management
- Contribute to developing, coordinating, and implementing departmental and team specific strategies and consistently bring forward thinking ideas and action plans for future goals and program enhancements.
- Support Privacy Officer with privacy regulations, including the review and monitoring of business activities and vendor management to ensure compliance.
- Coach, develop and advise team members focused on Volcker rule compliance, financial crimes monitoring and reporting, including AML and global sanctions.
Position Qualifications (Knowledge, Skills, Abilities)
- Bachelors degree in business administration, finance or related field with a minimum of 15 years relevant work experience in the financial services industry (investment advisory, mutual funds, broker-dealer).
- Deep expertise of SEC and FINRA laws, regulations, and guidance, particularly as it relates to providing investment advisory activities to mutual funds, ETFs, SMAs, wrap accounts, and model delivery clients.
- Experience dealing with U.S. and foreign regulators and attorneys in foreign jurisdictions.
- Excellent judgment in assessing potential compliance matters, the application of industry developments to the business and knowing when to seek independent advice and when to act independently.
- Superior communication skills with an ability to present ideas and information in a clear, succinct and logical manner.
- Strong technical and organizational skills, along with the ability to manage competing priorities and deadlines.
- Excellent attention to detail, a high degree of initiative and adaptability, and the ability to deliver timely work products.
- Strong interpersonal skills and the ability to work with all levels of personnel with a high degree of integrity, professionalism and maturity.
- Driven by collective success with proven ability to lead, coach and develop a team.
- FINRA Series 7 and 24, a plus.
- Knowledge of GIPS compliance and disclosure requirements, a plus.
We offer a comprehensive benefits package designed to integrate life and work and to support our employees and their families. Benefits include, but are not limited to; medical, prescription drug, dental and vision insurance, paid time off, profit sharing plan, 401k plan, tuition reimbursement, commuter and holistic wellness benefits along with volunteer programs.
Actual annual base salaries may vary based on factors including but not limited to education, training, experience, and other job-related factors. If hired, base pay will be determined on an individualized basis and is only one part of the total compensation package, which, depending on the position, may also include a discretionary performance bonus and other Harris sponsored benefit programs.
Expected range for this Chicago-based role: $190,000 - $230,000 USD
Equal Employment Opportunity Policy Statement
Harris Associates L.P. pursues a policy of equal opportunity in all areas of employment including recruitment, hiring, training, compensation, benefits, advancement, and treatment on the job. This means that Harris does not discriminate against employees, or qualified applicants, based on an individual's race, color, religion, creed, sex, age, national origin, physical disability, sexual orientation, trans-gender status, transsexual status, status as a veteran or disabled veteran, genetic information or for any other reason prohibited by law. Harris reserves the right to review publicly available information about applicants (i.e., via social networking sites), to the extent permissible under applicable law.
Reasonable Accommodation Notice
We provide reasonable accommodation for individuals with disabilities and disabled veterans in job application procedures. If you have any difficulty using our online system and you need an accommodation due to a disability, you may use the alternative email address below to contact us about your interest in employment at or you can call us at .
Privacy Statement
The information you send to us is used for employment purposes only. What you send is kept confidentialwe will not give your personal information to outside parties without your consent.
* indicates a required field
First Name *
Last Name *
Preferred First Name
Email *
Phone *
Resume/CV *
Are you local to Chicago, IL or willing to relocate? * Select.
Hybrid Work Environment: Employees are required to work in the Chicago office a minimum of 4 days per week. Are you able to meet this requirement? * Select.
During the last year, have you been a member of an audit team that audited the Oakmark Funds? * Select.
