7,569 Security Policies jobs in the United States
Compliance Officer - Risk Management
Posted today
Job Viewed
Job Description
TITLE
Compliance Officer
JOB SUMMARY
The Compliance Officer is responsible for planning, developing, organizing and ensuring implementation of compliance activities for the Texas Woman's University System (TWU). The position will work closely with departments, programs, oversight committees, and individuals throughout the University to establish a culture of compliance with state, federal, and university policies and regulations and direct an effective system of compliance controls. Work is performed under minimal supervision and performance evaluation is based on effective operation of the administrative function. The performance evaluation is conducted through the performance evaluation system and in accordance with the University Policies & Procedures.
ORGANIZATIONAL RELATIONSHIPS
Reports to: Executive Director of Risk Management
Supervises: N/A
ESSENTIAL DUTIES - May include, but not limited to the following:
- Directs the implementation of a compliance program including working with representatives from various departments, committees, and individuals assigned compliance responsibilities to ensure overall university compliance.
- Works with representatives from various departments, programs, and relevant committees to foster the development and maintenance of a culture of compliance at TWU.
- Develops and maintains comprehensive matrices and management tools that document requirements for university compliance including external reporting deadlines.
- Monitors regulatory developments and communicates relevant changes in appliable requirements to affected university departments; assists with development or modification of compliance programs; and maintains updated compliance information on the university website.
- Reports on a periodic basis on the status of the university compliance program, including development and implementation of new elements of the program.
- Maintains the ethics and compliance hotline system that allows employees to report instances of suspected non-compliance in a manner that assures no retaliation.
- Manages ethics and other employee training programs required as part of the university compliance program, and reviews data regarding all mandatory compliance training.
- Acts as an independent and objective reviewer and evaluator for compliance issues and concerns across campus. Verifies status of compliance activities and identifies trends.
- Directs compliance program investigations and responds to alleged violations of rules, regulations, policies and procedures by evaluating and initiating investigative procedures. Develops a system for uniform handling of such violations.
- Communicates and interacts with state, federal, local, and/or private organizations regarding compliance and regulatory dealings.
- Consults with the TWU Office of General Counsel to resolve difficult legal compliance issues.
- Leads and serves on various committees as necessary to ensure compliance and risk management goals.
Performs other duties as requested.
EDUCATION
Bachelor's degree required. Master's degree and relevant educational background preferred. Certified Compliance & Ethics Professional (CCEP) or similar professional designation preferred.
EXPERIENCE
Five years' experience developing and managing compliance programs in higher education or related environments. Must be familiar with federal and state requirements related to higher education including Equal Employment Opportunity Act, Title IX, HIPAA, ADA and other nondiscrimination and educational opportunity laws, rules, and regulations. Experience with writing policies and procedures. Experience developing and delivering training on various regulatory and compliance issues.
REQUIREMENT
Regular and reliable attendance at the University during regular scheduled days and work hours is an essential function of this position.
All employees share the responsibility of maintaining information security and privacy requirements within the university by adhering to Federal and State regulations, and TWU Policies & Procedures.
KNOWLEDGE, SKILLS, AND ABILITIES - The following are essential:
- Ability to perform analytic thinking and attention to detail to detect patterns in data and identify improvement measures.
- Ability to handle confidential and sensitive matters with discretion and neutrality.
- Ability to negotiate and resolve highly sensitive, complex and/or unprecedented problems.
- Ability to plan, direct, and evaluate a complex operation, using human resources, time, funds, and other resources for the accomplishment of long-term and short-term goals of the institution.
- Ability to establish and maintain effective work relationships with administrators, students, faculty, staff, regulatory agencies, and the public.
- Ability to provide administrative guidance within area of responsibility, providing direct training and supervision as needed.
- Ability to apply budgetary and fiscal planning techniques within financial constraints.
- Ability to organize work effectively, conceptualize and prioritize objectives and exercise independent judgment based on an understanding of organizational policies and activities.
- Ability to integrate resources, policies, and information for the determination of procedures, solutions, and other outcomes.
- Ability to communicate effectively orally and in writing.
- Ability to make effective and persuasive presentations on controversial or complex topics.
