Compliance Specialist jobs at AssetMark - 518 jobs

At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career. Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express. The American Express Global Financial Crimes Compliance (GFCC) function provides second-line policy, framework, oversight and control solutions to meet the Company's legal, regulatory and risk management mandates in connection with Anti-Money Laundering (AML) and Counter Terrorism Financing (CTF), Sanctions and Anti-Bribery and Corruption. The GFCC portfolio comprises all aspects of the Company's first and second-line financial crime risk management (FCRM) activities, including all lines of businesses in the United States and both proprietary non-proprietary global markets. Reporting to the Global Head of Transaction Monitoring (TM), the Head of Transaction Monitoring Coverage (Director) will oversee the ongoing inventory of applicable risks and coverage associated with American Express products and services. This individual will manage a team focused on the ongoing assessment of coverage provided by the Transaction Monitoring program and identifying enhancement requirements. This is a critical leadership role within GFCC, requiring strong domain expertise in AML compliance, advanced understanding of AML risk typologies, data, model risk management and a track record of operational execution within the financial services industry. Responsibilities Support the Global Head of TM in managing the GFCC transaction monitoring coverage program, including identifying relevant money laundering (ML)/terrorist financing (TF) red flags, typologies, and emerging patterns. This individual will be responsible for implanting a program to maintain an up-to-date mapping of these risks to American Express products, services, and business segments to establish drive appropriate monitoring coverage. Lead the evaluation of identified automated and manual controls for their effectiveness in detecting the identified risks as part of the coverage assessment. Identifying and documenting findings, identified risks, and recommended enhancement to be shared with relevant stakeholders Implement monitoring to identify ad-hoc coverage assessment needs, through the implementation of trigger event to review existing coverage Drive and implement process for periodic reviews of non-automated alerted activity to identify emerging risks or coverage gaps Monitor and control rule changes to ensure alignment with regulatory expectations, internal policies, and evolving risk typologies; develop and monitoring controls to ensure rule changes are implemented as designed Prepare and contribute to regulatory engagement materials and meetings in connection with the TM program's design, governance, and effectiveness. Collaborate closely with key stakeholders including the Financial Crimes Compliance Surveillance Unit, U.S. Investigations unit, Threat Assessment Group, Financial Crimes Data Science and Analytics Center of Excellence, Technology, Operations, Model Risk Management, and Business Line Compliance. Establish and maintain comprehensive documentation, metrics, and controls around rule performance, thresholds, and alert quality. Support and coordinate activities related to regulatory exams, audits, and internal reviews related to transaction monitoring design and governance. Provide expert recommendations to coverage and technology solutions, including business requirements and vendor selection Maintain awareness of industry developments and regulatory expectations in AML transaction monitoring and financial crimes detection. Foster a culture of accountability, transparency, and continuous improvement. Minimum Qualifications 8+ years of experience in Financial Crimes Compliance, AML transaction monitoring, or related risk management roles in a large global financial institution. Proven expertise in AML transaction monitoring systems, coverage assessments, typology translation, alert generation, and model risk management. Strong knowledge and understanding of global regulatory expectations. Demonstrated ability to lead cross-regional and cross-functional teams. Strong communication and influencing skills; ability to interact with senior executives and regulators. Bachelor's degree or equivalent experience is required; advanced degree in a related field (e.g., Law, Business, Data Science) preferred. Salary Range: $123,000.00 to $215,250.00 annually + bonus + equity (if applicable) + benefits The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors. We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally: Competitive base salaries Bonus incentives 6% Company Match on retirement savings plan Free financial coaching and financial well-being support Comprehensive medical, dental, vision, life insurance, and disability benefits Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need 20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) Free and confidential counseling support through our Healthy Minds program Career development and training opportunities For a full list of Team Amex benefits, visit our Colleague Benefits Site. American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions. We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually. US Job Seekers - Click to view the "Know Your Rights" poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: *************************** Employment eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions.

This role will play a critical leadership position within the U.S. Commercial Compliance team supporting the U.S. Corporate Card Programs including vPayment, Business Travel Account, Expense Management & Travel Partnerships, @Work, Corporate Account Setup and Spend Enablement, as well as the U.S. issued Global Dollar Card. This person will provide strategic compliance oversight and effective challenge to ensure business strategies and initiatives are compliant with applicable laws, rules and regulations for Corporate commercial products, capabilities and offerings. The compliance efforts for this position will have a particular focus on product development, marketing strategies, risk management initiatives, rewards and benefits, and customer communications. Job responsibilities include: Provide effective challenge over business processes and controls aimed to mitigate risk and ensure compliance with regulatory and policy requirements. Effectively inform on the development and implementation of policy and regulatory requirements in the areas of UDAP, general card practices, general banking, and other relevant federal, state and local regulations. Play a critical role within each of the Compliance program elements of the Compliance Target Operating Model, covering BU support functions. Oversee and effectively challenge on applicable regulations and policies, monitor performance and emerging risks to assess the efficacy of mitigating controls, procedures and practices within the business. Collaborate with key compliance subject matter experts as well as partners across the Enterprise, such as the General Counsel's Organization, Audit and Operational Excellence groups. Qualifications Deep regulatory knowledge of the financial regulations applicable to U.S. corporate card products including UDAP. Prior credit card industry, compliance, legal or risk experience is a plus. Strong relationship and leadership skills with proven ability to communicate and collaborate effectively at all levels of the organization. Ability to exercise good judgment in the development and pursuit of compliant solutions. Prior experience of leading and developing high performing teams is a plus. Excellent written, verbal, research, analytical, and interpersonal skills. Strong project management skills, ability to lead multiple projects and support multiple priorities simultaneously. Demonstrated ability to make decisions independently, work well under pressure, meet deadlines and adapt easily to frequent change. Bachelor's degree required; advanced degree preferred. Salary Range: $123,000.00 to $215,250.00 annually + bonus + equity (if applicable) + benefits The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors. We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally: Competitive base salaries Bonus incentives 6% Company Match on retirement savings plan Free financial coaching and financial well-being support Comprehensive medical, dental, vision, life insurance, and disability benefits Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need 20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) Free and confidential counseling support through our Healthy Minds program Career development and training opportunities For a full list of Team Amex benefits, visit our Colleague Benefits Site. American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions. We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually. US Job Seekers - Click to view the "Know Your Rights" poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: *************************** Employment eligibility to work with American Express in the United States is required as the company will not pursue visa sponsorship for these positions.

At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career. Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express. **How will you make an impact in this role?** American Express's Global Financial Crimes Surveillance Unit (GFCSU) and the US Investigations Unit (USIU), within Global Financial Crimes Compliance (GFCC), in partnership provide end-to-end support and oversight of global financial crimes investigations. In conjunction with GFCC partners, the GFCSU and USIU develop and implement automated transaction monitoring rules, reports, and other processes designed to identify activity potentially indicative of criminal behavior. The GFCSU and USIU also investigate potentially suspicious financial activity and, when appropriate, file suspicious activity reports (SARs) with the Financial Crimes Enforcement Network (FinCEN), which is part of the U.S. Department of the Treasury, and/or refers matters to internal compliance partners for review and reporting globally. In addition, the GFCSU and USIU manage risk associated with politically exposed persons and persons and entities on core sanctions and risk lists through regular screening, and manage risk associated with improper payments that could be indicative of bribery, corruption, or other illicit activity by reviewing internal American Express payments and expenditures. The GFCSU and USIU together perform a critical role in ensuring that American Express complies with all applicable laws and regulations, including the Bank Secrecy Act (BSA), the USA PATRIOT Act, and the Foreign Corrupt Practices Act, and provides law enforcement with key information for the investigation and prosecution of money laundering and terrorist financing, credit card fraud, identity theft, and other criminal activity. The GFCSU/USIU Training and Procedures team will be tasked with creating, maintaining and delivering all GFCSU/USIU Investigations-related Procedures and Training Material (AML, Screening, Enhanced Due Diligence and Payments Monitoring) in accordance with GFCC-issued standards; overseeing and collaborating on GFCSU/USIU training efforts; aligning with the GFCSU/USIU and stakeholders on efficiencies to improve investigative processes; collaborating with international markets to align on processes and expectations; serving as a liaison for quality control-related referrals impacting the GFCSU/USIU ; aligning with key stakeholders in the GFCSU/USIU and GFCC on various procedural, operational, and training impacts; and other related responsibilities in support of the success of the program. **How will you make an impact in this role?** This role will serve as a Training Manager supporting the responsibilities noted above, with an emphasis on the training process, as well as eventually leading a team of supporting compliance analysts. The ideal candidate should have a strong passion for process improvement, training, and development, possess a fundamental understanding of GFCSU/USIU processes and procedures, and a proactive drive to partner with Investigations Leaders to drive effective procedural processes. **Responsibilities:** + Drafting, maintaining and delivering training materials related to GFCSU/USIU processes and day-to-day work functions for all pillars of the GFCSU/USIU program as needed; + Ensuring adherence to legal and regulatory standards, as well as internal quality requirements for investigations and local market SAR/STR filings; + Developing a team of analysts, including providing applicable training and coaching tailored to strengthen ability to support effective and adaptable procedures and training sessions based on individual and business needs + Evaluating team and individual performance against expectations and deliverables of GFCSU/USIU Training and Procedures team initiatives, and supporting team engagement and dynamics + Partnering with global investigations teams on areas of training and alignment need; + Engaging in quality-related analysis and trend identification of investigative work, and proposing remedial steps to address deficiencies; + Strategizing on how to drive innovation and efficiency for GFCSU/USIU processes and GFCC initiatives. **Minimum Qualifications:** + Equivalent work experience or a bachelor's degree in one of the following fields of study: Criminal Justice, English, Journalism, Finance, Accounting, or other fields involving intensive research, writing, or data analysis + 2 years of work experience developing and supporting a department training process, including drafting new training processes and revising existing processes. + Knowledge of criminal typologies associated with financial products and services + Experience supporting and responding to external regulatory reviews and internal governance reviews + Ability to demonstrate strategic thinking, implement innovation and change, introduce and champion new processes + Experienced leader, capable of driving performance by coaching and motivating people for success, identifying their strengths and opportunities + Ability to influence, gain support, and resolve conflict + Keen attention to detail, proven analytical and problem-solving skills, demonstrated leadership abilities, and effective communication skills + Proficient with all Microsoft Office suite, including Word, Excel, and PowerPoint **Preferred Qualifications:** + Expertise in GFCSU/USIU Polices, Process and Procedures as well as understanding of AML-related laws and regulations and other guidance + 6 years of work experience in a financial services institution or payment institution in any of the following areas is highly preferred: Anti-Money Laundering, Suspicious Activity Reporting, financial crime, enhanced due diligence, or law enforcement + Experience with creating and delivering effective training with demonstrable results, coupled with a strong drive to develop and coach GFCSU/USIU team members + Familiarity with large sets of financial data and experience developing reports and outlining data requirements + A strong candidate will also be able to manage multiple tasks simultaneously; be an enthusiastic self-starter; and deadline-driven team player + CAMS certified or equivalent preferred **Qualifications** Salary Range: $89,250.00 to $150,250.00 annually bonus benefits The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors. We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally: + Competitive base salaries + Bonus incentives + 6% Company Match on retirement savings plan + Free financial coaching and financial well-being support + Comprehensive medical, dental, vision, life insurance, and disability benefits + Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need + 20 weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy + Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) + Free and confidential counseling support through our Healthy Minds program + Career development and training opportunities For a full list of Team Amex benefits, visit our Colleague Benefits Site . American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions. We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually. US Job Seekers - Click to view the " Know Your Rights " poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: *************************** Employment eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions. **Job:** Compliance **Primary Location:** US-Arizona-Phoenix **Other Locations:** US-Utah-Sandy, US-Florida-Sunrise **Schedule** Full-time **Req ID:** 26000565