Were you referred to this position by a Harris employee? If so, please list their name. *
What are your compensation expectatio
Head of Regulatory Affairs US & Canada
Posted today
Job Viewed
Job Description
Join to apply for the Head of Regulatory Affairs US & Canada role at Greiner Bio-One Americas Responsibilities Establishing compliant and efficient group processes Ensuring compliant and timely product registration and re-registrations for US and Canada Main contact for regulatory authorities Ensuring compliant clearances and submission files Developing and implementing regulatory submission strategies in collaboration with R&D and Product Management Providing regulatory input for new product development and lifecycle planning Maintaining relationships with regulatory agencies for timely approvals Monitoring quality standards and leading continuous improvement initiatives Managing licenses, registrations, and listings renewals Driving regulatory process improvements and harmonization within the global organization Reviewing and approving marketing materials and device labeling Evaluating FDA reportability of complaints/events Coordinating Field Safety Corrective Actions and reporting to authorities Candidate Profile Master’s degree in life sciences or engineering 10+ years of experience in FDA regulatory affairs and medical devices Knowledge of international quality standards (ISO, cGMP) Leadership and managerial skills Proactive and independent work ethic Experience with international companies/cultures is advantageous Fluent in English We value diversity and are committed to equal opportunities. We encourage all qualified individuals to apply, fostering an inclusive environment. Additional Information Seniority level: Executive Employment type: Full-time Job function: Legal Industry: Medical Equipment Manufacturing #J-18808-Ljbffr
Interim head of Regulatory Affairs (Director)
Posted today
Job Viewed
Job Description
Job Title: Interim head of Regulatory Affairs (Director) Pay rate: $250-$300/hr on W2 Work schedule: 20 Hrs/week and 100% REMOTE Client Business Driver The client is filing in new IND in Q4 and lack any internal regulatory capabilities. They require strong regulatory.
Project Manager, Legal/Compliance
Posted 15 days ago
Job Viewed
Job Description
Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.
Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.
Role: Project Manager, Legal/Compliance
This position reports to the ERISA Attorney within our Legal Department. This role will focus supporting ERISA Attorney and ERISA Compliance with respect to Northern Trust's compliance with the Employee Retirement Income Security Act of 1974, as amended ("ERISA") and the parallel provisions under the Internal Revenue Code of 1986, as amended (the "Code").
The key responsibilities of the role include:
• Oversees projects related to Northern's ongoing compliance with ERISA and the Code, as applicable.
• Collaborates with key stakeholders to define a project's scope and objectives to align with Northern's ERISA compliance-related goals.
• Develops and maintains appropriate project timelines and attends to allocating resources.
• Develops and oversees timely internal reporting regarding projects.
• Provides support, as necessary, in responding to regulatory inquiries, examinations, and subpoenas from the Department of Labor, Internal Revenue Service, and Pension Benefit Guaranty Corporation.
• Effectively and respectfully interacts with partners (e.g., relationship managers, Risk/Compliance, Tax, Legal Department, Human Resources) or external parties (e.g., regulators, other financial institutions, investigations staff), as appropriate.
Skills/Qualifications:
• Bachelor's degree in Finance, Business, Law, or a related field; PMP certification preferred.
• Minimum 5+ years of experience in project support for regulatory compliance, change management, or related fields
• In-depth Functional / Industry Knowledge is required
• Proven track record of driving strategic transformation at the enterprise level
• Prior experience with financial institutions.
• Experience working on regulatory projects and/or internal audit & remediation projects.
• Excellent analytical, problem-solving, and communication skills.
• Ability to work independently and collaboratively in a team environment.
• Excellent oral and written communication skills are required
• Highly flexible and adaptable to change
Working Model: Hybrid (#LI-Hybrid)
We have a balanced hybrid working model to ensure you get the flexibility you need, and the successful candidate will spend their time between working in the office and working from home.
Salary Range:
$83,100 - 141,300 USD
Salary range is a good faith estimate of base pay. Northern Trust provides a comprehensive benefits package including retirement benefits (401k and pension), health and welfare benefits (medical, dental, vision, spending accounts and disability), paid time off, parental and caregiver leave, life & accident insurance, and other voluntary and well-being benefits. Northern Trust also provides a discretionary bonus program that may include an equity component.