- Ability to use a personal computer and other office equipment, including related university software and email.
PHYSICAL DEMANDS
The physical demands described in the Essential Duties and below are representative of those that must be met by an employee to successfully perform the essential duties of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential duties.
The employee may be required to travel. Hours outside the normal workday may be required
WORK ENVIRONMENT
All employees are responsible for maintaining an environment that is free from discrimination, intimidation, harassment, including sexual harassment. Work is normally performed in a typical interior work environment.
SAFETY
TWU promotes a safe working environment. Employees are responsible for completing assigned tasks safely and efficiently, and supervisors are responsible for creating and maintaining a safe work environment. Employees must report any unsafe work conditions or practices, as well as any near-miss incidents, to their supervisor and Risk Management. Supervisors and employees should ensure that injury/accident reports are submitted to the Office of Human Resources and Risk Management within 24 hours of the incident.
Texas Woman's University strives to provide an educational environment that affirms the rights and dignity of each individual, fosters diversity, and encourages a respect for the differences among persons. Discrimination or harassment of any kind is considered inappropriate.
Texas Woman's University is committed to equal opportunity in employment and education and does not discriminate on the basis of race, color, religion, gender, sex, sexual orientation, ethnic origin, age, veteran's status, or against qualified disabled persons.
All positions at Texas Woman's University are deemed security sensitive requiring background checks.
If you are a male between the age of 18 and 25, federal law requires that you must be registered with the U.S. Selective Service System, unless you meet certain exemptions under Selective Service law. Under HB 558, enacted by the 76th Texas State Legislature, if you are currently of the age and gender requiring registration with Selective Service, but knowingly and willfully fail to do so, you are ineligible for employment with an agency in any branch of Texas state government. For additional information regarding registration or status, you can contact the Selective Service System at or .
About Us
TWU is the nation's largest university system focused on women and a federally recognized Hispanic-Serving Institution. TWU is situated approximately 30 miles north of the Dallas-Fort Worth Metroplex and is home to approximately 16,433 graduate and undergraduate students across three campuses; Denton, Dallas, and Houston respectively. This diverse academic student community is guided by faculty committed to excellence in teaching, scholarship, and service. TWU is ranked among the nation's top ethnically diverse institutions according to U.S. News & World Report (2022).
Additional information about the University is available at
Compliance Officer
Posted today
Job Viewed
Job Description
Application Deadline:
07/30/2025
Address:
320 S Canal Street
Job Family Group:
Audit, Risk & Compliance
This role has a hybrid mandate of 2x/week in office. After after Sept 15, 2025 that will increase to 3-4x /week in office .
This is a Compliance Regulatory Change position within the Compliance Program Management team that is responsible for partnering with Legal, 2LOD and 1LOD teams. This position is responsible for identifying and monitoring regulatory changes applicable to BMO.
- Monitor, analyze and communicate regulatory developments promulgated by US and Canadian financial regulators.
- Communicate applicable regulatory developments to Legal and 2LOD for analysis and 1LOD for implementation.
- Conduct the day-to-day workflow of the RCM process working with stakeholders.
- Serve as the primary contact for stakeholders on the RCM process and GRC tool including questions, deliverables, and system access.
- Tracking and reporting of assigned items to impacted businesses, management teams and various committees.
- Partner with Legal colleagues to determine the applicability for inclusion of regulations in the RCM coverage universe.
- Manage and maintain the integrity of the regulatory inventory.
- Support the development and testing of automation and continued enhancement of the RCM process in the GRC tool.
- Review and update applicable RCM procedures and standard documents.
- Create and deliver RCM specific training to stakeholders.
- Escalate issues and risks to management where appropriate.
- Exercises judgment to identify, diagnose, and solve problems within given rules.
- Work independently and regularly handles non-routine situations.
- Complete various ad hoc project requests as needed/required.
- Broader work or accountabilities may be assigned as needed
- Broader work or accountabilities may be assigned as needed.
Qualifications: - Typically between 3 - 5 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
- Recognized compliance certificate or equivalent preferred.
- Proficient level of knowledge of a compliance field.
