701 Trade Compliance Officer jobs in the United States

Job Description:

Job Title Surveillance - Trade Surveillance Compliance Officer

Corporate Title Associate

Location Jacksonville, FL

Overview

Compliance is seeking an Analyst within the Trade Surveillance team to monitor and investigate trading related activities. The primary function of the role is detecting, monitoring, examining and investigating trading activities of Deutsche Bank Investment Bank (IB) to identify possible violations of market abuse and of the Firm's Trading Policies.

What We Offer You

• A diverse and inclusive environment that embraces change, innovation, and collaboration

• A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days

• Employee Resource Groups support an inclusive workplace for everyone and promote community engagement

• Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits

• Educational resources, matching gift and volunteer programs

What You'll Do

• Conduct daily surveillance of Firm and Customer trading activity to ensure compliance with appropriate rules, regulations, and firm policies

• Perform research and investigations to identify the reason for potential violations

• Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements

• Work with members of the Firm's Business Lines, Compliance, Legal, and other departments, to identify, analyze, investigate, and resolve issues

• Perform ad-hoc reviews which may consist of inbound, outbound, and internal correspondence of Deutsche Bank employees

• Liaise with Information Technology and Senior Management in the development, review, and testing of surveillance models

Skills You'll Need

• Moderate work experience in regulatory, audit, compliance, risk, surveillance, or equivalent

• Minimum of a College degree (prefer in Finance, Business or Accounting) or equivalent work experience

• Knowledge/experience with financial markets and an array of financial products (including stocks, bonds, derivative products) is a plus

• The ability to prioritize and communicate effectively across multiple teams and functions

• Self-motivated, proactive and able to use your own initiative

Skills That Will Help You Excel

• Excellent verbal communication and written skills

• A proactive approach to tasks and responsibilities

• Ability to multi-task effectively and handle change well

• Advanced PowerPoint and MS Excel (pivot tables, experience with large data sets, proficient in data manipulation and presentation)

• Team player with great attitude, interpersonal skills and strong work ethic

Expectations

It is the Bank's expectation that employees hired into this role will work in the Jacksonville, FL office in accordance with the Bank's hybrid working model.

Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.

The salary range for this position in Jacksonville is $54,000 to $77,400.Actual salaries may be based on a number of factors including, but not limited to, a candidate's skill set, experience, education and other qualifications. Posted salary ranges do not include incentive compensation or any other type of renumeration

Deutsche Bank Benefits

At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That's why we are focused on providing benefits and perks that enable our colleagues to live authentically and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Click here to learn more!

Learn more about your life at Deutsche Bank through the eyes of our current employees

The California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of Deutsche Bank's California Privacy Notice please

#LI-HYBRID

We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.

Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.

We welcome applications from all people and promote a positive, fair and inclusive work environment.

Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law. Click these links to viewDeutsche Bank's Equal Opportunity Policy Statementand the following notices:EEOC Know Your Rights;Employee Rights and Responsibilities under the Family and Medical Leave Act; andEmployee Polygraph Protection Act.

