Compliance Analyst jobs at Commonwealth Financial Network - 190 jobs

A global private markets firm is seeking an experienced Analyst to join their Transactions team in Boston. This hybrid role involves supporting the investment function, coordinating documentation, and ensuring compliance across multiple teams. The ideal candidate is exceptionally organized, detail-oriented, and proficient in Microsoft Office. With a competitive salary range of $70,000 - $90,000 and additional benefits, this position offers opportunities for growth in a collaborative environment. #J-18808-Ljbffr

A state agency in Massachusetts is seeking a Legal Counsel to administer the Home Improvement Contractor complaint process. The role involves legal compliance audits, conducting hearings, and providing support for enforcement initiatives. Ideal candidates should possess a JD degree, be admitted to the Massachusetts Bar, and have experience in legal research. This position offers competitive salary and potential for a hybrid work schedule. #J-18808-Ljbffr

Analyst, Transactions page is loaded## Analyst, Transactionslocations: Bostontime type: Full timeposted on: Posted Todayjob requisition id: R2137**Job Description Summary**For over forty years, HarbourVest has been home to a committed team of professionals with an entrepreneurial spirit and a desire to deliver impactful solutions to our clients and investing partners. As our global firm grows, we continue to add individuals who seek a collaborative, open-door culture that values diversity and innovative thinking.In our collegial environment that's marked by low turnover and high energy, you'll be inspired to grow and thrive. Here, you will be encouraged to build on your strengths and acquire new skills and experiences.We are committed to fostering an environment of inclusion that promotes mutual respect among all employees. Understanding and valuing these differences optimizes the potential of both the individual and the firm.HarbourVest is an equal opportunity employer.This position will be a hybrid work arrangement. You will receive 18 remote workdays per quarter to use at your discretion, subject to manager approval. For example, you may choose to work in the office 4 days per week and take one remote day weekly (typically 13 weeks per quarter), leaving 5 additional remote days to be used as needed.The Analyst will serve as a member of the Transactions team supporting the investment function in investing capital as well as improving business operations. The role will have exposure to a wide range of activities surrounding the transaction closing process. This includes but is not limited to communication among relevant internal and external parties, supporting closing process and documentation, recording and reconciling transactions in our internal systems, and Know Your Client (KYC). This position will serve as a liaison with internal departments such as Legal, Accounting, Treasury, Tax, Compliance, and Portfolio Analytics, in addition to external parties, while observing all internal policies. The Analyst will support investments made from our offices in Boston, Toronto, London, Hong Kong, and Singapore. Prior experience with private equity, private credit, or corporate law firm would be an asset. Ability to provide notary services as a Notary Public of Massachusetts would also be an asset. This role is not focused on evaluating investment opportunities.## The ideal candidate is someone who is:* An exceptionally organized individual with an outstanding attention to detail* A team-player that is able to efficiently prioritize multiple projects and meet target dates with little direct supervision* Quick to develop a strong understanding of new systems, data relationships, and processes* Able to communicate professionally and confidentially with colleagues of all levels and across multiple teams## ## What you will do:* Coordinate documentation in support of investment execution (e.g., obtaining signatures, tax and compliance documents, wiring instructions, contact sheets)* Work closely across multiple groups and geographies to ensure compliance with all closing processes, internal documentation, and reporting procedures* Assist with the implementation of Transactions strategic initiatives, ad-hoc operational projects, and other aspects of group management* Maintain internal systems for planning and tracking investment closings for firmwide reference* Support associates/senior associates to facilitate and prepare the funding package for investments, ensuring that all requirements are satisfied completely, accurately, and in a timely manner* Reconcile discrepancies and work in internal systems and with internal business partners to ensure that appropriate information is entered in our systems accurately and completely* Track and upload transaction related legal and authorization documents* Prepare invoices for deal-related expenses and provide allocations for deal-related invoices received* Monitor incoming legal communications from General Partners* Provide Notary Public services* Other responsibilities as required## ## What you bring:* Proven problem-solving and analytical skills* Strong attention to detail* An ability to handle multiple projects* Excellent written and verbal communication skills* Experience working with Microsoft Excel, Word and PowerPoint* Prior experience with private markets or corporate law would be an asset## ## Education Preferred* Bachelor of Arts (B.A) or equivalent experience* Bachelor of Science (B.S) or equivalent experience**Experience*** 0-2 Years relevant experience preferred#LI-Hybrid**Salary Range**$70,000.00 - $90,000.00This USD base salary range represents only one component of total compensation for this role and is provided in accordance with local requirements. This role is eligible for a discretionary annual bonus, which is determined based on individual and overall firm performance. In addition to salary and bonus, total compensation may include eligibility for long-term reward programs and a comprehensive total rewards package that may include retirement, health, insurance, paid time off, and wellness programs. Our total rewards offerings are influenced by several business factors, and eligibility for certain components will vary by position and geography. Please note the posted ranges do not apply outside the U.S. and should not be converted to other currencies as a proxy for compensation in other countries.HarbourVest is an independent, global private markets firm with over 43 years of experience and more than $146 billion of assets under management as of June 30, 2025. Our interwoven platform provides clients access to global primary funds, secondary transactions, direct co-investments, real assets and infrastructure, and private credit. Our strengths extend across strategies, enabled by our team of more than 1,270 employees, including more than 230 investment professionals across Asia, Europe, and the Americas. Across our private markets platform, our team has committed more than $64 billion to newly-formed funds, completed over $66 billion in secondary purchases, and invested over $49 billion in direct operating companies. We partner strategically and plan our offerings innovatively to provide our clients with access, insight, and global opportunities. #J-18808-Ljbffr