About Us Capital Bank N.A. is headquartered in Maryland and has been serving our communities since 1999. We stand as a publicly traded company (NASDAQ: CBNK) with over $3 billion in assets. We offer commercial and consumer banking services to clients primarily in Maryland, DC, and Northern Virginia, alongside two nation-wide lending brands; Capital Bank Home Loans and OpenSky, a credit card division that offers and services credit cards across all states. Our personalized approach to banking, paired with cutting-edge technology solutions and a comprehensive suite of products and services, fuels our growth, and enables us to support our customers at every stage in their financial journey. Come join a bank where our employees thrive and are engaged in meaningful work. For the last 5 out of 6 years, Capital Bank was named one of the "Best Banks to Work For" in the U.S. by American Banker. Position Purpose The Loan Operations Data & Compliance Analyst plays a vital role in ensuring the accuracy, completeness, and timely submission of all regulatory loan data and related reporting. This position is responsible for managing requirements associated with the Home Mortgage Disclosure Act (HMDA), Community Reinvestment Act (CRA), Federal Home Loan Bank (FHLBank), and other federal or investor coding standards. This role manages data validation, reconciliation, and reporting activities to guarantee that regulatory submissions are both accurate and timely, supporting the Bank's compliance with requirements set forth by the CFPB, OCC, and FFIEC. This position also supports the Bank's FHLBank of Atlanta collateral reporting process by maintaining accurate pledged loan data and preparing quarterly QCR submissions, ensuring investor reporting is accurate and timely. Serving as a key liaison, this role bridges Loan Operations, Compliance, and other departments to maintain data integrity and regulatory preparedness throughout the loan lifecycle. Position Responsibilities Oversee the HMDA, CRA, and community development lending data processes within Loan Operations, managing the workflow from origination through to submission. Oversee the collection, validation, and reporting of HMDA and CRA data within loan origination and core systems. Maintain compliance with FHLBank data reporting requirements, including the preparation and submission of quarterly QCR reports and related audit materials. Ensure the accurate regulatory coding of all loans-including details such as purpose, collateral, property type, lien status, and geography-to align with federal and state guidelines. Conduct data integrity reviews, perform field mapping, and execute edit check testing across core systems, loan origination systems (LOS), and data warehouses. Maintain accurate geocoding, tract, and MSA data for all loan records. Support the timely and accurate submission of quarterly and annual HMDA and Loan Application Registers (LARs), and community development lending. Coordinate with Treasury and Finance to prepare and submit Quarterly Collateral Reports (QCRs) to FHLBank of Atlanta. Validate pledge loan balances, collateral eligibility, and loan-level data integrity prior to submission. Maintain internal QCR reconciliation files between the core system and FHLB reporting templates. Identify and resolve discrepancies in loan eligibility, lien status, or collateral coding. Partner with internal teams to ensure pledged loan data aligns with FHLBank guidelines and collateral agreements. Develop and maintain internal dashboards and exception reports to monitor data quality and submission readiness. Collaborate with Compliance to interpret new or updated regulatory requirements and implement the necessary operational or system changes. Work closely with Loan Operations, Loan Servicing, and Commercial Lending teams to monitor data quality, resolve discrepancies, and support accurate regulatory reporting. Lead or assist with regular data audits, including pre-submission validation, post-submission reviews, and exam preparation activities. Develop and maintain procedures, workflows, and controls that promote consistency in data capture and reporting processes. Support the implementation and testing of system enhancements that impact HMDA, CRA, and other regulatory data fields. Produce monthly and quarterly management reports that summarize data integrity, identify exceptions, and highlight trends. Identify and recommend improvements to systems or processes to enhance data accuracy and automation. Partner with Compliance to ensure that policies, procedures, and training materials reflect current regulatory expectations. Coordinate with Compliance to conduct training risk appropriate HMDA and CRA training workshops with relationship managers and loan officers. Conduct training for fellow Loan Operations teammates to increase knowledge within the organization. Participate in audit and examination preparation, ensuring complete documentation of all data collection and validation practices. Act as a subject matter expert for federal loan coding requirements across all lending business lines. Required Education and Experience Bachelor's degree in Business, Finance, or a related field; equivalent work experience may be considered. Minimum five years of experience in Loan Operations, Loan Compliance, or Regulatory Reporting. Comprehensive understanding of HMDA, CRA, and other federal lending regulations. Demonstrated working knowledge of FFIEC filing requirements. Experience with FHLBank collateral reporting or loan pledge processes preferred. Proficiency in loan origination systems and data reporting tools; Fiserv Premier, Finastra products (LaserPro, Compliance Reporter), and/or Sageworks Abrigo strongly preferred. Strong analytical skills and meticulous attention to detail, with a proven ability to identify and correct data anomalies. Ability to define and document procedures effectively. Excellent communication and collaboration skills, with demonstrated capability to work effectively across Operations, Compliance, and IT teams. Intermediate to advanced proficiency in Excel and/or data analytics software. Qualifications and Skills Regulatory and Analytical Expertise Data Integrity and Quality Control Cross-Department Collaboration Process Documentation and Audit Readiness Continuous Improvement Mindset Key Performance Indicators Timeliness and accuracy of HMDA and CRA quarterly and annual submissions. Accurate identification of CRA (small business) and qualified community development loans. Ensure ongoing accuracy and completeness of HMDA/CRA Loan Application Registers (LARs) by conducting quarterly reviews of quality and validity edit checks, with documented validation results and corrective actions implemented within 30 days of issue identification. Accuracy and timeliness of FHLBank QCR submissions and collateral data reconciliations. Reduction in edit check exceptions and resubmission rates. Quality and completeness of documentation. Effective collaboration with Compliance and Operations leadership. Compensation Base Salary Range: $44.10 - $66.16 hourly (Rockville, MD salary range). Final determination of where you are at in the salary range is based on numerous factors such as geographic location, relevant experience, skill set, education, and ability to meet qualifications within the job description. We are hiring in: MD, DC, VA, PA, DE, NC, SC, FL, IN, IL. Candidates in other locations will receive the pay range tied to their specific area. Additional Compensation: This role will include a yearly annual target bonus based on individual performance. Working Arrangements This opportunity offers the flexibility to work in a hybrid working environment within our Rockville, MD office. Open to considering candidates outside of the local area dependent on ability to meet all qualifications. Why Join Us? Join a growing company with a culture that fosters an entrepreneurial spirit Comprehensive benefits package including Medical, Dental, Vision, Company Paid Life Insurance, Disability Insurance, and more! Company Contributions to your 401k - Regardless of your contribution Employee Perks: Employee Recognition Program, Commuter Benefits, Employee Banking Discounts and much more! Generous Paid Time Off and Paid Holidays. Supporting Businesses. Helping People. Strengthening Communities. Capital Bank, N.A. is an Affirmative Action, E-Verify, and Equal Opportunity Employer. Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities 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.

Back Compliance Officer - Brokerage - Securities Admin #52-8605 Bowie, Maryland, United States Apply X Facebook LinkedIn Email Copy Location This position is hybrid. The employee is split between remote and office work on a formalized schedule. Consideration for location will be Bowie, MD. Market Charleston Work Hours per Week 37.5 Requirements Associates Degree in Business, Finance, Accounting or related degree preferred. Minimum of three years of experience in the securities industry. Experience and knowledge as compliance officer for both Broker/Dealer and Registered Investment Advisor. Series 7 Series 63 & 65 or 66 Series 24 or Series 9/10 - Must be obtained within 90 days of start date. State Insurance licensed Job Description SUMMARY: Responsible for conducting reviews and performing regulatory monitoring as required under Written Supervisory Procedures to assess the organization's level of compliance with applicable laws and regulations. Expected to work independently with minimal supervision within team to lead in the identification and assessment of risks within the company, through the execution of procedures designed to evaluate the compliance with laws, regulations, and industry standards. In addition, expected to make recommendations to management for closing gaps identified during the reviews. The Securities industry is highly regulated. This person will also be expected to complete all assigned compliance training timely and maintain professional licenses as required. CUSTOMER SERVICE SKILLS: Willingness to provide a level of service which will clearly differentiate us from our competitors. INTERPERSONAL SKILLS: Professional demeanor in appearance, interpersonal relations, work ethic and attitude. Possess clear, concise, effective written and oral communication skills to effectively express thoughts, ideas and concepts to management, bank employees and bank customers in a collaborative and solutions oriented manner. Ability to exercise independent sound, judgment and discretion and understand when assistance is needed. Must be able to work effectively with a wide variety of departments, managers, staff, clients and auditors. Strong interpersonal and communication (written and verbal) skills. Ability to evaluate and analyze products and services, and vendors. Represents the Company in civic, community and industry functions to network and develop additional business. ESSENTIAL DUTIES AND RESPONSIBILITIES: Maintain ongoing understanding of FINRA rules and regulations; BSA & AML. Assist with the development of WSI's (WesBanco Securities Inc.) risk and compliance management practices and programs. Ability to disseminate written policies and procedures related to compliance activity. Provide compliance guidance to licensed advisors and licensed bankers and support staff. Assist to resolve complaints. Review new accounts for suitability and best interest and day-to-day broker activity. Assist in review and implementation of WSI's compliance program to ensure effectiveness. Assist with testing of procedures and creation of new procedures with changing regulatory needs. Assist in licensing and FINRA Regulatory & Firm Element and insurance continuing education for all licensed individuals. Assist with internal and external audits. Assist with the formulation/taking correction actions when necessary to respond unexpected compliance events. Review communications of advisors. Assist with compliance review of all marketing/sales material. Assist with various communication and training as needed with staff and registered representatives. Assist with branch reviews. Preparation of various reports. Electronic communication review. Other duties may be assigned. OTHER REQUIREMENTS: Banking is a highly regulated industry and you will be expected to acquire and maintain a proficiency in the Bank's policies and procedures, and adhere to all laws, rules and regulations that are applicable to your conduct and the work you will be performing. You will also be expected to complete all assigned compliance training in a timely manner. Ability to administer various filings on the CRD System. In-depth knowledge of a broad range of securities and insurance products. In-depth knowledge of FINRA rules and regulations and Securities and Risk Management principles. In-depth knowledge of current economic and market conditions and legislation. In-depth knowledge of criteria for determining suitability of proposed purchase of securities/insurance products for each individual client's needs. In-depth knowledge of legal principles of client's capacity/authority to transact business, and the authority of agents, attorneys in fact, executors, administrators and others to transact business on client's behalf. Solid computer skills in Microsoft Office Suite. ADDITIONAL INFORMATION: The wage range for the Compliance Officer - Brokerage position is $70,000-$73,000 annually. The position includes 22 PTO Days (Paid Time Off), 5 STD Days (Short Term Disability), 11 annual paid holidays and 1 float holiday. WesBanco has an excellent benefits package to include medical, dental, and vision, Health Care Flexible Spending, Dependent Care Flexible Spending, Transportation Fringe Benefit Plan, Group Life, Long Term Disability, Optional Life, access to voluntary benefit products such as Cancer, Term & Universal Life, Accident, Short-Term Disability and Critical Illness policies, and other ancillary benefit products. WesBanco also offers 401(k) with employee match. Full-Time/Part-Time Full-time Area of Interest Risk Management All Locations Bowie, Maryland, United States