Working with Us:
As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.
Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.
We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater
Reasonable accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at
We hope you're excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.
Apply today and talk to us about your flexible working requirements and together we can achieve greater.
Head of Regulatory and External Affairs
Posted today
Job Viewed
Job Description
Vaulted Deep Head of Regulatory and External Affairs Houston, TX·San Francisco, CA·Remote·Full time Apply for Head of Regulatory and External Affairs The Head of Regulatory and External Affairs, you will be responsible for leading Vaulted’s regulatory, government affairs and community engagement work. About Vaulted Deep Vaulted is a waste management company that removes carbon. We take organic waste that can pollute our environment above ground and safely inject it ultra deep underground—permanently removing carbon from the atmosphere while protecting local land, air, and water. Vaulted is based in Houston, San Francisco, and Kansas.With a growing team of 70+ people across the country, Vaulted signed the second largest carbon removal offtake ever with Microsoft in July 2025 and is rapidly expanding to new sites. Vaulted's proprietary technology builds on decades of expertise to deliver safe, durable carbon and waste management solutions now, at scale. Description About the Role At Vaulted, we have an aggressive plan to rapidly grow our team and subsequent climate impact. As the Head of Regulatory and External Affairs, you will be responsible for leading Vaulted’s regulatory, government affairs and community engagement work. In short, you are responsible for our “licenses to operate” - ensuring we have the permits, policy, and community support needed to grow. This position will manage an existing small and growing team. Responsibilities include: Leading our work and relationships with regulators: Build and maintain strong relationships with key regulatory stakeholders, including federal and state EPA, and relevant parties. Policy Advocacy & Government Affairs: Represent Vaulted’s interests to government officials, policymakers, and regulatory agencies through various channels, including lobbying, advocacy campaigns and public relations . Community Engagement: Oversee our community engagement activities at existing and new sites. Relationship Management: Build and maintain strong relationships with key stakeholders, including government officials, legislators, and regulatory bodies. Regulatory Compliance: Ensure the organization adheres to all applicable laws, regulations, lobbying and reporting requirements related to the permitting process for organic waste injection projects. Monitoring and Analysis: Track legislative and regulatory developments at the local, state, and federal levels, and assessing their potential impact on the organization . Strategic Planning: Develop long-term strategies for navigating the regulatory and political landscape. Communication: Effectively communicate the organization's positions and priorities to internal and external stakeholders. Risk Management: Identify and mitigate potential regulatory and reputational risks. Leadership: Manage our External Affairs team, and continue to build your broader team to align withgrowth objectives. What You Will Bring To succeed in this role, and to help the company to succeed in our mission, the Head of Regulatory and External Affairs must possess strong regulatory expertise, exceptional communication and negotiation skills, and strategic foresight in navigating complex policy landscapes. They must also thrive in a fast-paced startup environment with a growing team of ever-changing needs. In addition, we seek a candidate with: Bachelor’s or Advanced Degree in Political Science, Public Policy, Regulatory Affairs, Law or related field 10 + years of experience in government relations, regulatory compliance or related area of expertise; preference given to candidates with experience specific to site development and community engagement Deep understanding of the legislative and administrative rulemaking processes, and land use regulations Ability to analyze complex policy issues and communicate them clearly and persuasively Exceptional relationship-building and interpersonal skills Ability to build and maintain strong relationships with key internal and external stakeholders Proven ability to develop and maintain community relationships throughout the life of a project Passion for and commitment to sustainability and the work of climate change mitigation. Knowledge of carbon removal is helpful, but not necessary This is a unique opportunity to work in a fast-paced and rewarding environment where your contributions will directly lead to mitigating, and eventually reversing, the worst impacts of climate change. #J-18808-Ljbffr
Head of Regulatory and External Affairs
Posted today
Job Viewed
Job Description