Join Barclays as a Municipals Analyst, where you will gain a broad understanding of the Public Finance investment banking business by providing cross‑functional assistance to senior bankers. You will participate in municipal transactions and help source new opportunities by developing and evaluating debt profiles of various clients. Perform financial modeling and cash flow analyses to evaluate debt financing alternatives for municipal entities. You will also draft internal and external correspondence and client presentation materials discussing financing strategies, market trends, and Barclays' qualifications. Participate in transaction execution, including guiding deal logistics, running cash flows, preparing investor, and rating agency presentations, and reviewing financing documents. To be successful as a Municipals Analyst, you should have experience with: Financial services, government, or related field Ample quantitative abilities Excellent written and verbal communication skills Multitasking while exhibiting a high level of attention to detail Understanding of finance and bond math Some other highly valued skills may include: Experience with DBC Finance Program Demonstrated interest in public policy Familiarity with and understanding of financial markets High level of energy, positive attitude, and mental curiosity You may be assessed on the key critical skills relevant for success in this role, such as risk and controls, change and transformation, business acumen, strategic thinking, digital and technology, as well as job‑specific technical skills. This role is located in San Francisco, CA. This role is regulated by FINRA. Minimum Salary: $110,000 Maximum Salary: $125,000 The minimum and maximum salary/rate information above include only base salary or base hourly rate. It does not include any other type of compensation or benefits that may be available. Purpose of the role To raise capital and manage the financial risk of clients, including financial advisory services, identification and origination of market opportunities, research, economic analysis. Accountabilities Identification and cultivation of relationships with potential clients, including corporations, institutions, or government entities. Market research and analysis to identify industry trends, potential deal opportunities, and client needs. Collaboration with internal teams to develop pitch materials, financial models, and presentations for client meetings and transactions. Structuring and execution of deals, including mergers and acquisitions, capital raising, and strategic advisory services. Due diligence process coordination, timeline management, and liaising between various stakeholders involved in transactions. Analyst Expectations To perform prescribed activities in a timely manner and to a high standard consistently driving continuous improvement. Requires in-depth technical knowledge and experience in their assigned area of expertise Thorough understanding of the underlying principles and concepts within the area of expertise They lead and supervise a team, guiding and supporting professional development, allocating work requirements and coordinating team resources. If the position has leadership responsibilities, People Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L - Listen and be authentic, E - Energise and inspire, A - Align across the enterprise, D - Develop others. OR for an individual contributor, they develop technical expertise in work area, acting as an advisor where appropriate. Will have an impact on the work of related teams in the area. Partner with other functions and business areas. Takes responsibility for end results of a team's operational processing and activities. Escalate breaches of policies / procedure appropriately. Take responsibility for embedding new policies/ procedures adopted due to risk mitigation. Advise and influence decision making within own area of expertise. Take ownership for managing risk and strengthening controls in relation to the work you own or contribute to. Deliver your work and areas of responsibility in line with relevant rules, regulation and codes of conduct. Maintain and continually build an understanding of how own sub‑function integrates with function, alongside knowledge of the organisations products, services and processes within the function. Demonstrate understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub‑function. Make evaluative judgements based on the analysis of factual information, paying attention to detail. Resolve problems by identifying and selecting solutions through the application of acquired technical experience and will be guided by precedents. Guide and persuade team members and communicate complex / sensitive information. Act as contact point for stakeholders outside of the immediate function, while building a network of contacts outside team and external to the organisation. All colleagues will be expected to demonstrate the Barclays Values of Respect, Integrity, Service, Excellence and Stewardship - our moral compass, helping us do what we believe is right. They will also be expected to demonstrate the Barclays Mindset - to Empower, Challenge and Drive - the operating manual for how we behave. #J-18808-Ljbffr