- Strong knowledge of business operations & procedures, and activities involving documented practices.
- Proficient in communication, critical thinking, relationship management and project management skills.
- Technical proficiency gained through education and/or business experience.
- Verbal & written communication skills - In-depth.
- Collaboration & team skills - In-depth.
- Analytical and problem solving skills - In-depth.
- Influence skills - In-depth.
- Data driven decision making - In-depth.
Salary :
$63,300.00 - $117,200.00
Pay Type:
Salaried
The above represents BMO Financial Group's pay range and type.
Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position.
BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit:
About Us
At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.
As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.
To find out more visit us at
BMO is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law.
BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to and let us know the nature of your request and your contact information.
Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.
Compliance Officer
Posted today
Job Viewed
Job Description
Compliance Officer
Location : Falls Church, VA
Salary : $130,000-$145,000
About the Role
Are you passionate about regulatory compliance and making a real impact in the defense industry? Our Compliance Officer will lead our Export/Import compliance efforts company-wide. As our expert in U.S. and international regulations, you'll ensure that the company operates with the highest standards of integrity and security, supporting critical business operations and safeguarding our reputation.
What You'll Do
Regulatory Compliance & Licensing
- Prepare, submit, and manage licenses and permits with the Department of State, Department of Commerce, Bureau of Alcohol, Tobacco, Firearms and Explosives (BATFE), and other regulatory agencies.
- Act as liaison between our teams, vendors, and government agencies to ensure all documentation meets regulatory requirements.
- Investigate and resolve export/import shipment holds or seizures by U.S. Customs and Border Protection.
- Ensure ongoing compliance with ITAR, EAR, DFAR/FAR, and other applicable regulations-including records management.
- Develop, review, and implement policies to keep the company compliant and ahead of changes in the regulatory landscape.
- Oversee and support internal compliance programs, including staff training and compliance audits.
- Review and approve international travel and foreign visitor authorizations, advising on permissible activities and compliance restrictions.
Official Representation & Government Interface
- Serve as our Empowered Official with authority to sign and process federal license and registration applications.
- Register with relevant U.S. and international regulatory bodies as required.
- Interface with U.S. and international partners, tracking license status and ensuring smooth processing of export transactions.
- Ensure compliance with relevant international regulations, such as the German War Weapon Control Act, in coordination with global export teams.
Policy, Training & Continuous Improvement
- Monitor and communicate updates to export/import and federal contract regulations.
- Provide regular compliance training and guidance to employees at all levels.
- Rapidly address and report the results of audits or investigations; collaborate with Division Compliance leadership.
- Lead policy development and continuous process improvement for compliance, security, and contract management.
Customer & Contract Support
- Partner with cross-functional teams during bid/proposal processes and contract reviews, particularly on FAR/DFAR requirements.
- Create and maintain compliance matrices and ensure all contract-specific reporting is delivered accurately and on time.
- Oversee and coordinate all licensing, import, and export activities.
Other Responsibilities
- Support company safety and environmental policies.
- Manage third-party compliance and risk-based due diligence processes.
- Perform other tasks as assigned by your manager.
What You Bring
Knowledge, Skills, & Abilities
- Strong interest in mastering U.S. export/import regulations (ITAR, EAR, ATF).
- Eagerness to become an expert in FAR/DFAR and federal contract compliance.
- Experience interpreting complex legal documents (e.g., federal contracts, export licenses, Technical Assistance Agreements).
- Exceptional confidentiality, analysis, and problem-solving abilities.
- Ability to develop and implement corporate compliance programs and procedures.
- Strong, confident judgment and decision-making skills.
- Understanding of international transport and shipping standards (e.g., INCOTERMS).
- Excellent interpersonal, written, and verbal communication skills (including cross-cultural communication).
- Strong leadership and independent work capabilities.
- Expert proficiency with Microsoft Office; advanced skills with Excel for tracking and database management.
Education
- BS/BA Degree required.
Experience
- 10+ years' experience in Import and Export compliance.
- Preferred:
- Experience in defense contracting or supply chain (especially with ITAR/EAR licensing).
- Contract management experience, especially with FAR/DFAR.