Job Description: CHB Specialist We are the Human Standard in Global Logistics. Founded in 1999, with a singular idea: to bring integrity and honor to the freightforwarding market. Today, we are a leader in global logistics and got here because we have stayed true to our core values. We have offices in Mobile, AL, Savannah, GA and Charleston, SC. Visit our website for more information. ***************************** Location: Candidates will be considered in Savannah, GA, Charleston, SC or Mobile, AL Work Schedule: Onsite Monday-Friday By joining the ASF Team you will receive… Company-paid benefits available: Dental insurance Short-term and long-term disability 50,000 Group Term Life insurance policy (7) Paid holidays and (15) days PTO per calendar year 401(k) Retirement plan with employer matching. Employees are 100% vested at enrollment. Additional Benefits available for purchase: Blue Cross Blue Shield plan for employee and dependents, vision insurance, critical illness, accident, and additional voluntary term life insurance. Responsibilities / Essential Functions: Arrange customs clearance in all USA ports for all inbound goods for various importcustomers. The ideal candidate will be able to handle logistics flow from origin to final delivery to ensure maximum efficiency. This position requires working knowledge of customs regulations and compliance documentation. To succeed in this role, you should have organizational skills, attention to detail, and effective communication abilities. A customer- focused approach is an essential job function. Duties: Classify goods using the Harmonized Tariff Schedule (HTS) or Harmonized System (HS) codes to determine applicable duties, taxes, and eligibility for trade agreements. Prepare, review, and submit customs documentation, including invoices, packing lists, bills of lading, certificates of origin, and import/export declarations. Calculate and process payments for duties, taxes, fees, and other charges owed to customs authorities. Ensure compliance with international trade regulations, including free trade agreements (e.g., USMCA), anti-dumping duties, sanctions, and partner government agency (PGA) requirements. Coordinate with customs brokers, freight forwarders, carriers, suppliers, and government officials to clear shipments and resolve issues like inspections or discrepancies. Monitor shipments for timely clearance, audit entries for accuracy, and handle post-entry amendments or protests for refunds. Stay updated on changes in customs laws, tariffs, and regulations; conduct compliance audits and risk assessments. Advise internal teams or clients on trade compliance best practices, valuation methods, and special programs (e.g., duty drawback). Maintain records for audits and communicate with stakeholders to prevent delays or fines. Education and Experience: Bachelor's degree in business administration or related field preferred Ocean import/export experience preferred Minimum of 2 years of experience in import/export operations, customs brokerage, or trade compliance required

Workday Learning Management System Specialist - Up to $115,000 plus bonus - Hybrid in Columbia, MD We are partnered with a national non-profit organization based in the U.S. that is seeking a Senior Program Manager of their Learning Management System to support the rollout and ongoing administration of Workday Learning. This role will help ensure that learning is accessible, easy to use, and well-supported across the organization. Key Responsibilities: Support the Workday Learning implementation through discovery and assessment of the current learning environment. Partner with key stakeholders to define LMS goals and requirements within Workday. Act as a liaison between Talent Management and IT during system development and implementation. Provide post go-live administrative support for Workday Learning by managing the upload of learning content, documentation, and courses into the Workday Learning platform. Role Requirements: 3 or more years of LMS experience in an analyst, administrator, or similar role. Prior Workday experience is strongly preferred (Workday Learning experience is a major plus). Strong stakeholder engagement skills, with the ability to translate business needs into system requirements. No system configuration experience required. This is the perfect opportunity to join a dynamic, collaborative, and supportive team in a fast-paced environment, where you'll have the opportunity to take the next step in your career. This role is perfect for motivated individuals who are passionate about developing their skills and driving growth within the organization. If you're interested in learning more about this opportunity, please get in touch today!

Empowered to live. Inspired to work. Compeer Financial is a member-owned cooperative located in Illinois, Minnesota and Wisconsin. We bring together team members with a variety of backgrounds and experiences to help provide financial services to support agriculture and rural communities. Join us in a culture that not only promotes meaningful work and professional development, but provides a flexible, hybrid work environment and excellent benefits, which empower you to thrive both personally and professionally. How we support you: Hybrid model - up to 50% work from home Flexible schedules including ample flexibility in the summer months Up to 9% towards 401k (3% fixed Compeer contribution plus up to 6% match) Benefits: medical, dental, vision, HSA/FSA, life & AD&D insurance, short-term and long-term disability, wellness program & EAP Vacation, sick leave, holidays/floating holidays, parental leave, and volunteer paid time off Learning and development programs Mentorship programs Cross-functional committee opportunities (i.e. Inclusion Council, emerging professional groups, etc.) Professional membership/certification reimbursement and more! Casual/seasonal & intern team members are not eligible for benefits except for state-mandated programs. To learn more about Compeer Financial visit************************ Specified location(s): This position offers a hybrid work option up to 50% remote and is based out of the Rochester, MN; Lakeville, MN; Sun Prairie, WI; Bloomington, IL; Open to other Compeer Locations. The contributions you will make: This position serves internal and external clients by administering, processing and making new loan and lease request decisions within the Scorecard program. Onboards loans and establishes lease requests by determining eligibility and compliance to policy. Collaborates with internal team members and Agri-Access Lending Partners to provide a sound, efficient and timely credit decisions. Scorecard Analysis. Processes loan and lease requests for scoring and approves or declines using Compeer's model, Decision Management Platform (DMP). Determines and enters YBS, farm involvement, and industry codes for Salesforce loan set-up. Reviews status codes in DMP (Prescreens, Review, or Declines) and financial/supporting documentation submitted to approve or decline a request based on the score. Communicates with Lending Partners regarding loan application information. Once loan decision is complete prepares and sends approval, changes or decline notices. Answers questions and provides direction to internal team members and lending partners on scorecard and credit bureau related issues that arise during the processing and closing of lending transactions, DMP results, process problems and handling of credit requests. Provides a high level of service, closely follows prescribed response time goals. Credit Analysis. Analyzes financial and supporting documentation submitted for credit reviews and exceptions to policy. Determines appropriate level of analysis and due diligence required based on credit risk, following policies and guidelines (generally performing limited financial analysis). Approves or declines request within delegated authority, establishing acceptable terms and conditions. Makes determination of eligibility of applicants, property type, and loan purpose. Determines consumer compliance of the loan. Sources and reviews other applicant data, background reports, etc. Approves or declines according to policy within delegated authority. Escalates decision to higher authority as required, forwards request to traditional underwriters for full analysis and decisions as required. Establishes loan conditions and closing requirements for approved actions. Submits requests for prior approval of official loans. Credit Administration and Monitoring. Monitors database exception reports to ensure proper financial data, collateral, and loan classifications are accurate. Documents decisions and correspondence, indexing as required. Monitors reports for proper use of scorecards and trends, noting potential growth or concern areas. Prepares reports as required by policy. Verifies system data for completeness and accuracy after closing. Monitors lease lines of credit to determine available commitment or need for traditional approval. Enters lease takedowns, data, PD's, and LGD's within Leasewave or other systems. Assists with creation and updates of policies and processes. Reviews inaccurate Credit Bureau and internal credit history reporting for delinquent or inaccurate information. Enters changes in Cornerstone database and provides accurate data to the Credit Bureau. DMP Administration. Processes changes for access rights to DMP for the Compeer team. Reviews quarterly DMP security access rights and process reviews from ICFR reporting. Performs maintenance to Compeer Prescreen list. Coordinates maintenance on the DMP model. Communicates with the Credit Bureaus regarding loan questions and issues. Industry Knowledge. Maintains base level of industry knowledge for major enterprise types within the LSA, as well as familiarity with enterprises throughout the United Sates. Builds and maintains knowledge and skills within crop and livestock industries served by Compeer by reviewing industry publications, reviewing internal guidance, internal trainings, attending meetings, seminars and conferences. Participates in industry updates and webinars to stay up-to-date on market changes and other industry news. Stays current on Equal Credit Opportunity Act (ECOA), Fair Credit Reporting Act (FRCA), and other compliance requirements. Promotes the Scorecard program where applicable across Compeer. Participates in projects and workgroups to improve and advance the program, improve company efficiency, and supports new Compeer initiatives. The skills and experience we prefer you have: Associate's degree in business administration, finance, economics, agribusiness , data analysis or related field or an equivalent combination of education and experience sufficient to perform the essential functions of the job. 3-5 years of experience in lending, credit analysis, finance, customer service. Knowledge of federal and state (primarily Illinois, Minnesota, and Wisconsin) laws, regulations and compliance requirements specific to the financial industry and Farm Credit. Knowledge of agricultural businesses and operations, crop insurance and livestock industries and associated production practices. Solid understanding of the lending process, policies and SOP's, and programs used. Solid knowledge of loan products, services, and credit operations. Solid understanding of credit processing and servicing activities, accounting principles and practices, credit analysis procedures, credit administration, monitoring and reporting. Strategic and innovative. Strong listening, written and verbal communication skills, with ability to communicate at all levels of the organization. Skill in developing and maintaining interpersonal relationships. High level of integrity. Strong ability for teamwork, collaboration, and intrateam communication. Strong problem solving, decision making, time management and organizational skills. Strong computer skills, including MS Office applications and customer relationship management (CRM) programs. Strong analytical skills with attention to detail. Flexible and adaptable to changing situations. Ability to remain objective in balancing business needs and risk. Ability to work independently and collaboratively with other teams to achieve goals and represent the business. Valid driver's license. #IND200 How we will take care of you: Our job titles may span more than one career level (associate, senior, principal, etc.). The actual title and base pay offered is dependent upon many factors, such as: training, transferable skills, work experience, business needs and market demands. The base pay range is subject to change and may be modified in the future. This role is eligible for variable compensation and other benefits. Base Pay$62,700-$89,400 USD Compeer Financial is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law. Must be authorized to work for any employer in the United States. Compeer is unable to sponsor or take over sponsorship of an employment visa at this time. Click here to view federal employment laws applicable for applicants.