Join to apply for the Head of Regulatory and External Affairs role at Vaulted Deep 2 days ago Be among the first 25 applicants Join to apply for the Head of Regulatory and External Affairs role at Vaulted Deep Back Careers at Vaulted Deep Head of Regulatory and External Affairs Vaulted Deep Head of Regulatory and External Affairs Houston, TX San Francisco, CA Remote Full time Apply for Head of Regulatory and External Affairs The Head of Regulatory and External Affairs, you will be responsible for leading Vaulted’s regulatory, government affairs and community engagement work. About Vaulted Deep Vaulted is a waste management company that removes carbon. We take organic waste that can pollute our environment above ground and safely inject it ultra deep underground—permanently removing carbon from the atmosphere while protecting local land, air, and water. Vaulted is based in Houston, San Francisco, and Kansas. With a growing team of 70+ people across the country, Vaulted signed the second largest carbon removal offtake ever with Microsoft in July 2025 and is rapidly expanding to new sites. Vaulted's proprietary technology builds on decades of expertise to deliver safe, durable carbon and waste management solutions now, at scale. Description About the Role At Vaulted, we have an aggressive plan to rapidly grow our team and subsequent climate impact. As the Head of Regulatory and External Affairs, you will be responsible for leading Vaulted’s regulatory, government affairs and community engagement work. In short, you are responsible for our “licenses to operate” - ensuring we have the permits, policy, and community support needed to grow. This position will manage an existing small and growing team. Responsibilities include: Leading our work and relationships with regulators: Build and maintain strong relationships with key regulatory stakeholders, including federal and state EPA, and relevant parties. Policy Advocacy & Government Affairs: Represent Vaulted’s interests to government officials, policymakers, and regulatory agencies through various channels, including lobbying, advocacy campaigns and public relations. Community Engagement: Oversee our community engagement activities at existing and new sites. Relationship Management: Build and maintain strong relationships with key stakeholders, including government officials, legislators, and regulatory bodies. Regulatory Compliance: Ensure the organization adheres to all applicable laws, regulations, lobbying and reporting requirements related to the permitting process for organic waste injection projects. Monitoring and Analysis: Track legislative and regulatory developments at the local, state, and federal levels, and assessing their potential impact on the organization. Strategic Planning: Develop long-term strategies for navigating the regulatory and political landscape. Communication: Effectively communicate the organization's positions and priorities to internal and external stakeholders. Risk Management: Identify and mitigate potential regulatory and reputational risks. Leadership: Manage our External Affairs team, and continue to build your broader team to align with growth objectives. What You Will Bring To succeed in this role, and to help the company to succeed in our mission, the Head of Regulatory and External Affairs must possess strong regulatory expertise, exceptional communication and negotiation skills, and strategic foresight in navigating complex policy landscapes. They must also thrive in a fast-paced startup environment with a growing team of ever-changing needs. In addition, we seek a candidate with: Bachelor’s or Advanced Degree in Political Science, Public Policy, Regulatory Affairs, Law or related field 10 + years of experience in government relations, regulatory compliance or related area of expertise; preference given to candidates with experience specific to site development and community engagement Deep understanding of the legislative and administrative rulemaking processes, and land use regulations Ability to analyze complex policy issues and communicate them clearly and persuasively Exceptional relationship-building and interpersonal skills Ability to build and maintain strong relationships with key internal and external stakeholders Proven ability to develop and maintain community relationships throughout the life of a project Passion for and commitment to sustainability and the work of climate change mitigation. Knowledge of carbon removal is helpful, but not necessary This is a unique opportunity to work in a fast-paced and rewarding environment where your contributions will directly lead to mitigating, and eventually reversing, the worst impacts of climate change. Salary $185,000 - $20,000 per year Apply for Head of Regulatory and External Affairs Seniority level Seniority level Executive Employment type Employment type Full-time Job function Job function Marketing, Public Relations, and Writing/Editing Industries Climate Technology Product Manufacturing Referrals increase your chances of interviewing at Vaulted Deep by 2x Sign in to set job alerts for “Head of Communications” roles. Senior