**About this role:**
Wells Fargo is seeking a **Lead Compliance Officer** in Corporate Risk as part **Trade Surveillance Oversight** Team.
This role will be responsible for providing oversight of the front-line Market Conduct & Supervision Program market abuse monitoring activities.
Learn more about the career areas and business divisions at wellsfargojobs.com ( .
**In this role, you will:**
+ Provide oversight, monitoring and effective challenge of the front-line surveillance program in line with federal, state, agency, legal, regulatory and Corporate Policy requirements.
+ Oversee the Front Line's execution and challenge appropriately on surveillance and market abuse risk related decisions.
+ Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
+ Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding front line oversight
+ Develop, oversee, and provide expert business and regulatory compliance functional knowledge.
+ Develop and present Oversight program materials to senior management.
+ Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines.
+ Make decisions and resolve issues to meet business objectives.
+ Interpret policies, procedures, and compliance requirements.
+ Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals.
+ Work with complex business units, rules and regulations on moderate to high-risk compliance matters.
**Required Qualifications:**
+ 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
**Desired Qualifications:**
+ Understanding of market abuse concepts and experience operating surveillance platforms including but not limited to the creation, enhancement and testing of surveillance modules around specific market abuse behaviors across multiple asset classes.
+ Understanding of Corporate and Investment Banking business operations, processes, products and customer interactions.
+ Subject matter expertise and experience in rates and / or equities surveillance, data types and lifecycles with fixed income, municipals, and futures a plus.
+ Proven track record of improving processes and enhancing surveillance applications (Trading Hub, Actimize ActOne, Protegent, Catalyst, GMI)
+ Surveillance, testing or audit experience in a regulatory environment experience
+ Experience in a financial services, audit, compliance or regulatory organization
+ Knowledge of US Market Abuse or Manipulation Regulations and FCA MAR Behaviors
+ Knowledge of FINRA, CFTC, NFA, FX Global Code
+ Surveillance exposure in fixed income, derivatives, equities and futures asset
+ Prior experience with trade data and parameter reviews, regression testing, documentation and aggregation experience.
+ Strong leadership skills and strong analytical skills with high attention to detail and accuracy.
+ Ability to prioritize multiple engagements simultaneously initiate action, engage in effective challenge, make difficult decisions, and raise issues.
+ Professionalism, adaptability and strong collaboration skills.
+ Good communication skills (verbal and written) including the ability to concisely articulate complex concepts in a clear manner.
+ Strong Microsoft Office skills, including the ability to produce materials suitable for senior management presentations.
+ Demonstrate good judgment and problem-solving abilities.
**Job Expectations:**
+ Ability to travel up to 10% of the time.
+ This position offers a hybrid work schedule.
+ Willingness to work onsite at stated location on the job posting.
+ This position is not eligible for VISA sponsorship.
+ This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
**Job Locations:**
+ Three Wells Fargo Center, 401 S Tryon St, CHARLOTTE, NC
**Pay Range**
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$119,000.00 - $224,000.00
**Benefits**
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs ( for an overview of the following benefit plans and programs offered to employees.
+ Health benefits
+ 401(k) Plan
+ Paid time off
+ Disability benefits
+ Life insurance, critical illness insurance, and accident insurance
+ Parental leave
+ Critical caregiving leave
+ Discounts and savings
+ Commuter benefits
+ Tuition reimbursement
+ Scholarships for dependent children
+ Adoption reimbursement
**Posting End Date:**
10 Oct 2025
*** **_Job posting may come down early due to volume of applicants._**
**We Value Equal Opportunity**
Wells Fargo 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, status as a protected veteran, or any other legally protected characteristic.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
**Applicants with Disabilities**
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo ( .
**Drug and Alcohol Policy**
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy ( to learn more.
**Wells Fargo Recruitment and Hiring Requirements:**
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
**Req Number:** R-