FuturePlan is the nation's largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds: high-touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined together to deliver unmatched levels of service, innovation and expertise to a fast-growing client base from coast to coast. The FuturePlan team includes more than 500 credentialed plan professionals, 60 actuaries, and one of the industry's largest in-house ERISA teams. Learn more at FuturePlan.com. Section 1: Position Summary Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. * We have several openings for this role.* Section 2: Job Functions, Essential Duties and Responsibilities * Ability to successfully complete and support the work outlined for the Compliance Associate roles * Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations. * Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information * Supports DOL, IRS, and Large plan audits * Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans * Is responsible for plan administration, compliance and testing for identified blocks of business * Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines * Prepares annual valuation and compliance reports for Clients * Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents * Supports and completes assigned quality assurance reviews * 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 I-Client service philosophy and 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. * Assist with other tasks and projects as assigned Section 3: Experience, Skills, Knowledge Requirements * Bachelor's degree preferred * 3 to 8+ years of hands-on Retirement plan testing experience will be considered * Experience doing Employer Calculations * Must have experience with 5500's and other relevant documents * Experience with cash basis and/or trust accounting * Strong Word, Excel, and Outlook skills * Strong written and oral communication skills * Strong analytical and problem-solving skills * Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters * Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements * QKA designation preferred but not required * Involvement or work towards associates QPA designation preferred * Prior experience with plan administration software, i.e. FT Williams or ASC preferred. The national average salary is $65,000 - $95,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis. Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits. 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").

FuturePlan is the nation's largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds: high-touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined together to deliver unmatched levels of service, innovation and expertise to a fast-growing client base from coast to coast. The FuturePlan team includes more than 500 credentialed plan professionals, 60 actuaries, and one of the industry's largest in-house ERISA teams. Learn more at FuturePlan.com. Section 1: Position Summary Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. * We have several openings for this role.* Section 2: Job Functions, Essential Duties and Responsibilities * Ability to successfully complete and support the work outlined for the Compliance Associate roles * Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations. * Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information * Supports DOL, IRS, and Large plan audits * Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans * Is responsible for plan administration, compliance and testing for identified blocks of business * Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines * Prepares annual valuation and compliance reports for Clients * Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents * Supports and completes assigned quality assurance reviews * 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 I-Client service philosophy and 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. * Assist with other tasks and projects as assigned Section 3: Experience, Skills, Knowledge Requirements * Bachelor's degree preferred * 3 to 8+ years of hands-on Retirement plan testing experience will be considered * Experience doing Employer Calculations * Must have experience with 5500's and other relevant documents * Experience with cash basis and/or trust accounting * Strong Word, Excel, and Outlook skills * Strong written and oral communication skills * Strong analytical and problem-solving skills * Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters * Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements * QKA designation preferred but not required * Involvement or work towards associates QPA designation preferred * Prior experience with plan administration software, i.e. FT Williams or ASC preferred. The national average salary is $65,000 - $95,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis. Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits. 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").

FuturePlan is the nation's largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds: high-touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined together to deliver unmatched levels of service, innovation and expertise to a fast-growing client base from coast to coast. The FuturePlan team includes more than 500 credentialed plan professionals, 60 actuaries, and one of the industry's largest in-house ERISA teams. Learn more at FuturePlan.com. Section 1: Position Summary Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. * We have several openings for this role.* Section 2: Job Functions, Essential Duties and Responsibilities * Ability to successfully complete and support the work outlined for the Compliance Associate roles * Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations. * Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information * Supports DOL, IRS, and Large plan audits * Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans * Is responsible for plan administration, compliance and testing for identified blocks of business * Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines * Prepares annual valuation and compliance reports for Clients * Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents * Supports and completes assigned quality assurance reviews * 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 I-Client service philosophy and 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. * Assist with other tasks and projects as assigned Section 3: Experience, Skills, Knowledge Requirements * Bachelor's degree preferred * 3 to 8+ years of hands-on Retirement plan testing experience will be considered * Experience doing Employer Calculations * Must have experience with 5500's and other relevant documents * Experience with cash basis and/or trust accounting * Strong Word, Excel, and Outlook skills * Strong written and oral communication skills * Strong analytical and problem-solving skills * Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters * Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements * QKA designation preferred but not required * Involvement or work towards associates QPA designation preferred * Prior experience with plan administration software, i.e. FT Williams or ASC preferred. The national average salary is $65,000 - $95,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis. Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits. 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").