- BATFE import permit processing.
- Prior work for a FOCI-mitigated company (Foreign Ownership, Control or Influence).
- Experience implementing physical security measures.
The Process: To apply for this position, please follow these steps: Apply for this job with your current resume. We'll get back to you the same day with some feedback on your application. Next you'll be invited to an online screening conversation so we can go over the job requirements together and you can ask questions. After this stage we'll give you more feedback on your application and select the candidates to move forward in the process. Typically steps 1 to 4 takes less than 24 hours.
Equal Opportunity Employer - We celebrate diversity and are committed to creating an inclusive environment for all employees, including individuals with disabilities and veterans.
#HRUJobs
Compliance Officer
Posted today
Job Viewed
Job Description
Application Deadline:07/30/2025 Address:320 S Canal Street. Job Family Group:Audit, Risk & Compliance. This role has a hybrid mandate of 2 x/week in office. After after Sept 15, 2025that will increase to 3-4 x /week in office . This is a Compliance R Compliance Officer, Compliance, Officer, Business Operations, Skills, Project Management, Banking, Business Services
Compliance Officer
Posted today
Job Viewed
Job Description
1. Compliance Officer's primary responsibility is design, implementation and effective operation of the
compliance program.
2. In carrying out policies and responsibilities of the office, Compliance Officer:
•Have direct access to CEO and Board of Trustees.
•Not be subordinate to financial business office director/manager.
•Have authority to investigate compliance violations and act as needed.
•Have access to all needed information, including contracts, billing records and contractual arrangements.
3. Board of Trustees will provide oversight of Compliance Officer's activities.
4. Compliance Officer provides updates on a regular basis to CEO and Board of Trustees on progress of
implementation and improvement of the compliance program.
Procedure
1. Oversee and monitor design, implementation and improvement of the compliance program in light of
changes in regulatory and legal environment and conformity to ethical standards.
2. Be responsible for developing, coordinating and participating in a multifaceted compliance education and
training program that ensures all employees and affiliated parties are educated about Code of Conduct,
corporate compliance program and other specific issues deemed necessary.
3. Ensure independent contractors and agents who furnish services are aware of requirements of the
compliance program with respect to coding, billing and marketing, among other things.
4. Coordinate personnel issues with Human Resources to ensure List of Excluded Individuals and Entities,
General Services Administration Debarment List and National Practitioner Data Bank have been checked
with respect to all employees, medical staff and independent contractors.
5. Work with CFO in periodic reviews, ongoing monitoring and evaluation of regulatory compliance in all
business activities, and recommend development of internal systems and controls to reinforce compliance in
those areas.
6. Independently investigate and act on matters related to compliance, ensuring corrective actions are taken
where compliance failures have been identified.
7. Develop and manage Hotline system and other feedback mechanisms that encourage managers and employees to report suspected fraud and other improprieties without fear of retaliation.
8. Be responsible, together with Audit and Monitoring Committee, to implement all necessary actions to ensure
achievement of objectives of an effective compliance program by means of review, relevant training, system
of consistent enforcement of rules and development/implementation of corrective action plans.
9. Work with Board of Trustees in consultation with outside legal counsel in reviewing and updating Code of
Conduct to ensure its continuing currency and relevance in providing guidance to management and
employees.
10. Develop, maintain and revise compliance policies and procedures for general operation of the program and
related activities to prevent illegal, unethical or improper conduct. Revise/update as needed.
11. Oversee and manage performance of the compliance program and identify potential areas of compliance
vulnerability and risk and provide specific direction for resolution of problematic issues, as well as general
guidance on how to deal with similar situations.
12. Prepare periodic reports and evidence for Board of Trustees on progress and effectiveness of compliance
activities and efforts.
13. Develop and oversee a system for uniform responses to violations of rules, regulations, policies, procedures
and Code of Conduct and ensure proper reporting of potential violations of law to duly authorized law enforcement agencies.
14. Establish audit controls and measurements to ensure correct processes are in place.
15. Maintain a working knowledge of relevant issues, laws and regulation through periodicals, seminars, training
programs and peer contact.