**About this role:**
Wells Fargo is seeking a **Lead Compliance Officer** in Corporate Risk as part **Trade Surveillance Oversight** Team.
This role will be responsible for providing oversight of the front-line Market Conduct & Supervision Program market abuse monitoring activities.
Learn more about the career areas and business divisions at wellsfargojobs.com ( .
**In this role, you will:**
+ Provide oversight, monitoring and effective challenge of the front-line surveillance program in line with federal, state, agency, legal, regulatory and Corporate Policy requirements.
+ Oversee the Front Line's execution and challenge appropriately on surveillance and market abuse risk related decisions.
+ Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
+ Monitor and independently challenge the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding front line oversight
+ Develop, oversee, and provide expert business and regulatory compliance functional knowledge.
+ Develop and present Oversight program materials to senior management.
+ Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines.
+ Make decisions and resolve issues to meet business objectives.
+ Interpret policies, procedures, and compliance requirements.
+ Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals.
+ Work with complex business units, rules and regulations on moderate to high-risk compliance matters.
**Required Qualifications:**
+ 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
**Desired Qualifications:**
+ Understanding of market abuse concepts and experience operating surveillance platforms including but not limited to the creation, enhancement and testing of surveillance modules around specific market abuse behaviors across multiple asset classes.
+ Understanding of Corporate and Investment Banking business operations, processes, products and customer interactions.
+ Subject matter expertise and experience in rates and / or equities surveillance, data types and lifecycles with fixed income, municipals, and futures a plus.
+ Proven track record of improving processes and enhancing surveillance applications (Trading Hub, Actimize ActOne, Protegent, Catalyst, GMI)
+ Surveillance, testing or audit experience in a regulatory environment experience
+ Experience in a financial services, audit, compliance or regulatory organization
+ Knowledge of US Market Abuse or Manipulation Regulations and FCA MAR Behaviors
+ Knowledge of FINRA, CFTC, NFA, FX Global Code
+ Surveillance exposure in fixed income, derivatives, equities and futures asset
+ Prior experience with trade data and parameter reviews, regression testing, documentation and aggregation experience.
+ Strong leadership skills and strong analytical skills with high attention to detail and accuracy.
+ Ability to prioritize multiple engagements simultaneously initiate action, engage in effective challenge, make difficult decisions, and raise issues.
+ Professionalism, adaptability and strong collaboration skills.
+ Good communication skills (verbal and written) including the ability to concisely articulate complex concepts in a clear manner.
+ Strong Microsoft Office skills, including the ability to produce materials suitable for senior management presentations.
+ Demonstrate good judgment and problem-solving abilities.
**Job Expectations:**
+ Ability to travel up to 10% of the time.
+ This position offers a hybrid work schedule.
+ Willingness to work onsite at stated location on the job posting.
+ This position is not eligible for VISA sponsorship.
+ This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
**Job Locations:**
+ Three Wells Fargo Center, 401 S Tryon St, CHARLOTTE, NC
**Pay Range**
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$119,000.00 - $224,000.00
**Benefits**
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs ( for an overview of the following benefit plans and programs offered to employees.
+ Health benefits
+ 401(k) Plan
+ Paid time off
+ Disability benefits
+ Life insurance, critical illness insurance, and accident insurance
+ Parental leave
+ Critical caregiving leave
+ Discounts and savings
+ Commuter benefits
+ Tuition reimbursement
+ Scholarships for dependent children
+ Adoption reimbursement
**Posting End Date:**
10 Oct 2025
*** **_Job posting may come down early due to volume of applicants._**
**We Value Equal Opportunity**
Wells Fargo 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, status as a protected veteran, or any other legally protected characteristic.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
**Applicants with Disabilities**
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo ( .
**Drug and Alcohol Policy**
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy ( to learn more.
**Wells Fargo Recruitment and Hiring Requirements:**
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
**Req Number:** R-

SUMMARY:

The Compliance Officer ensures inspections, reporting, and Officer related field and administrative processes are being performed as directed. Inspects provider motor vehicles for compliance with statutory regulations by performing the following duties. Serves as Instructor or Facilitator for Driver Training. Acts as a liaison in the field for contractual requirements, while engaging providers and drivers.

Location: West Memphis, AR or Jackson TN

ESSENTIAL FUNCTIONS:

Reviews upcoming expiration inspection reports statewide.