FuturePlan is the nation's largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds: high-touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined together to deliver unmatched levels of service, innovation and expertise to a fast-growing client base from coast to coast. The FuturePlan team includes more than 500 credentialed plan professionals, 60 actuaries, and one of the industry's largest in-house ERISA teams. Learn more at FuturePlan.com. Section 1: Position Summary Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. *We have several openings for this role.* Section 2: Job Functions, Essential Duties and Responsibilities Ability to successfully complete and support the work outlined for the Compliance Associate roles Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations. Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information Supports DOL, IRS, and Large plan audits Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans Is responsible for plan administration, compliance and testing for identified blocks of business Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines Prepares annual valuation and compliance reports for Clients Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents Supports and completes assigned quality assurance reviews 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 I-Client service philosophy and 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. Assist with other tasks and projects as assigned Section 3: Experience, Skills, Knowledge Requirements Bachelor's degree preferred 3 to 8+ years of hands-on Retirement plan testing experience will be considered Experience doing Employer Calculations Must have experience with 5500's and other relevant documents Experience with cash basis and/or trust accounting Strong Word, Excel, and Outlook skills Strong written and oral communication skills Strong analytical and problem-solving skills Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements QKA designation preferred but not required Involvement or work towards associates QPA designation preferred Prior experience with plan administration software, i.e. FT Williams or ASC preferred. The national average salary is $65,000 - $95,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis. Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits. 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.

This is a unique opportunity for a full time Analyst to join our Compliance team. The Compliance Team is responsible for ensuring that the FCM (Futures Commission Merchant) office continues to comply with its obligations under National Futures Association (“NFA”) rules and regulations as well as regulations under the Commodity Exchange Act (“CEA”). In this position you will be responsible for supporting the Chief Compliance Officer in responding to regulatory requests, monitoring customer activity, conducting investigations, and overseeing the governance of the FCM and implementation of the FCM's policies and procedures. Responsibilities Support the Chief Compliance Officer in overseeing governance and implementation of FCM's policies and procedures, written supervisory procedures, and related documentation. Support the Chief Compliance Officer in responding to NFA, CFTC, Exchange, internal and other external exams, audits, reports and regulatory requests. Conduct surveillance of potential violations of Exchange rules and CFTC prohibited trading practices by assessing order and trading activity alerts. Assist Operations in the implementation and monitoring of surveillance systems alert rules. Assist with the creation, development, and review of surveillance rules, alerts and procedures. Identify and investigate regulatory issues that arise from FCM customer activity. Support the implementation of AML/KYC, sales solicitations, and marketing material reviews. Support Compliance in new product and business plan implementations, including compliance training. Formulate and implement compliance solutions as well as assess their effectiveness. Requirements Bachelor's degree in Finance, Economics, or Business, or equivalent work experience. 3+ years in Compliance in financial services, or equivalent experience. Knowledge of trade surveillance systems is a plus Excellent written and oral communication skills. Proven ability to manage projects and work independently to bring projects to completion in a fast-paced environment. Demonstrated ability to successfully multitask and prioritize job responsibilities. ***************** Empowered to think big. Try new opportunities while working with a talented, ambitious and supportive team.Transformational and proactive working environment. Empower employees to find thoughtful and innovative solutions.Growth from within. We help to develop new skill-sets that would impact the shaping of your personal and professional growth.Work Culture. Our colleagues are some of the best in the industry; we are all here to help and support one another.One cohesive team. Engage stakeholders to achieve our ultimate goal - Cryptocurrency in every wallet. Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up Aspire career alternatives through us - our internal mobility program offers employees a new scope. Are you ready to kickstart your future with us? BenefitsCompetitive salary Attractive annual leave entitlement including: birthday, work anniversary 401(k) plan with employer match Eligible for company-sponsored group health, dental, vision, and life/disability insurance Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up Aspire career alternatives through us. Our internal mobility program can offer employees a diverse scope. Our Crypto.com benefits packages vary depending on region requirements, you can learn more from our talent acquisition team. About Crypto.com:Founded in 2016, Crypto.com serves more than 150 million customers and is the world's fastest growing global cryptocurrency platform. Our vision is simple: Cryptocurrency in Every Wallet™. Built on a foundation of security, privacy, and compliance, Crypto.com is committed to accelerating the adoption of cryptocurrency through innovation and empowering the next generation of builders, creators, and entrepreneurs to develop a fairer and more equitable digital ecosystem. Learn more at ******************* Crypto.com is an equal opportunities employer and we are committed to creating an environment where opportunities are presented to everyone in a fair and transparent way. Crypto.com values diversity and inclusion, seeking candidates with a variety of backgrounds, perspectives, and skills that complement and strengthen our team. Personal data provided by applicants will be used for recruitment purposes only. Please note that only shortlisted candidates will be contacted.