16. Respond appropriately if a violation is uncovered, including direct report to Board of Trustees or external
agency, if deemed necessary.
17. As part of ongoing auditing and monitoring, Compliance Officer arranges for periodic independent evaluation
of effectiveness of the compliance program.
18. Performance of other duties as may be assigned from time to time.
HIPAA Compliance
The Hospital will train Compliance Officer on all aspects of Healthcare Insurance Portability and Accountability
Act (HIPAA). Compliance Officer will adhere to all security and patient confidentiality rules and regulation
mandated by federal government and State of Mississippi. Upon commencement of employment, employee
must sign a Patient Confidentiality and Security Agreement and abide by the Hospital's Confidentiality, Privacy
and Security Policies and Procedures. Failure to adhere to HIPAA standards, Hospital's Security and
Confidentiality Policies and those set forth by federal government and State of Mississippi will result in
disciplinary action up to and including termination.
Qualifications:
Education: Doctor of Jurisprudence (JD) or equivalent degree or corporate compliance certification.
Experience: Five (5) or more years of experience desirable.
Supervised by: Administrator/CEO and reports directly to Board of Trustees.
Workers Supervised: Compliance Audit and Appeals Department.
Equal Opportunity Employer
This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.
Compliance Officer
Posted today
Job Viewed
Job Description
ManTech seeks a motivated, career and customer-oriented Compliance Officer to join our team in the Belcamp, MD. This is an onsite position. The Compliance Officer will work in support of the Army for the Network Modernization & Mission Network Technical Service Support program (NetMod). NetMod sets forth the work efforts required to provide product technical support services for systems and equipment being produced, fielded, modified or supported by PdM Network Modernization (NetMod) and PdM Mission Network of the Project Manager (PM) Tactical Network (TN) of the Program Executive Office for Command Control and Communications-Tactical (PEO C3T). This support may also include future systems and equipment that is acquired for the Army to maintain its technological advantage.
Responsibilities include but are not limited to:
- Ensure the program operates within all applicable laws, regulations, and internal policies by monitoring activities, identifying potential compliance risks, investigating issues, and implementing corrective actions to maintain adherence to legal and ethical standards.
- Regularly reviewing company operations, practices, and documentation to identify potential compliance risks across various program areas.
- Creating and maintaining comprehensive compliance policies and procedures, including training materials, to educate employees on relevant regulations and program standards.
- Conduct risk assessments to identify high-priority compliance areas and prioritize mitigation strategies.
- Perform regular internal audits to verify compliance with established policies and procedures, documenting findings, and recommending corrective actions.
- Communicate compliance concerns to senior management, including regular updates on compliance status and potential risks.
Basic Qualifications:
- Requires a Bachelors of Science / Bachelors of Administration from an accredited university
- 10+ years of relevant management experiences as an analyst.
- 5+ years of relevant DoD contracting experience.
- Deep understanding of relevant laws, DoD/US Army regulations, and industry standards.
- Experience and understanding of processes of investigating potential compliance violations or complaints, gathering evidence, and taking appropriate actions when necessary.
- Analyzing data to pinpoint inefficiencies, bottlenecks, or areas where improvements can be made.
- Strong ability to interpret data, identify patterns, and draw meaningful conclusions.
- Excellent written and verbal communication skills to present findings effectively.
Preferred Qualifications:
- Ability to assess complex situations, identify potential risks, and interpret data.
- Experience preparing procedures and training on concepts and guidelines.
- Experience analyzing operations within a specific company, such as finance, operations, or human resources.
- Experience delivering compliance training programs to employees at all levels to raise awareness of ethical conduct and regulatory requirements.
Clearance Requirements:
- Must have an active Secret clearance.
Physical Requirements:
- Must be able to remain in a stationary position 50% of the time.
- Needs to occasionally move about inside the office to access file cabinets, office machinery, etc.
- Frequently communicates with co-workers, management, and customers, which may involve delivering presentations. Must be able to exchange accurate information in these situations.
Compliance Officer
Posted today
Job Viewed
Job Description
Looking to advance your career as a Compliance Officer and join a growing investment management business? This is a fantastic opportunity to join a great company and gain exposure across a variety of financial activities and markets!