• Reviews employer records to determine the accidents, traffic violations, and medical information are recorded according to federal and state regulations. Interprets applicable regulations and suggests methods of self-inspection to accomplish voluntary compliance with the code.
• Inspects vehicle systems such as lights, brakes, tires, directional signals, exhaust systems, and warning devices to detect excessive wear or malfunction. Measures interior and exterior noise levels. Measures efficiency of emission control devices.
• Computes and records weight or utilizes portable scale to determine gross weight and distribution of load over axles.
• Reviews vehicle log to verify driver has not exceeded allowable driving hours required permits and licenses are displayed.
• Declares vehicle or driver out-of-service for violation of intrastate interstate commerce regulations.
• Accompanies providers to observe conduct and observance with safety precautions.
• Leads class for Non-Emergency Medical Transportation (NEMT) Provider training according to contractual guidelines and Verida established curriculum. Assures that all NEMT Providers are appropriately trained and operating within compliance of all vehicles, drivers, and contractual requirements.
• Follows all Verida policies and procedures
• Regular and predictable attendance
• Report and communicate with management to resolve issues
• Ability to problem solve and enact critical thinking skills to find resolutions while in the field
• The ability to act independently and as part of the compliance team.
• Frequent travel, including overnight travel required
• Works nights and weekends to meet business needs
• Conduct Passenger Assistance Safety and Sensitivity "PASS" driver training class as needed.
• Conduct Basic First Aid and CPR training.
• Conduct Defensive Driving training.
• Recommends best practices and facilitates remedial training, as needed, to ensure safe and timely transportation.
• Investigates and prepare reports on all accidents/incidents as directed.

• Maintains a culture of safety including assisting with regularly scheduled safety/training meetings, observations, and evaluations.

• Reports performance concerns of drivers to management for proper resolution.
• Champion for NetNotes and driver portal. Provide IT feedback and recommendations for product development
• Available to answer calls and address fleet/training issues after hours and on weekends.
• Serve as a point-of-contact related to inspections and training to all departments.
• Ensures all provider vehicle requirements are met and documentation is up to date.

QUALIFICATIONS REQUIRED:

• Ability to read and interpret documents such as safety rules, operating and maintenance instructions, and procedure manuals. Ability to write routine reports and correspondence. Ability to speak effectively before groups of customers or employees of an organization.

• Ability to become a Certified Passenger Assistance Safety and Sensitivity ("PASS") instructor within three months of hire date.
• Ability to become a Basic First Aid and CPR instructor
• Ability to become a Certified Defensive Driver Instructor.
• Ability to observe and understand business processes ensuring processes are documented accurately
• Able to handle highly confidential and sensitive information
• Ability to work extended hours when the workload necessitates. This could include weekends, evenings, and holidays.
• Ability to travel as needed.
• Ability to handle fast-paced and high-stress situations
• Basic reading, writing, and arithmetic skills
• Strong organizational skills, including time management and follow-up
• Excellent interpersonal, communication, and leadership skills
• Clean motor vehicle driving history as defined by the governing contract.
• Ability to sit or stand for long periods of time
• Other physical activities required to successfully complete assigned duties

PREFERRED QUALIFICATIONS

• Associate degree from an accredited college or university and/or commensurate experience in the areas of fleet management, training, or compliance
• Proficient in Microsoft Office software (Word, Excel, Outlook, PowerPoint)
• 1-Year training experience. Including hands-on and classroom setting

PHYSICAL RESPONSIBILITIES:

• The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job follows: regularly required to stand, walk, sit reach with hands and arms, climb and balance, stoop, kneel, crouch, and crawl. The employee must be able to lift and/or move more than 50 pounds.

Job Description

Compliance Officer:

The Compliance Officer is responsible for various compliance areas including training, monitoring reviews, policy and procedures, and product development with each department of the bank. The Compliance Officer helps ensure the Bank maintains a strong and effective compliance management system by assessing the overall adherence to bank protection laws and regulations primarily through the performance of periodic reviews of applicable processes and procedures

Compliance Officer Requirements:

• Bachelors Degree
• CRCM and/or CAMS preferred
• 7 to 10 years experience in banking with 3 to 5 years of compliance experience
• Strong computer skills: Advanced skill level in Microsoft Excel; Experience with Microsoft Word and PowerPoint. Experience with industry-related systems/software
• Strong data analysis skills
• Knowledgeable of compliance laws, rules, and regulations including consumer protection regulations, TRID-RESPA, UDAAP, FCRA, HMDA, etc. Thorough knowledge of the Bank Secrecy Act, CRA, and any other regulations is required.