The Lockbox Remittance Specialist handles the servicing of all lockbox clients. You would be expected to maintain a high level of production and accuracy while preparing customers mailed in paper checks for deposit. Duties & Responsibilities Payment Preparations and Processing Sort incoming mail into correct customer bin. Prepare batches of work by removing payments and forms from envelopes Process all lockbox deposits from direct and indirect customers. Quality Assurance Processing Measures Follow standard operating procedures and customer specific instructions through data entry. Verifying checks through customer specific instructions for processing Balance/reconcile electronic and paper documentation. Analyze information to determine accuracy and completeness of work. Conduct non-routine research. Operate high-speed imaging/ extraction Opex equipment. Re-associate check images to corresponding material while validating quality of images. Maintain HIPAA and confidentiality of customer account information; follow established policies and procedures as related to internal audits and security. Team Support: Lend help to immediate team/team members, as needed. Education & Experience Knowledge of: Strong oral and written communication skills Excellent organizational skills Keen sense of quality control and practices Attention to detail and focus on meeting deadlines. Ability to: Analyze and comprehend client's standard operating procedures and instructions Complete multiple manual tasks per transaction and/or client with precision Ability to sit, stand, and walk for long periods of time Be a team player and maintain a positive attitude at all times Make judgment calls regarding routine duties but refer non-routine situations to asupervisor and/or manager Benefits and Compensation Salary offered is based on factors, including but not limited to, the job duties, required qualifications and relevant experience, and local market trends. The role may be eligible for bonus or incentives based on company and individual performance. (Base Pay Range: $18-$20/hour) Busey provides a competitive Total Rewards package in return for your time, talents, efforts and ultimately, results. Your personal and professional well-being-now and in the years to come-are important to us. Busey's Total Rewards include a competitive benefits package offering 401(k) match, profit sharing, employee stock purchase plan, paid time off, medical, dental, vision, company-paid life insurance and long-term disability, supplemental voluntary life insurance, short-term and long-term disability, wellness incentives and an employee assistance program. In addition, eligible associates may take advantage of pre-tax health savings accounts and flexible spending accounts. Visit BuseyTotal Rewardsfor more information. Equal Opportunity Busey values a diverse and inclusive workplace and strives to recruit, develop and retain individuals with exceptional talent. A team with diverse talent, working together, is essential to Busey's commitment of delivering service excellence. Busey is an Equal Opportunity Employer including Disability/Vets. VisitBusey.com/Careersto learn more about Busey's Equal Opportunity Employment. Unsolicited Resumes Busey Bank, and its subsidiaries, does not accept any liability for fees for resumes from recruiters or employment agencies ("Agency"), without a binding, written recruitment agreement between Busey and Agency describing the services and specific job openings ("Agreement"). Busey may consider any candidate for whom an Agency has submitted an unsolicited resume and explicitly reserves the right to hire those candidate(s) without any financial obligation to the Agency, unless an Agreement is in place. Any email or verbal contact with any Busey associate is inadequate to create a binding agreement. Agencies without an Agreement are requested not to contact any associates of Busey with recruiting inquiries or resumes. Busey respectfully requests no phone calls or emails.

We're Consumers Credit Union (CCU), a Great Place To Work certified company that values what you bring to the table. Our Waukegan branch is looking for a full-time Branch Specialist! This member-facing position provides strong opportunities for growth and hands-on experience in branch operations! As a Branch Specialist, you'll enjoy a varied, hands-on role that combines being a Concierge, Teller, and Personal Banker. You'll greet members with a smile, handle financial transactions, open accounts, and help members discover the products and services that best fit their needs. This is a fantastic early-career opportunity for anyone interested in banking or financial services, enjoys working with people, wants hands-on exposure to branch operations, and is eager to build a long-term career. Day-to-day responsibilities: Greeting members as they enter the branch or use the drive up lanes Educating and assisting members with self-service transactions through the use of Interactive Teller Machines (ITMs) and related functionality. Performing teller transactions and resolving member service needs, including account maintenance and other operational duties as assigned by the Branch Manager and/or Assistant Branch Manager Opening new consumer accounts efficiently and accurately Identifying opportunities to refer members to additional products and services including consumer loan and mortgage products, as well as wealth advisors Recommending process improvements to enhance member service delivery and overall branch efficiency Ensuring adherence to all policies, procedures, compliance, audits, quality control and balancing standards Qualifications: High School diploma or equivalent 1+ year of similar work experience (retail, customer service, guest relations, sales, and cash handling). Financial institution, Teller, Personal Banker experience is preferred Bilingual in Spanish required Comfortable promoting products and services, educating members, and engaging in sales-oriented conversations Computer proficient in Data Processing Platforms, Email, Internet/Intranet, Instant Messaging, and Microsoft Office Excellent interpersonal and communication skills Ability to multitask, thrive in a fast-paced environment, and maintain strong organizational skills Propensity to be helpful, positive, act with integrity, and to embrace inclusion & diversity Availability to work 40 hours/week and be scheduled between the following hours: Monday - Thursday: 8:30AM - 5:30PM, Friday: 8:30AM - 6:30PM, Regular Saturdays: 8:30AM - 1:30PM Compensation & Benefits: The salary range for this role is $16.67 - $25.01 per hour. This role is eligible for an annual bonus opportunity. A specific salary offer considers factors including but not limited to skill sets, experience and training, licensure and certifications, and other business and organizational needs. It is not typical for an individual to be hired at or near the top of the salary range and compensation decisions are dependent on the facts and circumstances of each case. Consumers Credit Union provides eligible employees an opportunity to participate in our medical (High Deductible, HMO and PPO), dental, vision, spending accounts, short-term disability, long-term disability, life insurance and other plans effective date of hire. You will be eligible to participate in the 401(k) savings plan at any time. You will be automatically enrolled in the pension plan following six months of employment and 1,000 hours of service and reaching age 20. For more information about benefit offerings, please visit our careers page: about/what-we-do/careers About CCU: Founded in 1930 and headquartered in Lake Forest, IL, Consumers Credit Union (CCU) has $4.3 billion in assets and serves more than 272,000 members, making it one of the largest credit unions in the state. CCU believes that nobody needs banks on every corner, but everyone needs people who are in their corner. To learn more, visit myconsumers.org Equal Opportunity Employer: CCU complies with the requirements and spirit of the law in the implementation of all facets of equal opportunity in employment. There will be no discrimination on the basis of race, ancestry, color, religion, sex, sexual orientation, gender identity, marital status, pregnancy, age, national origin, citizenship, disability, genetic information, military status (including unfavorable discharge from the military), criminal or arrest history (unless job related), crime victim status, or any other protected characteristic in the recruitment, selection, training, utilization, promotion, termination, or any other employment actions or term and condition of employment. CCU complies with applicable state and local laws governing non-discrimination in employment in every location in which CCU has facilities. We are committed to providing access, equal opportunity and reasonable accommodation for individuals with disabilities in employment, its services, programs, and activities. If reasonable accommodation is needed to participate in the job application or interview process, please contact our Human Resources team at: or . 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.

People Drive Our Success Are you enthusiastic, highly motivated, and have a strong work ethic? If yes, come join our team! At Cathay Bank - we strive to provide a caring culture that supports your aspirations and success. We believe people are our most valuable asset and we proudly foster growth and development empowering you to achieve your professional goals. We have thrived for 60 years and persevered through many economic cycles due to our team members' drive and optimism. Together we can make a difference in the financial future of our communities. Apply today! What our team members are saying: Video Clip 1 Video Clip 2 Video Clip 3 Learn more about us at cathaybank.com GENERAL SUMMARY This position is responsible for the review and accuracy of the HDMA loan data required to be collected and reported in accordance with the Bank and HMDA regulatory requirements. ESSENTIAL FUNCTIONS Responsible for accuracy and integrity of the data collected and reviewed that is reported on originated mortgage loans, as well as non-originated applications (denials, withdrawal, approved but not accepted applications). Scrub and audit file loan data to uncover any systematic problems, discrepancies, or data integrity issues. Perform second line reviews on Bank Purchase Loans. Work with various mortgage operations team members as well as other areas of the Bank to correct data within the loan origination system (Empower) or on the LAR. Identify commercial HMDA reportable loans; prepare manual HMDA LAR by working with various commercial lending units. Report any potential concerns about non-compliance with HMDA regulatory requirements. Prepare monthly HMDA excel reports that will be submitted to the Compliance Department for LAR reporting. Meet monthly deadline for HMDA data required on the Loan Application Register (LAR). Perform other tasks which may be assigned by management. QUALIFICATIONS Education: College graduate with major in accounting or business preferred. Experience: Minimum three years of mortgage lending and banking experience with good knowledge of lending regulations. Knowledge of the Home Mortgage Disclosure Act (HMDA) is preferred. Skills/Ability: Strong analytical and research skills; strong planning, organizing, and problem-solving skills; strong written and verbal communication skills; must be able to adapt well to a fast paced and constantly changing business environment; PC proficient at the expert level; demonstrated ability to work in a team-oriented environment; bilingual English/Chinese is a plus. OTHER DETAILS $20.00 - $24.04 / hour Pay determined based on job-related knowledge, skills, experience, and location. This position may be eligible for a discretionary bonus. Cathay Bank offers its full-time employees a competitive benefits package which is a significant part of their total compensation. It is our goal to provide employees with a comprehensive benefits package to fit their needs which includes, coverage for medical insurance, dental insurance, vision insurance, life insurance, long-term disability insurance, and flexible spending accounts (FSAs), health saving account (HSA) with company contributions, voluntary coverages, and 401(k). Cathay Bank may collect personal information from potential job candidates and applicants. For more information on how we handle personal information and your applicable rights, please review our Privacy Policy. Cathay Bank is an Equal Opportunity and Affirmative Action Employer. We welcome applications for employment from all qualified candidates, regardless of race, color, ethnicity, ancestry, citizenship, gender, national origin, religion, age, sex (including pregnancy and related medical conditions, childbirth and breastfeeding), reproductive health decision-making, sexual orientation, gender identity and expression, genetic information or characteristics, disability or medical condition, military status or status as a protected veteran, or any other status protected by applicable law. Click here to view the "Know Your Rights: Workplace Discrimination is Illegal" Poster: Poster- English Poster- Spanish Poster- Chinese Traditional Poster- Chinese Simplified Cathay Bank endeavors to make **************************** to any and all users. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact, Mickey Hsu, FVP, Employee Relations Manager, at or . This contact information is for accommodation requests only and cannot be used to inquire about the status of applications.