FuturePlan is the nation's largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds: high-touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined together to deliver unmatched levels of service, innovation and expertise to a fast-growing client base from coast to coast. The FuturePlan team includes more than 500 credentialed plan professionals, 60 actuaries, and one of the industry's largest in-house ERISA teams. Learn more at FuturePlan.com. Section 1: Position Summary Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. * We have several openings for this role.* Section 2: Job Functions, Essential Duties and Responsibilities * Ability to successfully complete and support the work outlined for the Compliance Associate roles * Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations. * Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information * Supports DOL, IRS, and Large plan audits * Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans * Is responsible for plan administration, compliance and testing for identified blocks of business * Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines * Prepares annual valuation and compliance reports for Clients * Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents * Supports and completes assigned quality assurance reviews * 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 I-Client service philosophy and 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. * Assist with other tasks and projects as assigned Section 3: Experience, Skills, Knowledge Requirements * Bachelor's degree preferred * 3 to 8+ years of hands-on Retirement plan testing experience will be considered * Experience doing Employer Calculations * Must have experience with 5500's and other relevant documents * Experience with cash basis and/or trust accounting * Strong Word, Excel, and Outlook skills * Strong written and oral communication skills * Strong analytical and problem-solving skills * Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters * Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements * QKA designation preferred but not required * Involvement or work towards associates QPA designation preferred * Prior experience with plan administration software, i.e. FT Williams or ASC preferred. The national average salary is $65,000 - $95,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis. Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits. 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").

Under the direction of the BSA Officer, the BSA Compliance Analyst assists in the implementation and administration of all aspects of compliance and assists with various assignments. ESSENTIAL FUNCTIONS Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The following statements are intended to describe the general nature and level of work being performed by this position. It is not intended to be an exhaustive list of all duties, responsibilities, and skills required of this position. Other duties may be assigned to meet business needs. Performs quality control reviews and monitoring pertaining to the Bank Secrecy Act, USA Patriot Act, Anti-Money Laundering Program, OFAC, and Member Identification Program compliance using industry standard and regulatory guidance to ensure CoastHills' compliance efforts are maintained daily. Monitors and analyzes developing trends and changes in regulatory compliance laws, rules, and regulations, and advises management of the operational impact. Assists in the development and implementation of appropriate policies, procedures, disclosures, notices, and forms to comply with legislative and regulatory changes or new requirements. Complies with currency transaction action reporting requirements by performing daily currency transaction (CTR) monitoring and, when appropriate, the preparation of Currency Transaction Reports. Conducts time-sensitive investigations of alerted and referred transactions and individuals for suspicious activity, utilizing several internal and external resources. Reviews simple and complex transactions, individuals and member situations and provides findings to management to evaluate potential risk to the Credit Union. Reviews internal suspicious incident reports and determines if Suspicious Activity Reports (SAR) are warranted and files SARs timely with FinCEN. Maintains current knowledge of the Bank Secrecy Act and all related anti-money laundering and OFAC regulations. Provides research and evaluation of anti-money laundering (AML) cases and accurately and sufficiently document analysis and findings in the Credit Union's case management system. Uploads various reports to the Credit Union's Financial Crime Risk Manager (FCRM) including but not limited to FinCEN 314(a), FinCEN Acknowledgments and SDN Watch List. Ensures effective communication with management and employees to complete suspicious activity investigations and reports. Immediately responds to employee requests for assistance regarding regulatory and procedural processes relating to BSA, OFAC, AML, and CIP. Pursues specialized Bank Secrecy Act training and re-certification to keep abreast of the constant changes in state and federal regulations. Maintains current job knowledge of Credit Union policies, procedures, and services. Regularly attends and participates in in-house training. Performs duties as assigned by management and may be assigned to work at any location. QUALIFICATIONS The qualifications listed below are representative of the knowledge, skill and/or ability required to perform the essential functions of this position. Education and Experience Five or more years increasingly responsible related experience within a financial institution. Knowledge of branch operational activities and a variety of federal and state laws and regulations. Certificates, Licenses and Registrations BSA Compliance Specialist certification, or successful completion of BSA Compliance School possession of certification within six months of hire. Knowledge Well-rounded background in all aspects of credit union department functions, policies, and procedures. Credit union laws and regulations. Advanced skills with MS Office Suite (Word, PowerPoint, Excel) required, as well as auditing software. Other Skills and Abilities Operates a variety of office equipment, machines, audio/visual equipment and aids, cameras, and other digital equipment. Travels, attends, and participates in meetings, seminars, and conferences held before and after normal business hours that may require unaccompanied long-distance travel and overnight lodging. Ability to work a variety of hours, including evenings and weekends.