Compliance Officer Responsibilities:

• The Compliance Officer is responsible for maintaining current knowledge of BSA, AML, and OFAC regulations and all bank-related compliance regulations. This person will also use monitoring application systems, maintain investigation files, and conduct periodic assessments of the departments for compliance. Prepare BSA/AML Risk Assessment by identifying the risk profile of the Bank and analyzing the information to better assess the risks identified and mitigate any gaps in control
• Oversee the preparation, research, and filing of SARs and CTRs
• This position will serve on the Compliance Committee and the IT Steering Committee
• Assign and monitor annual BSA training and all other compliance training to Board and Employees
• Meet and discuss with Examiners and Auditors regarding the BSA program and compliance
• Review all projects for BSA and compliance-related issues
• Responsible for monitoring the effectiveness of the Identity Theft Program and providing updates to the Board of Directors
• This position is responsible for monitoring all bank regulations and creating/changing policies and/or procedures for new or updated regulations
• Will be responsible for monitoring/changes of all disclosures for compliance with Federal and State regulations. Reviews product and service disclosures and advertising materials for compliance with applicable rules
• Conduct due diligence on new MSB applications, and establish and direct ongoing monitoring activities for those MSBs based upon risk

This opportunity includes an excellent compensation and benefits package. This bank prides itself on retaining employees and has one of the best tenure backgrounds in the area - a competitive salary and bonus incentive program.

I partner with companies all over Missouri and work with other GPAC recruiters in the U.S. to place qualified candidates with strong companies. To be considered for this position and others, please apply with a resume. With any more questions or inquiries, email Nash Wergin at

All qualified applicants will receive consideration without regard to race, age, color, sex (including pregnancy), religion, national origin, disability, sexual orientation, gender identity, marital status, military status, genetic information, or any other status protected by applicable laws or regulations. GPAC (Growing People and Companies) is an award-winning search firm specializing in placing quality professionals within multiple industries across the United States since 1990. We are extremely competitive, client-focused and realize that our value is in our ability to deliver the right solutions at the right time.

Job Description

Compliance Officer:

The Compliance Officer is responsible for various compliance areas including training, monitoring reviews, policy and procedures, and product development with each department of the bank. The Compliance Officer helps ensure the Bank maintains a strong and effective compliance management system by assessing the overall adherence to bank protection laws and regulations primarily through the performance of periodic reviews of applicable processes and procedures

Compliance Officer Requirements:

• Bachelors Degree
• CRCM and/or CAMS preferred
• 7 to 10 years experience in banking with 3 to 5 years of compliance experience
• Strong computer skills: Advanced skill level in Microsoft Excel; Experience with Microsoft Word and PowerPoint. Experience with industry-related systems/software
• Strong data analysis skills
• Knowledgeable of compliance laws, rules, and regulations including consumer protection regulations, TRID-RESPA, UDAAP, FCRA, HMDA, etc. Thorough knowledge of the Bank Secrecy Act, CRA, and any other regulations is required.

Compliance Officer Responsibilities:

• The Compliance Officer is responsible for maintaining current knowledge of BSA, AML, and OFAC regulations and all bank-related compliance regulations. This person will also use monitoring application systems, maintain investigation files, and conduct periodic assessments of the departments for compliance. Prepare BSA/AML Risk Assessment by identifying the risk profile of the Bank and analyzing the information to better assess the risks identified and mitigate any gaps in control
• Oversee the preparation, research, and filing of SARs and CTRs
• This position will serve on the Compliance Committee and the IT Steering Committee
• Assign and monitor annual BSA training and all other compliance training to Board and Employees
• Meet and discuss with Examiners and Auditors regarding the BSA program and compliance
• Review all projects for BSA and compliance-related issues
• Responsible for monitoring the effectiveness of the Identity Theft Program and providing updates to the Board of Directors
• This position is responsible for monitoring all bank regulations and creating/changing policies and/or procedures for new or updated regulations
• Will be responsible for monitoring/changes of all disclosures for compliance with Federal and State regulations. Reviews product and service disclosures and advertising materials for compliance with applicable rules
• Conduct due diligence on new MSB applications, and establish and direct ongoing monitoring activities for those MSBs based upon risk

This opportunity includes an excellent compensation and benefits package. This bank prides itself on retaining employees and has one of the best tenure backgrounds in the area - a competitive salary and bonus incentive program.