Newport, an Ascensus company, helps employers offer their associates a more secure financial future through retirement plans, insurance and consulting services. Newport offers comprehensive plan solutions and consulting expertise to plan sponsors and the advisors who serve them. As a provider and partner, Newport is independent, experienced, and responsive. Section 1: Position Summary Job Summary The ERISA Compliance Specialist works with various team members to provide comprehensive governance to qualified plan sponsors. In this client-facing role, you will work as a subject matter expert in ERISA, utilizing your expertise to develop and deliver qualified plan and governance analytics, author custom reports, and present findings to clients. As a subject matter expert in ERISA, you will advise clients on compliance, plan design, and administration, presenting complex legal and regulatory information to both technical and non-technical audiences. You will be responsible for the preparation of client reports, managing projects, and providing ongoing support for corporate qualified plans, coordinating with analysts and consultants on assigned plans. Your role includes managing projects and reports, staying current with changes in ERISA and related legislation, and ensuring fiduciary best practices. Your expert guidance will help clients navigate legislative and regulatory changes, optimize retirement plan administration, and maintain compliance with plan documents and the Employee Retirement Income Security Act (ERISA). Section 2: Job Functions, Essential Duties and Responsibilities Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform these essential functions. * Works with key individuals at various defined contribution recordkeeping and administration service organizations to obtain plan related data. * Reviews and analyzes data as required for preparation of client deliverables. * Plan data acquisition, review, analysis, and observations. * Provides ongoing support for corporate qualified plans. * Coordinates with analysts and consultants on assigned plans to complete client reports and projects. * Act as a trusted advisor to clients by providing expert guidance on ERISA compliance, ensuring their employee benefit plans meet all regulatory requirements. * Continuously monitor and interpret changes in ERISA legislation to help clients adapt and maintain plan level compliance. * Interpret plan documents. * Self-manages process from start to completion of assigned client deliverables and workflow with key contacts from record-keeper and administrative services providers. * Meticulousness required for quarterly deliverables to provide custom comprehensive written analysis with plan observations and recommendations. * Compiling, proofing, and formatting various governance and fiduciary materials. * Daily duties and quarterly reporting authorship requires checking data for numerical and contextual sensibility, compliance, notation on year-over-year changes, and producing written analysis with plan observations and recommendations. * Works with internal consultant team to develop and finalize client meeting deliverables in written report format. * Works on multiple projects simultaneously in a fast-paced demanding work environment. * Regular, reliable, and punctual attendance. * Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients. * Our Core Values of People Matter, Quality First and Integrity Always should be visible in your actions on a day to day basis showing your support of our organizational culture. * Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice. TRAVEL: Up to 10%. Supervision * N/A Section 3: Experience, Skills, Knowledge Requirements Required Education, Experience and Certificates, Licenses, Registrations * Bachelor's degree in accounting, math, business, or related field. * 3+ years of ERISA and defined contribution qualified plan experience with emphasis on 401(k) plan administration, compliance, consulting, or legal issues. * Computer proficiency, particularly working knowledge of Word, MS-Excel, and Power Point. Preferred Education & Skills * Experience with various major 401(k) recordkeeping service front provider organizations. * Licenses (FINRA Series 6 or 7, 66) * QKA designation * Project and time management skills required * Attention to detail, accuracy, analysis, and self-revision required Technical and Core Requirements For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual workspace and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 Mbps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying We are proud to be an Equal Opportunity Employer Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate ****************** ****************** email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website. For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual work space and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 MBps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying. Ascensus provides equal employment opportunities to all associates and applicants for employment without regard to ancestry, race, color, religion, sex, (including pregnancy, childbirth, breastfeeding and/or related medical conditions), gender, gender identity, gender expression, national origin, age, physical or mental disability, medical condition (including cancer and genetic characteristics), marital status, military or veteran status, genetic information, sexual orientation, criminal conviction record or any other protected category in accordance with applicable federal, state, or local laws ("Protected Status").

PENNYMAC Pennymac is (NYSE: PFSI) is a specialty financial services firm with a comprehensive mortgage platform and integrated business focused on the production and servicing of U. S. mortgage loans and the management of investments related to the U. S. mortgage market. At Pennymac, our people are the foundation of our success and at the heart of our dynamic work culture. Together, we work towards a unified goal of helping millions of Americans achieve aspirations of homeownership through the complete mortgage journey. A Typical Day The Mortgage Servicing Compliance Specialist III is responsible for developing business performance metrics to ensure the organization adheres to complex federal and state regulations. This role involves direct collaboration with data analysis to translate statutory requirements into actionable test logic, conducting User Acceptance Testing (UAT), and connecting with Lines of Business (LOB), Legal, and Corporate Compliance to ensure operational alignment. The role requires a capacity for thorough investigation and documentation, specifically the ability to effectively cross-reference and cite any potential findings that emerge during the course of a project or analysis. This capability ensures that all identified issues, observations, or conclusions are supported by verifiable evidence and can be traced back to their original source or context. This is crucial for maintaining audit trails, ensuring data integrity, and providing comprehensive support for corrective actions or strategic recommendations. While an individual contributor, their deep knowledge makes them a key mentor and guide for junior members of the compliance department. The Mortgage Servicing Compliance Specialist III will: Research and interpret regulations to define test requirements and metrics. Review Policies and Procedures (P&Ps) and meet with Lines of Business to fully understand operational processes related to specific regulations. Work with data analysts to implement and review report sql logic and conduct detailed UATCollaborate with data analysts to implement and review SQL logic for reports, and conduct detailed User Acceptance Testing (UAT) Ensure that management is apprised of audit/exam and QA/QC results on a regular basis and is advised in a timely fashion of any emerging risks, critical deficiencies that could adversely impact operational, reputational or transactional processes within the business unit(s) Schedule and lead walkthroughs with management and the LOB to discuss testing approaches, findings, and logic updates. Draft policies and procedures when needed for testing reports Provide clear and descriptive documentation detailing action taken Furnish comprehensive and explicit documentation detailing the actions undertaken. Perform other related duties as required and assigned Demonstrate behaviors which are aligned with the organization's desired culture and values What You'll Bring Technical proficiency in regulatory compliance matters and regulations Ability to analyze and assess risk based on potential impact to Pennymac for non-compliance Proficient in Word, Excel and Power Point Presentation experience is a plus Must be a team player with strong attention to detail and able to work independently requiring minimum supervision Proven track record at delivering timely and accurate information in a fast-paced environment Excellent critical thinking, problem solving, mathematical skills and sound judgment Strong business acumen and ability to interface with executive management Strong verbal and written communication skills Financial Services and, if possible, mortgage industry experience preferred Why You Should Join As one of the top mortgage lenders in the country, Pennymac has helped over 4 million lifetime homeowners achieve and sustain their aspirations of home. Our vision is to be the most trusted partner for home. Together, 4,000 Pennymac team members across the country are guided by our core values: to be Accountable, Reliable and Ethical in all that we do. Pennymac is committed to conducting a business that makes positive contributions and promotes long-term sustainable growth and to fostering an equitable and inclusive environment, where all employees and customers feel valued, respected and supported. Benefits That Bring It Home: Whether you're looking for flexible benefits for today, setting up short-term goals for tomorrow, or planning for long-term success and retirement, Pennymac's benefits have you covered. Some key benefits include: Comprehensive Medical, Dental, and Vision Paid Time Off Programs including vacation, holidays, illness, and parental leave Wellness Programs, Employee Recognition Programs, and onsite gyms and cafe style dining (select locations) Retirement benefits, life insurance, 401k match, and tuition reimbursement Philanthropy Programs including matching gifts, volunteer grants, charitable grants and corporate sponsorships We value the hard work and dedication of our employees. In addition to a competitive salary, positions may offer bonus opportunities. To learn more about our benefits visit: ********************* page. link/benefits For residents with state required benefit information, additional information can be found at: ************ pennymac. com/additional-benefits-information Compensation: Individual salary may vary based on multiple factors including specific role, geographic location / market data, and skills and experience as defined below: Lower in range - Building skills and experience in the role Mid-range - Experience and skills align with proficiency in the role Higher in range - Experience and skills add value above typical requirements of the role Some roles may be eligible for performance-based compensation and/or stock-based incentives awarded to employees based on company and individual performance. Salary $55,000 - $85,000 Work Model OFFICE