Director, Marketing Communications (with IR & PR Focus) Director of Wealth Content Strategy and Communications Public Relations Vice President (B2B Technology) Sustainability and Public Affairs Manager Executive Dir, External Relations &Partnership (University of Houston- Sugar Land) Sustainability and Public Affairs Manager Houston, TX $65, 00.00- 69,000.00 6 days ago Greater Houston 160,000.00- 180,000.00 1 week ago Senior Manager/Director, Product Marketing Student Employee-IMC Athletics External Engagement-Marketing & Promotions Team Head of School Operations, 2 Hour Learning (Remote) - 400,000/year USD Site IT Head, Infrastructure & Operations Public Relations Vice President (Cybersecurity, Financial Services) Public Relations Account Director (B2B Technology, Cybersecurity, Financial Services) Marketing Manager, Communications & Events Houston, TX 51,700.00- 99,200.00 1 week ago Associate or Full Professor of Newton Gresham Library (Director of Library Technical Services and Collection Development Houston, TX 64,900.00- 85,000.00 3 weeks ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr
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Manager, Claims Legal & Compliance
Posted 21 days ago
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Job Description
The Legal Department within IAT has an immediate need for a Manager, Claims Legal Compliance in our Raleigh headquarters. For the ideal candidate, remote will be considered. This role will be responsible for supporting in-house Claims Counsel by managing external audits, regulatory requests from internal and external stakeholders, investigating compliance issues, and delivering training programs to educate employees on compliance-related topics in line with promoting a culture of compliance within the Company.
Key Responsibilities:
- Regulatory Compliance : Monitor and ensure Company compliance with federal, state, and local regulations. Stay updated on changes in laws and regulations that may affect the Company, its claims handling, and business practices.
- Policy Development : Work in conjunction with other leaders in the Legal Department to develop, implement, and maintain compliance policies and procedures.
- Training and Education : Develop and deliver training programs to educate employees on compliance-related topics and promote a culture of compliance within the Company.
- Audits and Assessments : When necessary, interface with internal and external stakeholders to respond to Department of Insurance and other regulatory audits and requests for information. Communicate any regulatory findings and directives to senior management.
- Department of Insurance Complaints : Work collaboratively with adjusters, Managers, and Claims Leaders to ensure the Company timely and accurately responds to Department of Insurance Complaints lodged by policyholders.
- Reporting: Prepare and present compliance reports to senior management. Maintain accurate records of compliance activities and findings.
- Investigations : When necessary, conduct internal investigations into compliance issues and complaints. Work with colleagues in the Legal Department to resolve issues and implement corrective action.
- Collaboration : Collaborate with various departments, including Claims, Underwriting, HR, and Operations to ensure a cohesive approach to compliance.
Must Have:
- Bachelor’s degree with a minimum of five years of relevant experience or equivalent.
- Equivalent is defined as nine years of relevant experience.
- Strong understanding of regulatory requirements and compliance standards in the insurance industry.
- Excellent analytical and problem-solving abilities.
- Proficiency in compliance software and tools, including tools used for ISO reporting and Medicare reporting.
- Must perform work with speed and accuracy without immediate and constant supervision.
- Must exercise good judgment in recognizing scope of authority and protecting confidential information.
- Ability to multi-task and meet deadlines.
- To qualify, all applicants must be authorized to work in the United States and must not require VISA sponsorship now, or in the future, for employment purposes.
- Advanced degree
- Experience working with an insurance company a plus.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. We maintain a drug-free workplace and participate in E-Verify.
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.
Legal Compliance Analyst
Posted 1 day ago
Job Viewed
Job Description
About Harri:
Harri is the first enterprise-ready workforce management platform built for the services vertical. The services vertical faces the greatest technological challenges that exist within the world of Human Capital Management and we believe they deserve a platform built from the ground up as a result. We have experienced a tremendous amount of growth since our 2012 inception and we have no plans on stopping that growth anytime soon. We are passionate about building a team of Service First-driven individuals who want to exceed the expectations of those who experience our brand.