I partner with companies all over Missouri and work with other GPAC recruiters in the U.S. to place qualified candidates with strong companies. To be considered for this position and others, please apply with a resume. With any more questions or inquiries, email Nash Wergin at

All qualified applicants will receive consideration without regard to race, age, color, sex (including pregnancy), religion, national origin, disability, sexual orientation, gender identity, marital status, military status, genetic information, or any other status protected by applicable laws or regulations. GPAC (Growing People and Companies) is an award-winning search firm specializing in placing quality professionals within multiple industries across the United States since 1990. We are extremely competitive, client-focused and realize that our value is in our ability to deliver the right solutions at the right time.

Columbia Community Mental Health is a nonprofit agency and Certified Community Behavioral Health Clinic that provides services to individuals with mental, addiction and developmental disabilities.

We uphold our values in authenticity and commitment to quality care. Members of our CCMH team have a daily opportunity to make a positive impact.

Position: Compliance Officer

Shift: Full-time, Monday - Friday, 8:00 AM to 5:00 PM

Salary Range: $109,636.80 to $48,678.40 (annually). There are 15 steps on our salary scale. New offers are usually within the first few steps of the scale. We use a bona fide factor system to determine starting wage (years of experience, education, credentials, and specialty skills that relate to the job requirements).

Benefits: CCMH provides a generous comprehensive benefits program to employees and family members, including qualified domestic partners.

• Generous Paid Time Off Package. (Full-time employees can earn 22 days of vacation, 9 days of sick time by the end of the first year). Accrual increases with length of service.
• Medical and Dental Coverage (begins 1st of the month following hire date)
• VSP Vision Coverage (begins 1st of the month following hire date)
• 403(B) Retirement Savings (Pre- and post-tax plans with matching contribution)
• Flexible Spending Account (FSA) (Medical, dependent care, and transportation options)
• Long-Term Disability, and Life Insurance
• Paid Bereavement and Jury Duty Leave
• Length of Service Award, Outstanding Employee of the Department Annual Award
• Voluntary Life Insurance
• Accidental Coverage Insurance
• Student Loan Forgiveness Program (PSLF), NHSC Loan Repayment Program
• Educational Assistance (up to 5,250 a year), Professional Development Assistance
• Licensure Supervision and Continued Education Provided

Wellness Benefits:

• Employee Assistance Program's (EAP)
• Trauma Support Team - Monthly Loss Processing Group led by our Licensed Clinical Directors

ESSENTIAL DUTIES AND RESPONSIBILITIES:

• Develop and maintain the annual compliance plan. Oversee the implementation and management of compliance plan activities.
• Create a comprehensive fraud waste and abuse (FWA) prevention program and oversee the functions of the FWA program.
• Monitor and respond to the agency compliance hotline
• Monitor federal, state, and industry specific laws and regulations for obedience. When updates are made to any such regulations, informing necessary stakeholders and leadership within the agency.
• Report to the Board of Directors, regulatory audit and oversight committee, and other board committee(s) regularly and as directed.
• Develop, implement, and maintain CCMH's policies and procedures system necessary to comply with legal and regulatory requirements and consistent to internal standards.
• Oversee all internal auditing and monitoring activities including at minimum service delivery documentation, policy and procedure, program staffing, and quality metric goals.
• Investigate and respond to any report of non-compliance made by an employee, supervisor, director, or external entity.
• Developing and maintaining a quality assurance process improvement (QAPI) committee, for the purpose of ensuring the annual quality assurance and quality improvement plan and overseeing the completion of quality improvement projects.
• Coordination with members of senior leadership regarding the compliance of current systems operations, required changes needed to maintain industry compliance, and communications.
• Monitor and maintain effective language for CCMH proprietary materials including as example(s) consent to treatment, notice of privacy practices, code of conduct, business associate agreements, etc.
• Coordinating with governing entities as it relates to external auditing and evaluation of program performance.
• Facilitate preparation and responses to site reviews as it relates to implementing preventative on-site reviews, creating/responding to plan-of-corrections, and reporting/ communicating to the governing entity.
• Maintaining an effective whistleblower protection program.
• Reporting any discrepancy in performance to a legal or regulatory requirement as obligated by the compliance plan.
• Oversee ethical reporting of any and all instances of non-compliance with a federal, state, or industry specific regulatory requirement.
• Manage and coordinate effective compliant investigation and response from clients, community partners, employees, etc.
• Educate employees on applicable federal, state, and industry specific laws and regulations.
• Organize the content and structure of specific industry training as it relates to critical areas of employment responsibilities.
• Other duties as assigned.