Your Career. Your Story. Let's Write the Next Chapter Together. At Origin Bank, a job isn't just a paycheck - it's a meaningful journey. We're committed to helping you grow both professionally and personally in an environment where people come first. We offer a competitive total rewards package, including generous benefits and compensation tailored to your skills, experience, and education. What truly sets us apart is our people-first culture. Here, you'll be supported by unique initiatives like our Dream Manager program, one-on-one guidance from a nationally certified health and wellness coach, and free access to certified financial professionals who are here to help you plan for your future. If you're looking for a career that empowers you to make meaningful connections, positively impact others, and pursue your personal and professional dreams-we'd love to meet you. Apply today and start the most rewarding chapter of your career with us. The Compliance Advisory Specialist II, working within the Compliance Risk Management Team, is responsible for conducting assigned compliance risk management activities in support of the bank's Compliance Management Program (CMP) under the direction of the Director of Compliance Risk Advisory Services. Provides support in the administration of components of the bank's overall Compliance Management System (CMS), including complaint management, advertising, and disclosure reviews, third party risk management compliance reviews, spearfishing monitoring. Provides administrative support to the Chief Compliance Officer and members of the Compliance Risk Management Leadership Team. Word Responsible for performing regulatory research and analysis for the Compliance Risk Advisory Services Group and advising of the regulatory risks and adequacy of first line of defense operating policies, procedures, and processes. * Support Compliance Risk Advisory Services in the collaboration with the first line of defense to identify and mitigate elevated residual compliance risks and establish appropriate compliance controls related thereto * Assist our partners in the first line of defense with the development of policies and procedures to ensure adherence to regulations * Act as resource for personnel questions on compliance issues and assist with remediation or answers * Assist as needed with the bank's complaint management system (Kadince); track investigations of customer complaints to ensure timely response; ensure third party vendor complaints are documented and investigated; maintain complaint status in Kadince; and generate internal complaint dashboard and related management reports * Prepare preliminary reports of issues or findings with root cause analysis and improvement recommendations (when warranted) * Support tracking, monitoring, and reporting of compliance risks and related activities * Conduct follow up with business units on implementation and status of monitoring review recommendations and/or findings, issue-tracking, including notifying business lines of impending due dates, escalating unresolved issues appropriately and performing retesting as directed * Assist as needed with maintaining and managing workflow of advertisements and other promotional materials and approval of such (including branch flyers, posters, notices, marketing brochures, internet, social media, email, television, radio, statement messages, etc.) for compliance with applicable laws and regulations * Assist as needed with conducting and documenting third party risk management compliance reviews for Tier 1 and Tier 2 vendors * Prepares reports by collecting, analyzing, and summarizing information * Conducts and/or provides assistance on special projects, as required * Assist with the design and delivery of consumer compliance-related training, as needed * Adhere to all designated time frames, manage workflow to the specified deadlines and complete responsibilities in a satisfactory manner * Maintains professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, benchmarking state-of-the-art practices, and participating in professional societies * Coordinate registering Compliance Risk Management Team for training and continuing education; retaining appropriate documentation of such continuing education * Create and/or update internal department procedures as necessary * Coordinate the Compliance Risk Management Team meeting minutes * Performs any other assignments as directed by the Chief Compliance Officer and Director of Compliance Risk Advisory Services Supervisory Responsibilities The incumbent is not responsible for the supervision of employees. Competencies To perform the job successfully, an individual should demonstrate the following competencies: Analytical and Design - Ability to assess risk; Detail oriented, analytical, and critical thinking skills; Strong problem solving and analytical skills required to succeed in this job; Strong technical troubleshooting skills and ability to juggle simultaneous projects. Problem Solving - Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Works well in group problem solving situations; Uses reason even when dealing with emotional topics. Interpersonal Skills/Customer Service - Focuses on solving conflict, not blaming; Maintains confidentiality; Remains open to others' ideas and tries new things; Manages difficult or emotional customer situations; Responds to requests for service and assistance; Meets commitments. Oral and Written Communication - Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions; Demonstrates group presentation skills; Participates in meetings; Writes clearly and informatively; Edits work for spelling, grammar, and legal citation references; Varies writing style to meet needs; Able to read and interpret written information. Teamwork - Ability to work in a collaborative environment, as well as independently; Balances team and individual responsibilities; Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Supports everyone's efforts to succeed. Organizational Support - Follows policies and procedures; Completes administrative tasks correctly and on time; Supports organization's goals and values; Benefits organization through outside activities; Supports affirmative action and respects diversity; Embraces trusted advisor role. Judgment and Motivation - Displays willingness to make decisions; Exhibits sound and accurate judgment; Supports and explains reasoning for decisions; Includes appropriate people in decision-making process; Makes timely decisions; Demonstrates persistence and overcomes obstacles. Planning/Organizing - Ability to multi-task and set priorities; Prioritizes and plans work activities; Uses time efficiently; Sets goals and objectives. Professionalism - Ability to deal with all levels of personnel in a courteous and effective manner; Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration regardless of their status or position. Quantity - Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with interruptions and changing priorities. Adaptability - Adapts to changes in the work environment; Manages competing demands; Changes approach or method to best fit the situation; Able to deal with frequent change, delays, or unexpected events. Attendance/Punctuality and Dependability - Is consistently at work and on time; Ensures work responsibilities are covered when absent; Arrives at meetings and appointments on time; Follows instructions, responds to management direction; Takes responsibility for own actions; Commits to long hours of work when necessary to reach goals. Qualifications To perform this job successfully, knowledge of Compliance Risk Management and related laws and regulations. Incumbent must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Education and/or Experience At least three (3) years, banking compliance experience. General familiarity with federal and state banking regulations preferred. Relevant training and/or certifications as a Compliance Specialist or similar compliance certification. Strong analytical and critical thinking skills. Strong documenting and reporting skills. Attention to detail. Strong verbal and written communication skills. Experience as a compliance auditor and or compliance examiner is acceptable. Computer Skills To perform this job successfully, an individual should have advanced knowledge of Microsoft Office Suite, including Outlook, Word, Excel, and Access. Power BI preferred. Ability to learn bank-specific software. Ability to use basic office machines. Bank Culture/Customer Service Skills Ability and judgment to interact and communicate appropriately with other employees, customers, and supervisor. Ability to serve customers, both internal and external, (community/public) in a manner that will reflect superior customer relations and enhance the overall marketing effort of Origin Bank. Physical Demands While performing the duties of this job, the employee is frequently required to stand; walk; sit; use hands to finger, handle, or feel and talk or hear. The employee is occasionally required to reach with hands and arms; climb or balance and stoop, kneel, crouch, or crawl. The employee must frequently lift and/or move up to 10 pounds and occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision and ability to adjust focus. Mental Demands Incumbent in this position must be able to accommodate reading documents or instruments, detailed work, problem solving, customer contact, reasoning, math, language, presumptions, verbal and written communication, analytical reasoning, stress, multiple concurrent tasks, and constant interruptions. Work Environment The noise level in the work environment is usually moderate. This reflects management's assignment of essential functions. It does not prescribe or restrict the tasks that may be assigned. Origin Bank shall, in its discretion, modify or adjust the position to meet the Bank's changing needs. This job description is not a contract and may be adjusted as deemed appropriate in the Bank's sole Word Compensation Details We believe in competitive compensation. The minimum average base pay for this position based on market is: $70,686.00 Word The minimum base pay could be increased based on factors such as skills, education, or experience. The base pay listed does not include incentives, bonuses, or benefits. We also offer a generous benefits package (more information on benefits can be found here). Word Remote positions are intended to be filled in states within our footprint, which includes: Alabama, Florida, Louisiana, Mississippi, and Texas. Any exception to this policy requires further regulatory review and approval by management. Word Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, pregnancy, genetic information, disability, status as a protected veteran, or any other protected category under applicable federal, state, and local laws. Know Your Rights

Your Career. Your Story. Let's Write the Next Chapter Together. At Origin Bank, a job isn't just a paycheck - it's a meaningful journey. We're committed to helping you grow both professionally and personally in an environment where people come first. We offer a competitive total rewards package, including generous benefits and compensation tailored to your skills, experience, and education. What truly sets us apart is our people-first culture. Here, you'll be supported by unique initiatives like our Dream Manager program, one-on-one guidance from a nationally certified health and wellness coach, and free access to certified financial professionals who are here to help you plan for your future. If you're looking for a career that empowers you to make meaningful connections, positively impact others, and pursue your personal and professional dreams-we'd love to meet you. Apply today and start the most rewarding chapter of your career with us. The Compliance Advisory Specialist II, working within the Compliance Risk Management Team, is responsible for conducting assigned compliance risk management activities in support of the bank's Compliance Management Program (CMP) under the direction of the Director of Compliance Risk Advisory Services. Provides support in the administration of components of the bank's overall Compliance Management System (CMS), including complaint management, advertising, and disclosure reviews, third party risk management compliance reviews, spearfishing monitoring. Provides administrative support to the Chief Compliance Officer and members of the Compliance Risk Management Leadership Team. Word Responsible for performing regulatory research and analysis for the Compliance Risk Advisory Services Group and advising of the regulatory risks and adequacy of first line of defense operating policies, procedures, and processes. * Support Compliance Risk Advisory Services in the collaboration with the first line of defense to identify and mitigate elevated residual compliance risks and establish appropriate compliance controls related thereto * Assist our partners in the first line of defense with the development of policies and procedures to ensure adherence to regulations * Act as resource for personnel questions on compliance issues and assist with remediation or answers * Assist as needed with the bank's complaint management system (Kadince); track investigations of customer complaints to ensure timely response; ensure third party vendor complaints are documented and investigated; maintain complaint status in Kadince; and generate internal complaint dashboard and related management reports * Prepare preliminary reports of issues or findings with root cause analysis and improvement recommendations (when warranted) * Support tracking, monitoring, and reporting of compliance risks and related activities * Conduct follow up with business units on implementation and status of monitoring review recommendations and/or findings, issue-tracking, including notifying business lines of impending due dates, escalating unresolved issues appropriately and performing retesting as directed * Assist as needed with maintaining and managing workflow of advertisements and other promotional materials and approval of such (including branch flyers, posters, notices, marketing brochures, internet, social media, email, television, radio, statement messages, etc.) for compliance with applicable laws and regulations * Assist as needed with conducting and documenting third party risk management compliance reviews for Tier 1 and Tier 2 vendors * Prepares reports by collecting, analyzing, and summarizing information * Conducts and/or provides assistance on special projects, as required * Assist with the design and delivery of consumer compliance-related training, as needed * Adhere to all designated time frames, manage workflow to the specified deadlines and complete responsibilities in a satisfactory manner * Maintains professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, benchmarking state-of-the-art practices, and participating in professional societies * Coordinate registering Compliance Risk Management Team for training and continuing education; retaining appropriate documentation of such continuing education * Create and/or update internal department procedures as necessary * Coordinate the Compliance Risk Management Team meeting minutes * Performs any other assignments as directed by the Chief Compliance Officer and Director of Compliance Risk Advisory Services Supervisory Responsibilities The incumbent is not responsible for the supervision of employees. Competencies To perform the job successfully, an individual should demonstrate the following competencies: Analytical and Design - Ability to assess risk; Detail oriented, analytical, and critical thinking skills; Strong problem solving and analytical skills required to succeed in this job; Strong technical troubleshooting skills and ability to juggle simultaneous projects. Problem Solving - Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Works well in group problem solving situations; Uses reason even when dealing with emotional topics. Interpersonal Skills/Customer Service - Focuses on solving conflict, not blaming; Maintains confidentiality; Remains open to others' ideas and tries new things; Manages difficult or emotional customer situations; Responds to requests for service and assistance; Meets commitments. Oral and Written Communication - Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions; Demonstrates group presentation skills; Participates in meetings; Writes clearly and informatively; Edits work for spelling, grammar, and legal citation references; Varies writing style to meet needs; Able to read and interpret written information. Teamwork - Ability to work in a collaborative environment, as well as independently; Balances team and individual responsibilities; Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Supports everyone's efforts to succeed. Organizational Support - Follows policies and procedures; Completes administrative tasks correctly and on time; Supports organization's goals and values; Benefits organization through outside activities; Supports affirmative action and respects diversity; Embraces trusted advisor role. Judgment and Motivation - Displays willingness to make decisions; Exhibits sound and accurate judgment; Supports and explains reasoning for decisions; Includes appropriate people in decision-making process; Makes timely decisions; Demonstrates persistence and overcomes obstacles. Planning/Organizing - Ability to multi-task and set priorities; Prioritizes and plans work activities; Uses time efficiently; Sets goals and objectives. Professionalism - Ability to deal with all levels of personnel in a courteous and effective manner; Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration regardless of their status or position. Quantity - Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with interruptions and changing priorities. Adaptability - Adapts to changes in the work environment; Manages competing demands; Changes approach or method to best fit the situation; Able to deal with frequent change, delays, or unexpected events. Attendance/Punctuality and Dependability - Is consistently at work and on time; Ensures work responsibilities are covered when absent; Arrives at meetings and appointments on time; Follows instructions, responds to management direction; Takes responsibility for own actions; Commits to long hours of work when necessary to reach goals. Qualifications To perform this job successfully, knowledge of Compliance Risk Management and related laws and regulations. Incumbent must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Education and/or Experience At least three (3) years, banking compliance experience. General familiarity with federal and state banking regulations preferred. Relevant training and/or certifications as a Compliance Specialist or similar compliance certification. Strong analytical and critical thinking skills. Strong documenting and reporting skills. Attention to detail. Strong verbal and written communication skills. Experience as a compliance auditor and or compliance examiner is acceptable. Computer Skills To perform this job successfully, an individual should have advanced knowledge of Microsoft Office Suite, including Outlook, Word, Excel, and Access. Power BI preferred. Ability to learn bank-specific software. Ability to use basic office machines. Bank Culture/Customer Service Skills Ability and judgment to interact and communicate appropriately with other employees, customers, and supervisor. Ability to serve customers, both internal and external, (community/public) in a manner that will reflect superior customer relations and enhance the overall marketing effort of Origin Bank. Physical Demands While performing the duties of this job, the employee is frequently required to stand; walk; sit; use hands to finger, handle, or feel and talk or hear. The employee is occasionally required to reach with hands and arms; climb or balance and stoop, kneel, crouch, or crawl. The employee must frequently lift and/or move up to 10 pounds and occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision and ability to adjust focus. Mental Demands Incumbent in this position must be able to accommodate reading documents or instruments, detailed work, problem solving, customer contact, reasoning, math, language, presumptions, verbal and written communication, analytical reasoning, stress, multiple concurrent tasks, and constant interruptions. Work Environment The noise level in the work environment is usually moderate. This reflects management's assignment of essential functions. It does not prescribe or restrict the tasks that may be assigned. Origin Bank shall, in its discretion, modify or adjust the position to meet the Bank's changing needs. This job description is not a contract and may be adjusted as deemed appropriate in the Bank's sole Word Compensation Details We believe in competitive compensation. The minimum average base pay for this position based on market is: $70,686.00 Word The minimum base pay could be increased based on factors such as skills, education, or experience. The base pay listed does not include incentives, bonuses, or benefits. We also offer a generous benefits package (more information on benefits can be found here). Word Remote positions are intended to be filled in states within our footprint, which includes: Alabama, Florida, Louisiana, Mississippi, and Texas. Any exception to this policy requires further regulatory review and approval by management. Word Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, pregnancy, genetic information, disability, status as a protected veteran, or any other protected category under applicable federal, state, and local laws. Know Your Rights