About the Role
Join a Compliance team that supports Swiss Re's investment advisory and broker-dealer businesses, using your technical expertise and understanding of regulation to aid in the design and implementation of compliance programs that meet applicable regulatory requirements.
Key responsibilities include :
- Monitoring of law and regulation, particularly the Investment Advisers Act of 1940.
- Assessing compliance risk and impact to financial activities.
- Providing advice and guidance on requirements to internal partners.
- Communicating with stakeholders and reporting on Compliance matters.
- Training on requirements and procedures.
- Supporting regulatory filings and other operational matters.
About the Team
Our team provides advice and support to the groups at Swiss Re conducting financial markets activities, including an SEC registered investment advisor and FINRA broker-dealer. We collaborate with one another and work closely with our business partners in a constructive environment, seeking to empower success while achieving effective compliance risk mitigation. Individual growth and career development is important to us.
About You
You have at least 5 years' experience as a compliance officer, preferably with an SEC-registered investment advisory firm. You collaborate well in a team environment while also thriving with independent assignments. High attention to detail and strong organization skills set you apart from others and contribute to your success. You are inquisitive and engaging with superior communications skills.
Other Essentials:
- Must have experience with compliance programs that fall under the Investment Advisers Act of 1940.
- Strong analytical skills and the ability to assess complex issues.
- Proficient in MS Office products such as Outlook, Excel, Word, Power Point.
The estimated base salary range for this position is $116,000 to $186,000. The specific salary offered for this or any given role will take into account a number of factors including but not limited to job location, scope of role, qualifications, complexity/specialization/scarcity of talent, experience, education, and employer budget. At Swiss Re, we take a "total compensation approach" when making compensation decisions. This means that we consider all components of compensation in their totality (such as base pay, short-and long-term incentives, and benefits offered), in setting individual compensation.
About Swiss Re
Swiss Re is one of the worlds leading providers of reinsurance, insurance and other forms of insurance-based risk transfer, working to make the world more resilient. We anticipate and manage a wide variety of risks, from natural catastrophes and climate change to cybercrime. Combining experience with creative thinking and cutting-edge expertise, we create new opportunities and solutions for our clients. This is possible thanks to the collaboration of more than 14,000 employees across the world.
Our success depends on our ability to build an inclusive culture encouraging fresh perspectives and innovative thinking. We embrace a workplace where everyone has equal opportunities to thrive and develop professionally regardless of their age, gender, race, ethnicity, gender identity and/or expression, sexual orientation, physical or mental ability, skillset, thought or other characteristics. In our inclusive and flexible environment everyone can bring their authentic selves to work and their passion for sustainability.
If you are an experienced professional returning to the workforce after a career break, we encourage you to apply for open positions that match your skills and experience.
Swiss Re is an equal opportunity employer. It is our practice to recruit, hire and promote without regard to race, religion, color, national origin, sex, disability, age, pregnancy, sexual orientations, marital status, military status, or any other characteristic protected by law. Decisions on employment are solely based on an individual's qualifications for the position being filled.
During the recruitment process, reasonable accommodations for disabilities are available upon request. If contacted for an interview, please inform the Recruiter/HR Professional of the accommodation needed.
Keywords:
Reference Code: 133537
Swiss Reinsurance Company Ltd, commonly known as Swiss Re, is a reinsurance company based in Zurich, Switzerland.
NoticeTalentify is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status.
Talentify provides reasonable accommodations to qualified applicants with disabilities, including disabled veterans. Request assistance at or 407-000-000.
Federal law requires every new hire to complete Form I-9 and present proof of identity and U.S. work eligibility.
An Automated Employment Decision Tool (AEDT) will score your job-related skills and responses. Bias-audit & data-use details: . NYC applicants may request an alternative process or accommodation at or 407-000-000.
#J-18808-LjbffrBe The First To Know
About the latest Security policies Jobs in United States !
Compliance Officer
Posted today
Job Viewed
Job Description
The Compliance Department at Millennium serves to adopt, implement, and carry out a compliance program, including policies and procedures, processes, systems, controls, surveillance, testing, and reporting, which is designed to prevent or detect violations of applicable laws, rules, and regulatory requirements and Firm policies.