SUMMARY: This position is responsible for the creation and implementation of an effective compliance program under the direction of the Board of Directors. The compliance officer ensures CCMH adherence to outside regulatory and legal requirements as well as internal policies and bylaws. This position is responsible for leading the quality assurance process improvement (QAPI) committee.

SUPERVISORY RESPONSIBILITIES: Supervises the QI Specialist and Records Specialist and is supervised by the Executive Director, but Reports to and evaluated by the Board of Directors.

EDUCATION and/or EXPERIENCE: Certification in Healthcare Compliance (CHC) or equivalent Certification.Advanced degree or Certificate in a health care field with Compliance Certification preferred. Five years' experience in human services or health care required; specific experience in behavioral health, quality assurance, and/or quality improvement preferred. Advanced knowledge of data bases, analyzing data and reporting Combination of education/experience that demonstrates the ability to perform the duties outlined for this position may be considered.

QUALIFICATIONS & SKILLS: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skills, and/or ability required: Knowledge of behavioral health field. Have an experience interacting with technology and understanding data systems. Must have skills to interact with staff, clients, families, community partners and the public. Ability to communicate positively/productively; able to communicate complex instructions with clarity and patience; able to follow instructions; complete data reporting requirements accurately/efficiently. Proven ability to present complex data and reports to the BOD and Executive Director in a manner that is understandable and allows for decision making. Able to manage time/work demands appropriately; exercise good judgement and set appropriate boundaries to maintain the integrity of clinical systems; able to work independently and the willingness to learn and be creative. Must be proficient in Microsoft Office Programs; skills working with technology and data. Must have skills in analyzing systems and identifying opportunities for improvement.

LANGUAGE SKILLS: Ability to read and communicate in English language, and understand documents, instructions, and procedure manuals, as needed to successfully accomplish the essential duties of this job. Must have ability to read, analyze, and interpret general business periodicals, professional journals, finance reports, and legal documents. Able to write reports, business correspondence, and procedure manuals; and to effectively present information and respond to questions from groups of managers, clients, customers, and the public. Ability to create and present data analysis.

REASONING ABIIITY: Ability to define and solve practical problems, collect data, establish facts, and draw valid conclusions; able to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists. Must be able to interpret a variety of instructions furnished in written, oral, diagram or schedule form.

Working Conditions:

• Must have the ability to assist the team in providing safety to all clients and staff in potentially volatile situations.
• Occasionally stooping, lifting (20-50 lbs.), climbing (stairs), crouching, reading, and running
• Regularly sitting, walking, standing, and keyboarding

CCMH is an Equal Employment Opportunity Employer. CCMH does not discriminate in employment opportunities or practices on the basis of race, color, religion, sex, national origin, age, veteran/reserve/national guard, disability, or any other similarly protected status.

CCMH is Drugfree workplace.

Come join a team that makes a difference every day! Come join an agency in which your personal values can align easily to the mission, vision and values!

FMLA POSTER:



Applicants must be authorized to work for ANY employer in the U.S. We are unable to sponsor or take over sponsorship of an employment Visa at this time.