We are seeking a detail‑oriented and highly motivated BSA/Compliance Analyst to join our Compliance team. In this critical role, you will help protect the credit union from financial crime by supporting our Bank Secrecy Act (BSA), Anti‑Money Laundering (AML), and Combating the Financing of Terrorism (CFT) programs. This role ensures adherence to all federal and state regulatory requirements, including the USA PATRIOT Act and Office of Foreign Asset Controls regulations. You will conduct investigations, perform ongoing monitoring, collaborate with regulatory agencies, and help ensure the credit union meets all federal and state compliance obligations. This is an excellent opportunity for someone passionate about financial crime prevention, regulatory compliance, and work that truly makes an impact. Essential Functions & Responsibilities Investigations & Monitoring (70%) § Conduct reviews of account activity to identify unusual, suspicious, or potentially illicit behavior, including money laundering, fraud and terrorist financing risks using the credit unions transaction monitoring system (Verafin).§ Prepare Suspicious Activity Reports (SARs) with submission-ready documentation and narratives in accordance with FinCEN requirements.§ Review and finalize Currency Transaction Reports (CTRs), ensuring accuracy and compliance prior to approval and submission. Monitor and disposition daily alerts for OFAC, sanctions, watchlists, and transaction monitoring systems.§ Maintain and track Customer Due Diligence (CDD) questionnaires. § Conduct enhanced due diligence (EDD) and investigations on high-risk members and accounts, reporting any unusual/suspicious activity to the BSA Officer.§ Maintain records for high-risk member files (i.e. ATMs, Cash Intensive businesses). Regulatory Communications & Reporting (20%) § Participate in information sharing per FinCEN 314(a) and 314(b). § Process subpoenas and legal requests by conducting account research and collecting/submitting requested documentation to legal entities. § Assist with regulatory exams and internal audits. Compliance Program Support (10%) § Support the Member Identification Program (MIP/KYC). § Conduct regulatory research using legal and regulatory references. § Provide feedback on program enhancements and emerging risks. Other duties as assigned. Experience § At least one year of related banking experience. Banking compliance, BSA/AML or audit support experience preferred. Knowledge and Skills Required § Working knowledge of BSA, AML, CFT, OFAC regulations, and the USA PATRIOT Act. § Strong investigative, analytical, and problem‑solving abilities. § Exceptional writing skills, particularly in drafting SAR narratives. § Ability to work with a high degree of accuracy, confidentiality, and professionalism. § Familiarity with banking systems and Microsoft Office, and Verafin a plus. § Ability to collaborate effectively with auditors, regulators, and internal teams. Work Environment § Hybrid option: 3 days onsite at our Franklin Street, Nashua NH location, 2 days remote. Triangle Credit Union is proud to be an Affirmative Action/Equal Opportunity Employer. If you are an individual with a disability and require a reasonable accommodation to complete any part of the application process or are limited to use the online application process, you may contact the Human Resources Department at ************ for other options to apply.Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities

We are seeking a detail‑oriented and highly motivated BSA/Compliance Analyst to join our Compliance team. In this critical role, you will help protect the credit union from financial crime by supporting our Bank Secrecy Act (BSA), Anti‑Money Laundering (AML), and Combating the Financing of Terrorism (CFT) programs. This role ensures adherence to all federal and state regulatory requirements, including the USA PATRIOT Act and Office of Foreign Asset Controls regulations. You will conduct investigations, perform ongoing monitoring, collaborate with regulatory agencies, and help ensure the credit union meets all federal and state compliance obligations. This is an excellent opportunity for someone passionate about financial crime prevention, regulatory compliance, and work that truly makes an impact. Essential Functions & Responsibilities Investigations & Monitoring (70%) § Conduct reviews of account activity to identify unusual, suspicious, or potentially illicit behavior, including money laundering, fraud and terrorist financing risks using the credit unions transaction monitoring system (Verafin). § Prepare Suspicious Activity Reports (SARs) with submission-ready documentation and narratives in accordance with FinCEN requirements. § Review and finalize Currency Transaction Reports (CTRs), ensuring accuracy and compliance prior to approval and submission. Monitor and disposition daily alerts for OFAC, sanctions, watchlists, and transaction monitoring systems. § Maintain and track Customer Due Diligence (CDD) questionnaires. § Conduct enhanced due diligence (EDD) and investigations on high-risk members and accounts, reporting any unusual/suspicious activity to the BSA Officer. § Maintain records for high-risk member files (i.e. ATMs, Cash Intensive businesses). Regulatory Communications & Reporting (20%) § Participate in information sharing per FinCEN 314(a) and 314(b). § Process subpoenas and legal requests by conducting account research and collecting/submitting requested documentation to legal entities. § Assist with regulatory exams and internal audits. Compliance Program Support (10%) § Support the Member Identification Program (MIP/KYC). § Conduct regulatory research using legal and regulatory references. § Provide feedback on program enhancements and emerging risks. Other duties as assigned. Experience § At least one year of related banking experience. Banking compliance, BSA/AML or audit support experience preferred. Knowledge and Skills Required § Working knowledge of BSA, AML, CFT, OFAC regulations, and the USA PATRIOT Act. § Strong investigative, analytical, and problem‑solving abilities. § Exceptional writing skills, particularly in drafting SAR narratives. § Ability to work with a high degree of accuracy, confidentiality, and professionalism. § Familiarity with banking systems and Microsoft Office, and Verafin a plus. § Ability to collaborate effectively with auditors, regulators, and internal teams. Work Environment § Hybrid option: 3 days onsite at our Franklin Street, Nashua NH location, 2 days remote. Triangle Credit Union is proud to be an Affirmative Action/Equal Opportunity Employer. If you are an individual with a disability and require a reasonable accommodation to complete any part of the application process or are limited to use the online application process, you may contact the Human Resources Department at ************ for other options to apply. Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities

Westamerica is among the largest commercial banks headquartered in California. We are looking for outstanding people to join our winning team. We reached our current strength because our employees, customers, and shareholders believe in the same fundamental goals: Delivering a wide variety of financial services with a superior customer service guarantee. Weekly Working Hours: 40 The Compliance Analyst will support Westamerica Bank's Compliance Program through analyzing and testing compliance risk. They will assist in providing second-line independent oversight and guidance regarding business products, services, and processes. The Analyst will continuously drive a strong culture of compliance and demonstrate integrity and professional judgement. Key Responsibilities * Assist with compliance monitoring, testing and reporting. * Assist with quality control reviews of CRA and qualifying CRA community development activities. * Assist with CRA/Compliance exam preparation, as needed. * Assist with ensuring compliance exceptions noted in compliance monitoring reviews, audits and exams are successfully resolved. * Assist in compliance training events. * Exhibit superior time management skills, measured by deadlines and quality of progress and projects completed. * Maintain confidentiality of information and protect Bank sensitive information and materials. * Develop and maintain collaborative relationships with employees and management in order to effectively obtain and communicate information. * Maintain proficient knowledge of pertinent laws and regulations. * Other duties as assigned. Requirements Minimum Qualifications: * 3 to 5 years of compliance experience in the banking financial services industry. * Excellent oral and written communication skills, with the ability to effectively present information and respond to inquiries from managers and employees. * Ability to write reports and business correspondence. * Intermediate to advanced familiarity with the Microsoft Office suite, including Microsoft Excel, Word, Outlook and Power Point. Preferred Qualifications: * Experience with CRA software. EOE Westamerica Bank's Privacy Policy may be found at: ********************************* Salary Description $70,304.00 - $73,861.96

Westamerica is among the largest commercial banks headquartered in California. We are looking for outstanding people to join our winning team. We reached our current strength because our employees, customers, and shareholders believe in the same fundamental goals: Delivering a wide variety of financial services with a superior customer service guarantee. Weekly Working Hours: 40 The Compliance Analyst will support Westamerica Bank's Compliance Program through analyzing and testing compliance risk. They will assist in providing second-line independent oversight and guidance regarding business products, services, and processes. The Analyst will continuously drive a strong culture of compliance and demonstrate integrity and professional judgement. Key Responsibilities Assist with compliance monitoring, testing and reporting. Assist with quality control reviews of CRA and qualifying CRA community development activities. Assist with CRA/Compliance exam preparation, as needed. Assist with ensuring compliance exceptions noted in compliance monitoring reviews, audits and exams are successfully resolved. Assist in compliance training events. Exhibit superior time management skills, measured by deadlines and quality of progress and projects completed. Maintain confidentiality of information and protect Bank sensitive information and materials. Develop and maintain collaborative relationships with employees and management in order to effectively obtain and communicate information. Maintain proficient knowledge of pertinent laws and regulations. Other duties as assigned. Requirements Minimum Qualifications: 3 to 5 years of compliance experience in the banking financial services industry. Excellent oral and written communication skills, with the ability to effectively present information and respond to inquiries from managers and employees. Ability to write reports and business correspondence. Intermediate to advanced familiarity with the Microsoft Office suite, including Microsoft Excel, Word, Outlook and Power Point. Preferred Qualifications: Experience with CRA software. EOE Westamerica Bank's Privacy Policy may be found at: ********************************* Salary Description $68,640.00 - $73,861.96