If youre a builder, or problem solver, and love the fast pace of a startup, its time to meet the Harri family.
Who you are:
Harri is seeking a highly skilled and dedicated In-House Legal Counsel focusing on Labor Law Compliance to join our Product Compliance team. Reporting directly to the Director of Product Compliance, this critical role will be instrumental in ensuring that Harri's cutting-edge HCM platform and internal operations adhere to the complex and evolving landscape of global labor and employment laws.
This is an exciting opportunity for a proactive and strategic legal professional to contribute to a fast-growing technology company that is revolutionizing how frontline teams operate. You will play a pivotal role in mitigating legal risks, advising on product development, and ensuring our platform remains compliant across various jurisdictions.
Key Responsibilities:
- Legal Counsel & Advice : Provide expert, pragmatic, and timely legal advice to the Product, Engineering, Sales, Human Resources, and other internal teams on a wide range of labor and employment law matters, including but not limited to:
Wage and hour laws (e.g., minimum wage, overtime, breaks, tips).
Leave laws (e.g., FMLA, Paternity/Maternity Leave, sick leave).
Discrimination, harassment, and retaliation.
Hiring, onboarding, performance management, and termination processes.
Workforce classification (employee vs. independent contractor).
Data privacy related to employee information.
Collective bargaining and union relations (where applicable).
Workplace health and safety regulations.
Compliance with specific industry regulations impacting our hospitality and retail clients.
- Product Compliance: Partner closely with the Product and Engineering teams to embed labor law compliance requirements into Harri's platform features and functionalities (e.g., scheduling, time & attendance, onboarding, payroll integration, and communication tools).
- Policy Development & Implementation: Draft, review, and update internal policies, procedures, and training materials related to labor and employment law compliance for both internal Harri operations and as guidance for our clients leveraging the platform.
- Regulatory Monitoring & Analysis: Monitor, research, and analyze new and changing labor and employment laws, regulations, and judicial decisions at federal, state, and local levels (including U.S. and U.K. jurisdictions primarily, with awareness of global trends) to assess their impact on Harri's products and business operations.
- Risk Management: Identify, assess, and mitigate legal risks associated with labor law compliance, developing proactive strategies to minimize exposure.
- Contract Review: Assist in reviewing and negotiating contracts, particularly those with a strong labor or employment law nexus.
- Training & Education: Develop and deliver training sessions to internal stakeholders on labor law compliance best practices and updates.
- External Counsel Management: Collaborate with and manage external legal counsel on specialized matters or litigation when necessary.
- Dispute Resolution: Assist in the resolution of employment-related disputes, claims, and investigations.
Experience and Skills:
- Juris Doctor (JD) degree from an accredited law school.
- Active bar admission in good standing in New York.
- Minimum of 5-8 years of experience practicing labor and employment law, with a strong preference for in-house experience within a technology or SaaS company, or significant law firm experience advising tech clients.
- Deep expertise in U.S. federal and state labor and employment laws.
- Demonstrated ability to translate complex legal requirements into practical, business-oriented advice and actionable solutions for product development.
- Excellent analytical, problem-solving, and decision-making skills.
- Strong communication (written and verbal), negotiation, and interpersonal skills, with the ability to effectively collaborate with diverse teams.
- High degree of professional ethics, integrity, and sound judgment.
- Proactive, self-motivated, and able to manage multiple priorities in a fast-paced, dynamic environment.
- Experience with HR technology platforms or workforce management solutions is a significant advantage.
The salary range for this position is $170,000-210,000 (USD).