Your Career. Your Story. Let's Write the Next Chapter Together. At Origin Bank, a job isn't just a paycheck - it's a meaningful journey. We're committed to helping you grow both professionally and personally in an environment where people come first. We offer a competitive total rewards package, including generous benefits and compensation tailored to your skills, experience, and education. What truly sets us apart is our people-first culture. Here, you'll be supported by unique initiatives like our Dream Manager program, one-on-one guidance from a nationally certified health and wellness coach, and free access to certified financial professionals who are here to help you plan for your future. If you're looking for a career that empowers you to make meaningful connections, positively impact others, and pursue your personal and professional dreams-we'd love to meet you. Apply today and start the most rewarding chapter of your career with us. The Compliance Advisory Specialist II, working within the Compliance Risk Management Team, is responsible for conducting assigned compliance risk management activities in support of the bank's Compliance Management Program (CMP) under the direction of the Director of Compliance Risk Advisory Services. Provides support in the administration of components of the bank's overall Compliance Management System (CMS), including complaint management, advertising, and disclosure reviews, third party risk management compliance reviews, spearfishing monitoring. Provides administrative support to the Chief Compliance Officer and members of the Compliance Risk Management Leadership Team. Word Responsible for performing regulatory research and analysis for the Compliance Risk Advisory Services Group and advising of the regulatory risks and adequacy of first line of defense operating policies, procedures, and processes. Support Compliance Risk Advisory Services in the collaboration with the first line of defense to identify and mitigate elevated residual compliance risks and establish appropriate compliance controls related thereto Assist our partners in the first line of defense with the development of policies and procedures to ensure adherence to regulations Act as resource for personnel questions on compliance issues and assist with remediation or answers Assist as needed with the bank's complaint management system (Kadince); track investigations of customer complaints to ensure timely response; ensure third party vendor complaints are documented and investigated; maintain complaint status in Kadince; and generate internal complaint dashboard and related management reports Prepare preliminary reports of issues or findings with root cause analysis and improvement recommendations (when warranted) Support tracking, monitoring, and reporting of compliance risks and related activities Conduct follow up with business units on implementation and status of monitoring review recommendations and/or findings, issue-tracking, including notifying business lines of impending due dates, escalating unresolved issues appropriately and performing retesting as directed Assist as needed with maintaining and managing workflow of advertisements and other promotional materials and approval of such (including branch flyers, posters, notices, marketing brochures, internet, social media, email, television, radio, statement messages, etc.) for compliance with applicable laws and regulations Assist as needed with conducting and documenting third party risk management compliance reviews for Tier 1 and Tier 2 vendors Prepares reports by collecting, analyzing, and summarizing information Conducts and/or provides assistance on special projects, as required Assist with the design and delivery of consumer compliance-related training, as needed Adhere to all designated time frames, manage workflow to the specified deadlines and complete responsibilities in a satisfactory manner Maintains professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, benchmarking state-of-the-art practices, and participating in professional societies Coordinate registering Compliance Risk Management Team for training and continuing education; retaining appropriate documentation of such continuing education Create and/or update internal department procedures as necessary Coordinate the Compliance Risk Management Team meeting minutes Performs any other assignments as directed by the Chief Compliance Officer and Director of Compliance Risk Advisory Services Supervisory Responsibilities The incumbent is not responsible for the supervision of employees. Competencies To perform the job successfully, an individual should demonstrate the following competencies: Analytical and Design - Ability to assess risk; Detail oriented, analytical, and critical thinking skills; Strong problem solving and analytical skills required to succeed in this job; Strong technical troubleshooting skills and ability to juggle simultaneous projects. Problem Solving - Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Works well in group problem solving situations; Uses reason even when dealing with emotional topics. Interpersonal Skills/Customer Service - Focuses on solving conflict, not blaming; Maintains confidentiality; Remains open to others' ideas and tries new things; Manages difficult or emotional customer situations; Responds to requests for service and assistance; Meets commitments. Oral and Written Communication - Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions; Demonstrates group presentation skills; Participates in meetings; Writes clearly and informatively; Edits work for spelling, grammar, and legal citation references; Varies writing style to meet needs; Able to read and interpret written information. Teamwork - Ability to work in a collaborative environment, as well as independently; Balances team and individual responsibilities; Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Supports everyone's efforts to succeed. Organizational Support - Follows policies and procedures; Completes administrative tasks correctly and on time; Supports organization's goals and values; Benefits organization through outside activities; Supports affirmative action and respects diversity; Embraces trusted advisor role. Judgment and Motivation - Displays willingness to make decisions; Exhibits sound and accurate judgment; Supports and explains reasoning for decisions; Includes appropriate people in decision-making process; Makes timely decisions; Demonstrates persistence and overcomes obstacles. Planning/Organizing - Ability to multi-task and set priorities; Prioritizes and plans work activities; Uses time efficiently; Sets goals and objectives. Professionalism - Ability to deal with all levels of personnel in a courteous and effective manner; Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration regardless of their status or position. Quantity - Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with interruptions and changing priorities. Adaptability - Adapts to changes in the work environment; Manages competing demands; Changes approach or method to best fit the situation; Able to deal with frequent change, delays, or unexpected events. Attendance/Punctuality and Dependability - Is consistently at work and on time; Ensures work responsibilities are covered when absent; Arrives at meetings and appointments on time; Follows instructions, responds to management direction; Takes responsibility for own actions; Commits to long hours of work when necessary to reach goals. Qualifications To perform this job successfully, knowledge of Compliance Risk Management and related laws and regulations. Incumbent must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Education and/or Experience At least three (3) years, banking compliance experience. General familiarity with federal and state banking regulations preferred. Relevant training and/or certifications as a Compliance Specialist or similar compliance certification. Strong analytical and critical thinking skills. Strong documenting and reporting skills. Attention to detail. Strong verbal and written communication skills. Experience as a compliance auditor and or compliance examiner is acceptable. Computer Skills To perform this job successfully, an individual should have advanced knowledge of Microsoft Office Suite, including Outlook, Word, Excel, and Access. Power BI preferred. Ability to learn bank-specific software. Ability to use basic office machines. Bank Culture/Customer Service Skills Ability and judgment to interact and communicate appropriately with other employees, customers, and supervisor. Ability to serve customers, both internal and external, (community/public) in a manner that will reflect superior customer relations and enhance the overall marketing effort of Origin Bank. Physical Demands While performing the duties of this job, the employee is frequently required to stand; walk; sit; use hands to finger, handle, or feel and talk or hear. The employee is occasionally required to reach with hands and arms; climb or balance and stoop, kneel, crouch, or crawl. The employee must frequently lift and/or move up to 10 pounds and occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision and ability to adjust focus. Mental Demands Incumbent in this position must be able to accommodate reading documents or instruments, detailed work, problem solving, customer contact, reasoning, math, language, presumptions, verbal and written communication, analytical reasoning, stress, multiple concurrent tasks, and constant interruptions. Work Environment The noise level in the work environment is usually moderate. This reflects management's assignment of essential functions. It does not prescribe or restrict the tasks that may be assigned. Origin Bank shall, in its discretion, modify or adjust the position to meet the Bank's changing needs. This job description is not a contract and may be adjusted as deemed appropriate in the Bank's sole Word Compensation Details We believe in competitive compensation. The minimum average base pay for this position based on market is: $70,686.00 Word The minimum base pay could be increased based on factors such as skills, education, or experience. The base pay listed does not include incentives, bonuses, or benefits. We also offer a generous benefits package (more information on benefits can be found here). Word Remote positions are intended to be filled in states within our footprint, which includes: Alabama, Florida, Louisiana, Mississippi, and Texas. Any exception to this policy requires further regulatory review and approval by management. Word Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, pregnancy, genetic information, disability, status as a protected veteran, or any other protected category under applicable federal, state, and local laws. Know Your Rights