Are you a hands-on leader who thrives on being apart of a team and creating an exceptional customer experience? Were looking for a Compliance Officer to join our accounting teamwho's strengths are in accounting and audits and working with the staff to ensure compliance. RELOCATION TO CRIPPLE CREEK, CO.

What Youll Do

• Training staff on compliance and internal controls adhering to state regulation.
• Conduct internal audits as well as participated in state audits.
• Analyze repots, identify opportunities, and implement strategies.
• Create an outstanding customer experience at every touchpoint.

What Were Looking For

• 4+ years of experience in casino gaming audit and accounting.
• A proven leader with a collaborative, motivational style and a growth mindset.
• Strong background in accounting, compliance and regulation.
• Expertise in state and federal gaming laws, audits and training.
• Excellent communication and problem-solving skills.

What Youll Gain

• Competitive base salary plus relocation.
• Comprehensive benefits package: medical, dental, vision (starting at 90 days).
• Ongoing leadership development and clear paths for career advancement.

Apply today and take the next step in your leadership career!

Job Description

Compliance Officer:

The Compliance Officer is responsible for various compliance areas including training, monitoring reviews, policy and procedures, and product development with each department of the bank. The Compliance Officer helps ensure the Bank maintains a strong and effective compliance management system by assessing the overall adherence to bank protection laws and regulations primarily through the performance of periodic reviews of applicable processes and procedures

Compliance Officer Requirements:

• Bachelors Degree
• CRCM and/or CAMS preferred
• 7 to 10 years experience in banking with 3 to 5 years of compliance experience
• Strong computer skills: Advanced skill level in Microsoft Excel; Experience with Microsoft Word and PowerPoint. Experience with industry-related systems/software
• Strong data analysis skills
• Knowledgeable of compliance laws, rules, and regulations including consumer protection regulations, TRID-RESPA, UDAAP, FCRA, HMDA, etc. Thorough knowledge of the Bank Secrecy Act, CRA, and any other regulations is required.

Compliance Officer Responsibilities:

• The Compliance Officer is responsible for maintaining current knowledge of BSA, AML, and OFAC regulations and all bank-related compliance regulations. This person will also use monitoring application systems, maintain investigation files, and conduct periodic assessments of the departments for compliance. Prepare BSA/AML Risk Assessment by identifying the risk profile of the Bank and analyzing the information to better assess the risks identified and mitigate any gaps in control
• Oversee the preparation, research, and filing of SARs and CTRs
• This position will serve on the Compliance Committee and the IT Steering Committee
• Assign and monitor annual BSA training and all other compliance training to Board and Employees
• Meet and discuss with Examiners and Auditors regarding the BSA program and compliance
• Review all projects for BSA and compliance-related issues
• Responsible for monitoring the effectiveness of the Identity Theft Program and providing updates to the Board of Directors
• This position is responsible for monitoring all bank regulations and creating/changing policies and/or procedures for new or updated regulations
• Will be responsible for monitoring/changes of all disclosures for compliance with Federal and State regulations. Reviews product and service disclosures and advertising materials for compliance with applicable rules
• Conduct due diligence on new MSB applications, and establish and direct ongoing monitoring activities for those MSBs based upon risk

This opportunity includes an excellent compensation and benefits package. This bank prides itself on retaining employees and has one of the best tenure backgrounds in the area - a competitive salary and bonus incentive program.

I partner with companies all over Missouri and work with other GPAC recruiters in the U.S. to place qualified candidates with strong companies. To be considered for this position and others, please apply with a resume. With any more questions or inquiries, email Nash Wergin at

All qualified applicants will receive consideration without regard to race, age, color, sex (including pregnancy), religion, national origin, disability, sexual orientation, gender identity, marital status, military status, genetic information, or any other status protected by applicable laws or regulations. GPAC (Growing People and Companies) is an award-winning search firm specializing in placing quality professionals within multiple industries across the United States since 1990. We are extremely competitive, client-focused and realize that our value is in our ability to deliver the right solutions at the right time.