*Please note this job description is not designed to cover or contain a complete listing of activities, duties or responsibilities that are required of the employee for this position. Duties, responsibilities and activities may change at any time.*
#J-18808-LjbffrLegal Compliance Analyst
Posted 9 days ago
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Job Description
$24.16 - $6.24 Hourly
50,248 - 75,372 Annually
This position is a Pay Band C6
Posting Details
THIS POSTING WILL BE USED FOR ONGOING RECRUITMENT AND MAY CLOSE AT ANY TIME. APPLICANT LISTS MAY BE SCREENED MORE THAN ONCE.
The NM State Land Office was named a Regional Top Workplace in 2023, 2024 and 2025 and a National Top Workplace in 2024 and 2025! To learn more about why the Land Office was voted a Top Workplace, and about the great benefits offered by the agency, copy and paste the below link into your browser:
The NM State Land Office has a Non-Emergency Telework Policy, which allows eligible employees to telework up to twenty-four (24) hours a week consistent with the agency's business needs.
As a valued State Land Office employee, you will receive a hiring bonus of forty (40) hours of leave at your start date to be used at any time. This is in addition to standard leave accrual for employees.
Why does the job exist?
The core mission of the New Mexico State Land Office (NMSLO) is to responsibly generate revenue through a wide array of leasing activities on state trust lands on behalf of public schools, universities and hospitals while stewarding the land for future generations. This position will play an important role in staffing, maintaining, and enhancing the agency's Accountability & Enforcement program, which works to ensure the responsible use of state trust land and the cleanup and reclamation of abandoned lease premises. This position will also support Legal Division special projects.
How does it get done?
The Analyst will provide essential project support including for the agency's Accountability & Enforcement efforts, with key task areas to include: complex research and analysis of laws, rules, and leases; assessment of operational activities and regulatory compliance; project tracking and reporting; preparation of correspondence; progress reviews and development of best practices; inter- and extra-divisional coordination; and working with attorneys, other staff, and consultants on litigation and other compliance matters. The position requires close collaboration with the agency's Environmental Compliance Office, GIS (Geographic Information System) team within the Information Technology Department, and other divisions including the Oil, Gas and Minerals Division.
Who are the customers?
Internal: Oil, Gas, and Minerals Division; Administrative Services; Commercial Division; Legal Division; Surface Resources Division; and executive State Land Office management officials (Office of the Commissioner).
External: New Mexico public schools, universities and hospitals; individuals; general public; lessees (agricultural, oil and gas companies, commercial, rights-of-ways); natural resource authorization users; program enrollees; hunters; other government entities (state, federal, city, county, tribal).
Ideal Candidate
The ideal candidate will have:
-Strong research, writing, and problem-solving skills
-Experience handling multiple deadlines and project tasks
-Demonstrated commitment to the agency's work protecting state trust land and resources
-Attention to detail, while at the same time proficiency with big-picture planning and implementation
-Ability to work independently and as part of a team
-Familiarity with GIS and PLSS (Public Land Survey System) a plus
Minimum Qualification
Associate Degree in Business Administration, Public Administration, or Accounting and one (1) year of directly related job experience in the areas of office administration, budgeting, purchasing, finance, accounting, auditing, cash management, contract management, and/or in the procedures of business and management principles involved in strategic planning. Any combination of education from an accredited college or university in a related field and/or direct experience in this occupation totaling three (3) years may substitute for the required education and experience.
Employment Requirements
Must possess and maintain a valid New Mexico Driver's License.
Working Conditions
Work is performed primarily in an office setting with exposure to Visual/Video Display Terminal (VDT) and extensive personal computer to include working with computers, faxes, copiers and printers, and phone usage with extended periods of sitting, standing, bending, squatting, climbing, reaching, kneeling and crawling. Ability to lift up to 25 lbs. Some travel may be required.
Supplemental Information
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Agency Contact Information: Alicia Montaño, ( . Email
For information on Statutory Requirements for this position, click the Classification Description link on the job advertisement.
Bargaining Unit Position
This position is not covered by a collective bargaining agreement.