Day-to-day, the Compliance Officer will be instrumental in navigating regulatory requirements applicable to Millennium's registered FCM and Clearing Member. Your primary focus will be delivering real-time compliance advisory services for Millennium's self-clearing futures business. You will oversee transactions, conduct self-examination reviews, educate employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. You will also address inquiries and assist with regulatory examinations and investigations.
Ideal candidates should have experience working in compliance and/or regulatory reporting at a registered FCM and CME Clearing Member. The role requires an investigative mentality with an analytical approach to problem solving and keen attention to detail. Additionally, possessing excellent verbal and written communication skills and having prior experience working in a highly regulated environment is required.
Responsibilities- Assist the FCM's Chief Compliance Officer by delivering Compliance Advisory services to FCM and Clearing Member business.
- Complete or assist in completing FCM regulatory inquiries and examinations
- Collaborate to ensure compliance calendar deadlines are met
- Develop or assist in development of FCM policies and procedures
- Address FCM business questions
- Support FCM related compliance matters
- Ensure adherence to the FCM's regulatory requirements under NFA, CFTC, CME, FICC and other applicable organizations
- Reviews of electronic communications
- Undertake special compliance related projects as assigned
- Maintain accurate and organized compliance books and records
- Bachelor's degree in Finance, Economics or a related field is preferred, with a strong academic record
- 5+ years of experience; prior compliance and/or regulatory reporting experience at a registered FCM and CME Clearing Member
- Experience in the securities and trading industry preferred
- Knowledge of US financial markets, clearing, trading, and regulatory reporting
- Experience working with FCM bookkeeping systems (e.g., GMI)
- Exceptional written, analytical, and research skills and the ability to apply both quantitative and qualitative analysis
- Strong attention to detail, organization, and effective communication skills, both verbal and written
- Ability to work effectively and independently with all levels of management and staff
- Ability to handle several tasks simultaneously
- Attention to detail and the ability to identify complex problems, review related information to develop and evaluate options
- Proficient to advanced computer skills including Bloomberg, MS Outlook, Word, Excel and PowerPoint
The estimated base salary range for this position is $70,000 to $160,000, which is specific to New York and may change in the future. Millennium pays a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package. When finalizing an offer, we take into consideration an individual's experience level and the qualifications they bring to the role to formulate a competitive total compensation package.
Compliance Officer
Posted today
Job Viewed
Job Description
Reports to: Chief Compliance Officer
Department: Compliance Department
Status: Exempt
Salary: $125,000-$160,000
Location: Boston or New York
This individual will act as a Compliance Officer for Leerink Partners, an institutional brokerage and investment-banking firm specializing in the healthcare sector. The broker-dealer has a need for an experienced compliance officer with knowledge that includes FINRA registrations and licensing, onboarding including pre-hire FINRA background review, compliance training, employee disclosure items, continuing education, branch inspections (including RSLs, remote) and the FINRA Gateway and CRD system.
In addition, the ideal candidate will become involved and have an opportunity to play an active role in other areas of Core compliance including regulatory inquiries, marketing and research reviews, surveillance and regulatory compliance efforts in the primary business units of Institutional Sales and Trading, Research, and Investment Banking.
Primary Duties and Responsibilities:
- Conduct Licensing and Registrations activities including regulatory reporting on (Form U4, U5, BR, BD, 4530)
- Conduct annual registration renewals for individuals, states, and foreign jurisdictions
- Coordinate annual review (or as needed) and update of FORM BRs and FORM BD
- Research securities rules and regulations, specifically those that impact areas of responsibility, including interaction with FINRA.
- Review and revise firm policies and procedures related to the areas of responsibility.
- Act as a resource and provide guidance, education and training to business lines, firm employees and representatives on current and changing industry rules, regulations, compliance matters, firm policies and best practices for areas of responsibility.
- Assist in obtaining information responsive to regulatory inquiries and investigations as requested.
- Assist with technological upgrades to meet increasing regulatory demands.
- Participate in specific compliance related projects as may be assigned from time to time.