Your Career. Your Story. Let's Write the Next Chapter Together. At Origin Bank, a job isn't just a paycheck - it's a meaningful journey. We're committed to helping you grow both professionally and personally in an environment where people come first. We offer a competitive total rewards package, including generous benefits and compensation tailored to your skills, experience, and education. What truly sets us apart is our people-first culture. Here, you'll be supported by unique initiatives like our Dream Manager program, one-on-one guidance from a nationally certified health and wellness coach, and free access to certified financial professionals who are here to help you plan for your future. If you're looking for a career that empowers you to make meaningful connections, positively impact others, and pursue your personal and professional dreams-we'd love to meet you. Apply today and start the most rewarding chapter of your career with us. The Compliance Advisory Specialist II, working within the Compliance Risk Management Team, is responsible for conducting assigned compliance risk management activities in support of the bank's Compliance Management Program (CMP) under the direction of the Director of Compliance Risk Advisory Services. Provides support in the administration of components of the bank's overall Compliance Management System (CMS), including complaint management, advertising, and disclosure reviews, third party risk management compliance reviews, spearfishing monitoring. Provides administrative support to the Chief Compliance Officer and members of the Compliance Risk Management Leadership Team. Word Responsible for performing regulatory research and analysis for the Compliance Risk Advisory Services Group and advising of the regulatory risks and adequacy of first line of defense operating policies, procedures, and processes. * Support Compliance Risk Advisory Services in the collaboration with the first line of defense to identify and mitigate elevated residual compliance risks and establish appropriate compliance controls related thereto * Assist our partners in the first line of defense with the development of policies and procedures to ensure adherence to regulations * Act as resource for personnel questions on compliance issues and assist with remediation or answers * Assist as needed with the bank's complaint management system (Kadince); track investigations of customer complaints to ensure timely response; ensure third party vendor complaints are documented and investigated; maintain complaint status in Kadince; and generate internal complaint dashboard and related management reports * Prepare preliminary reports of issues or findings with root cause analysis and improvement recommendations (when warranted) * Support tracking, monitoring, and reporting of compliance risks and related activities * Conduct follow up with business units on implementation and status of monitoring review recommendations and/or findings, issue-tracking, including notifying business lines of impending due dates, escalating unresolved issues appropriately and performing retesting as directed * Assist as needed with maintaining and managing workflow of advertisements and other promotional materials and approval of such (including branch flyers, posters, notices, marketing brochures, internet, social media, email, television, radio, statement messages, etc.) for compliance with applicable laws and regulations * Assist as needed with conducting and documenting third party risk management compliance reviews for Tier 1 and Tier 2 vendors * Prepares reports by collecting, analyzing, and summarizing information * Conducts and/or provides assistance on special projects, as required * Assist with the design and delivery of consumer compliance-related training, as needed * Adhere to all designated time frames, manage workflow to the specified deadlines and complete responsibilities in a satisfactory manner * Maintains professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, benchmarking state-of-the-art practices, and participating in professional societies * Coordinate registering Compliance Risk Management Team for training and continuing education; retaining appropriate documentation of such continuing education * Create and/or update internal department procedures as necessary * Coordinate the Compliance Risk Management Team meeting minutes * Performs any other assignments as directed by the Chief Compliance Officer and Director of Compliance Risk Advisory Services Supervisory Responsibilities The incumbent is not responsible for the supervision of employees. Competencies To perform the job successfully, an individual should demonstrate the following competencies: Analytical and Design - Ability to assess risk; Detail oriented, analytical, and critical thinking skills; Strong problem solving and analytical skills required to succeed in this job; Strong technical troubleshooting skills and ability to juggle simultaneous projects. Problem Solving - Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Works well in group problem solving situations; Uses reason even when dealing with emotional topics. Interpersonal Skills/Customer Service - Focuses on solving conflict, not blaming; Maintains confidentiality; Remains open to others' ideas and tries new things; Manages difficult or emotional customer situations; Responds to requests for service and assistance; Meets commitments. Oral and Written Communication - Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions; Demonstrates group presentation skills; Participates in meetings; Writes clearly and informatively; Edits work for spelling, grammar, and legal citation references; Varies writing style to meet needs; Able to read and interpret written information. Teamwork - Ability to work in a collaborative environment, as well as independently; Balances team and individual responsibilities; Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Supports everyone's efforts to succeed. Organizational Support - Follows policies and procedures; Completes administrative tasks correctly and on time; Supports organization's goals and values; Benefits organization through outside activities; Supports affirmative action and respects diversity; Embraces trusted advisor role. Judgment and Motivation - Displays willingness to make decisions; Exhibits sound and accurate judgment; Supports and explains reasoning for decisions; Includes appropriate people in decision-making process; Makes timely decisions; Demonstrates persistence and overcomes obstacles. Planning/Organizing - Ability to multi-task and set priorities; Prioritizes and plans work activities; Uses time efficiently; Sets goals and objectives. Professionalism - Ability to deal with all levels of personnel in a courteous and effective manner; Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration regardless of their status or position. Quantity - Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with interruptions and changing priorities. Adaptability - Adapts to changes in the work environment; Manages competing demands; Changes approach or method to best fit the situation; Able to deal with frequent change, delays, or unexpected events. Attendance/Punctuality and Dependability - Is consistently at work and on time; Ensures work responsibilities are covered when absent; Arrives at meetings and appointments on time; Follows instructions, responds to management direction; Takes responsibility for own actions; Commits to long hours of work when necessary to reach goals. Qualifications To perform this job successfully, knowledge of Compliance Risk Management and related laws and regulations. Incumbent must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Education and/or Experience At least three (3) years, banking compliance experience. General familiarity with federal and state banking regulations preferred. Relevant training and/or certifications as a Compliance Specialist or similar compliance certification. Strong analytical and critical thinking skills. Strong documenting and reporting skills. Attention to detail. Strong verbal and written communication skills. Experience as a compliance auditor and or compliance examiner is acceptable. Computer Skills To perform this job successfully, an individual should have advanced knowledge of Microsoft Office Suite, including Outlook, Word, Excel, and Access. Power BI preferred. Ability to learn bank-specific software. Ability to use basic office machines. Bank Culture/Customer Service Skills Ability and judgment to interact and communicate appropriately with other employees, customers, and supervisor. Ability to serve customers, both internal and external, (community/public) in a manner that will reflect superior customer relations and enhance the overall marketing effort of Origin Bank. Physical Demands While performing the duties of this job, the employee is frequently required to stand; walk; sit; use hands to finger, handle, or feel and talk or hear. The employee is occasionally required to reach with hands and arms; climb or balance and stoop, kneel, crouch, or crawl. The employee must frequently lift and/or move up to 10 pounds and occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision and ability to adjust focus. Mental Demands Incumbent in this position must be able to accommodate reading documents or instruments, detailed work, problem solving, customer contact, reasoning, math, language, presumptions, verbal and written communication, analytical reasoning, stress, multiple concurrent tasks, and constant interruptions. Work Environment The noise level in the work environment is usually moderate. This reflects management's assignment of essential functions. It does not prescribe or restrict the tasks that may be assigned. Origin Bank shall, in its discretion, modify or adjust the position to meet the Bank's changing needs. This job description is not a contract and may be adjusted as deemed appropriate in the Bank's sole Word Compensation Details We believe in competitive compensation. The minimum average base pay for this position based on market is: $70,686.00 Word The minimum base pay could be increased based on factors such as skills, education, or experience. The base pay listed does not include incentives, bonuses, or benefits. We also offer a generous benefits package (more information on benefits can be found here). Word Remote positions are intended to be filled in states within our footprint, which includes: Alabama, Florida, Louisiana, Mississippi, and Texas. Any exception to this policy requires further regulatory review and approval by management. Word Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, pregnancy, genetic information, disability, status as a protected veteran, or any other protected category under applicable federal, state, and local laws. Know Your Rights

Join Our Team as a Compliance Specialist at IHMVCU! IHMVCU is seeking a detail-oriented Compliance Specialist to join the team! We are member-focused and dedicated to providing exceptional service and fostering financial well-being for our community. This role is located at our beautiful headquarters on River Drive in Moline, IL. This facility includes a comfortable office environment with an on-site gym facility. Position Summary: The Compliance Specialist is a key second line role, to help ensure legal and regulatory obligations are being met across all applicable lines of business. The position will be responsible for validating and updating any required compliance disclosures. The Compliance Specialist will play an active role in making decisions with regards to internal compliance changes while ensuring we are following all federal and state laws. Also, will be responsible for completing compliance testing workpapers and reviews. The position will work with outside counsel to ensure legal matters are appropriately resolved and assist with state compliance. The successful candidate will need the following skills/qualifications: * High School diploma or equivalent, Bachelor's degree preferred. * Minimum of 2 years experience within Financial, Compliance or Legal fields. * Excellent communication and interpersonal skills, with the ability to collaborate effectively. * Strong analytical skills with the ability to interpret complex data. * Detail-oriented with a high degree of accuracy and problem-solving abilities. * High level of integrity and commitment to regulatory practices. What are some of the responsibilities of a Compliance Specialist? * Reviewing and monitoring disclosures to ensure accuracy, regulatory alignment, and consistency across channels. * Conducting compliance reviews and creating/maintaining workpapers for federal compliance audits. * Documenting findings, maintaining evidence, and ensuring issues are logged and tracked. * Researching regulations and summarizing requirements for internal teams. * Assisting with training by preparing materials or helping staff understand procedural changes. * Supporting audits and exams with data gathering and responding to information requests. * Maintaining portions that feed into the compliance management program (final rules, proposed rules, litigation, compliance complaints, and/or compliance issues that arise through the CMS). * Acting as a resource to frontline staff on routine regulatory questions Being a team member of IHMVCU is more than just a job, we want to make differences in the communities we live in and serve. Check out our careers page for more information including benefits *********************** Final compensation will be determined by various factors such as experience, specific skills and internal pay equity. * Outstanding training, plentiful support and tools needed to be successful in your career * Competitive compensation * 401(k) with company match and profit sharing * Holiday pay & paid time off * Education reimbursement * Fitness reimbursement * Community volunteering * Health insurance including dental and vision * Flexible Spending Accounts & Health Savings Accounts * Employee Assistance Program (EAP) * Access to fitness center Move Up your career at IHMVCU with this great opportunity! Physical Requirements: * Sitting: Sedentary work involves sitting most of the time. Jobs are sedentary if walking and standing are required only occasionally and all other sedentary criteria are met. * Talking: Expressing or exchanging ideas by means of the spoken word; those activities where detailed or important spoken instructions must be conveyed to other workers accurately, loudly, or quickly. * Hearing: Perceiving the nature of sounds at normal speaking levels with or without correction, and having the ability to receive detailed information through oral communication, and making fine discriminations in sound. * Finger, handle, touch: Picking, pinching, typing or otherwise working, primarily with fingers rather than with whole hand or arm as in handling. Applying pressure to an object with the fingers and palm. Perceiving attributes of objects, such as size, shape, temperature or texture by touching with skin, particularly that of fingertips. * Lifting Demands: Up to 10 lbs. * Visual Demands: Visual acuity to do things such as: preparing and analyzing data and figures; transcribing; viewing a computer terminal

Basic Duties and Responsibilities Assist with interpreting and maintaining compliance with applicable Environmental Protection Agency (EPA) and Texas Commission on Environmental Quality (TCEQ) rules and regulations. Assist in interpreting and maintaining compliance with facility air quality permits/authorizations (NSR, Title V, PBR) and regulations including, but not limited to: NSPS, NESHAP and Reg V. Ensure the preparation, accuracy and submittal of state and federal reports, including but not limited to: semi-annual deviation reports, monthly/annual air emission reports, discharge monitoring reports (DMRs), TIER II, etc. Assist in incident/spill response notification and reporting. Assist and ensure compliance with applicable TCEQ and EPA water quality permits and applicable regulations. Assist in managing and ensuring compliance with RMP requirements. Manage and ensure compliance with SPCC requirements. Assist in developing, implementing and ensuring compliance with environmental regulatory procedures, processes and practices. Interface with federal, state, county, and city representatives during site inspections. Provide technical assistance and guidance to the facilities. Develop, assist and conduct training and education programs for environmental compliance. Actively participate as a member of the Incident Command (IC) system. Maintain professional certifications, as applicable, by attending various training, seminars and classes. Assist with internal and external SHES and Regulatory Compliance Audits. Participate in various internal and external meetings and committees as appropriate. Interface directly with the Environmental Systems Supervisor and Terminal Management. Assist in the maintenance of environmentally related plans, licenses, permits and certifications. Assist in other areas as necessary, which may include TRRP, Waste Management, and others. Skills and Qualifications Bachelor's Degree from accredited college or university. Two years related experience and foundational knowledge in environmental regulations. Good verbal and written communications skills. Emissions calculations experience a plus. Excellent problem-solving abilities.