- This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.
- BA or BS degree required
- Series 7 or equivalent preferred; Series 24 or other registrations a plus
- Three to seven years compliance experience
- Three years' experience with FINRA CRD system
- Strong verbal and written communication skills communications, including the ability to: Effectively and proactively communicate with persons of any professional level; and understand, explain and deliver urgent information
- Ability and experience in identifying regulatory issues and management reporting
- Ability to prioritize and handle multiple projects simultaneously
- Able to take initiative and assume responsibility
- Strong work ethic and commitment to Firm and Department
Compliance Officer
Posted today
Job Viewed
Job Description
Job Title : Compliance Officer
This position is available as a hybrid assignment, based out of our San Antonio office.
Summary :
The Compliance Officer is responsible for overseeing the bank's compliance with applicable federal and state banking laws and regulations. This role participates in the development, implementation, and ongoing enhancement of the Compliance Management System (CMS) to ensure effective risk management, regulatory adherence, and operational integrity. The compliance Officer works cross-functionally to embed compliance into daily operations and supports a strong culture of compliance throughout the organization.
Wage Type : Salaried Exempt
Essential Duties & Responsibilities:
To perform this job successfully, an individual must be able to perform each of the essential duties satisfactorily. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
- Develop, implement, and maintain compliance policies and procedures to ensure adherence to applicable federal and state regulations.
- Identify and assess compliance risks across the organization and implement effective strategies to mitigate those risks.
- Conduct compliance monitoring and testing to validate adherence to internal policies and external regulatory requirements.
- Provide compliance training and education to employees to promote awareness and understanding of regulatory obligations.
- Monitor changes in laws and regulations and lead efforts to ensure timely organizational adaptation.
- Prepare and deliver compliance reports to senior management, highlighting key risks, trends, and corrective actions.
- Prepare and aggregate material for the bank's Enterprise Risk and Audit Compliance and Risk Committees.
- Facilitate internal audits and regulatory examinations by coordinating documentation, coordinating requested meetings, responding to inquiries, and supporting Bank Management to ensure an efficient process.
- Perform due diligence and ongoing oversight of third-party vendors to ensure compliance with relevant regulations.
- Promote a culture of compliance and continuous improvement throughout the organization.
- Collaborate with front-line management to ensure compliance is embedded into business practices and aligned with the institution's values and risk appetite.
- Execute all responsibilities in accordance with internal policies, applicable laws, and a commitment to process excellence.
- Perform other duties as assigned.
- Management of the Bank's Exam and Audit Management and Committee Material Aggregation programs.
- Development and Management of the bank's Compliance Monitoring Program
- Enhance process effectiveness, efficiency, and control.
Reports to: Chief Compliance Officer, Core Banking
Supervises: None
Qualifications:
Education:
- Bachelor's Degree in Business or Related Field.
- Master's Degree is a plus.
- 5+ experience as a compliance officer or similar position in financial services
- Strong knowledge of regulatory compliance regulations including but not limited to deposit and lending operations, privacy, fair lending, UDAAP, and Community Reinvestment Act.
- Extensive knowledge of financial institution policies and procedures
- Extensive ability to read, analyze and interpret government regulations, trade journals and legal documents
- Must be able to respond to common inquiries from regulatory agencies, courts, and outside consultants
- CRCM Certification is a plus.
- 7+ years in banking operations, compliance, and/or risk management.
- Strong positivity.
- Mission driven, competitive, goal oriented, and motivated to develop themselves and others.
- Energetic, resourceful, and appropriate work intensity to get the work done
- Strong people acumen and relationship skills; Naturally pre-disposed to quickly establish positive personal and professional relationships.
- Ability to interpret a variety of instructions furnished in written, oral, diagram or schedule form.
- Must be able to lift to 20 pounds.
TransPecos Banks will not accept unsolicited resumes from any source other than the candidate. We will consider any candidate for whom an Agency submits an unsolicited resume, to have been referred to us by the Agency free of any charges or fees, other than those agencies we engage on a specific search. TransPecos Banks will not pay a fee for any placement resulting from the receipt of an unsolicited resume.