Under the direction of the Audit and Compliance Manager, the BSA-Compliance Analyst is responsible for ensuring that the Credit Union is compliant with the Anti-Money Laundering (AML) through regulations set forth by the Bank Secrecy Act (BSA) and Office Foreign Asset Control (OFAC). This role requires a thorough understanding of legal and regulatory frameworks, as well as the ability to analyze and monitor financial transactions for suspicious activities. Key Responsibilities * Monitor and analyze financial transactions using AML software to detect suspicious activity and potential money laundering in order to mitigate or escalate the case for SAR evaluation. * Prepare, verify, and submit Currency Transaction Reports (CTRs) andensure acceptance by FinCEN * Prepare and submit Suspicious Activity Reports (SARs) and ensure acceptance by FINCEN. * Document analysis and recommendations for CTR exemptions per Bank Secrecy Action (BSA) regulations. * Submit and respond to 314(b) FI collaboration through the AML system. * Outboard calls to internal and external members to support case investigations. * Participate in reviewing the AML functionality to improve system alert configuration by identifying patterns and trends related to BSA/AML. * Ensure compliance with BSA, Anti-Money Laundering (AML), and other relevant regulations. * Initiate member account actions and cases to minimize member and/or Credit Union losses. * Maintain and track Customer Due Diligence (CDD) questionnaires and Enhanced Due Diligence (EDD) reviews, ensuring timely collection and verification to meet regulatory requirements. * Assist with BSA/AML risk assessments and policy/procedure review. * Ensure compliance with Office of Foreign Asset Control (OFAC) regulation. * Back-up to BSA/AML/CTF OFAC Officer * Coordinate with internal departments and external agencies to include federal and/or local law enforcement and ensure compliance with and resolve issues. * Maintain up-to-date knowledge of regulatory changes and industry best practices. * Completes other projects as assigned. Core Skill Competencies * Communication Skills: Excellent written and verbal communication skills to prepare reports, interact with stakeholders, skilled in engaging members in complex or sensitive discussions to clarify unusual activity. * Analytical Skills: Ability to analyze complex financial data and identify patterns of suspicious activity. * Attention to Detail: Strong focus on accuracy and thoroughness in all tasks. * Problem-Solving Skills: Ability to think critically and develop effective solutions to BSA/OFAC related functions and cases. * Regulatory Knowledge: In-depth understanding of BSA, AML, OFAC and other relevant regulations. * Customer service: Exceptional customer service skills with a focus on user satisfaction and experience. * Time Management: Efficient in managing multiple tasks and meeting deadlines under pressure and able to work with minimal supervision. * Team Collaboration: Ability to work effectively with various departments and external agencies. * Technical Proficiency: Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Teams, Outlook). Physical Demands * Prolonged periods sitting at a desk and working on a computer. * Occasional lifting of office supplies, up to 15 pounds. Qualifications * Six years of progressive experience in all aspect of BSA/AML compliance, advanced knowledge of AML monitoring processes and system (preferably Verafin). * Working knowledge of core banking system (Symitar). Alkami online banking and Mantl account opening system preferred. * Ongoing commitment to regulatory and professional development. * Certification in CAMS or CBSAP (or interest in pursuing). * Strong analytical and problem-solving abilities are essential, with a proven track record of conducting thorough investigations and preparing detailed reports. * Excellent verbal and written communication skills are required to effectively interact with internal teams and external stakeholders.

Under the direction of the Audit and Compliance Manager, the BSA-Compliance Analyst is responsible for ensuring that the Credit Union is compliant with the Anti-Money Laundering (AML) through regulations set forth by the Bank Secrecy Act (BSA) and Office Foreign Asset Control (OFAC). This role requires a thorough understanding of legal and regulatory frameworks, as well as the ability to analyze and monitor financial transactions for suspicious activities. Key Responsibilities • Monitor and analyze financial transactions using AML software to detect suspicious activity and potential money laundering in order to mitigate or escalate the case for SAR evaluation. • Prepare, verify, and submit Currency Transaction Reports (CTRs) andensure acceptance by FinCEN • Prepare and submit Suspicious Activity Reports (SARs) and ensure acceptance by FINCEN. • Document analysis and recommendations for CTR exemptions per Bank Secrecy Action (BSA) regulations. • Submit and respond to 314(b) FI collaboration through the AML system. • Outboard calls to internal and external members to support case investigations. • Participate in reviewing the AML functionality to improve system alert configuration by identifying patterns and trends related to BSA/AML. • Ensure compliance with BSA, Anti-Money Laundering (AML), and other relevant regulations. • Initiate member account actions and cases to minimize member and/or Credit Union losses. • Maintain and track Customer Due Diligence (CDD) questionnaires and Enhanced Due Diligence (EDD) reviews, ensuring timely collection and verification to meet regulatory requirements. • Assist with BSA/AML risk assessments and policy/procedure review. • Ensure compliance with Office of Foreign Asset Control (OFAC) regulation. • Back-up to BSA/AML/CTF OFAC Officer • Coordinate with internal departments and external agencies to include federal and/or local law enforcement and ensure compliance with and resolve issues. • Maintain up-to-date knowledge of regulatory changes and industry best practices. • Completes other projects as assigned. Core Skill Competencies • Communication Skills: Excellent written and verbal communication skills to prepare reports, interact with stakeholders, skilled in engaging members in complex or sensitive discussions to clarify unusual activity. • Analytical Skills: Ability to analyze complex financial data and identify patterns of suspicious activity. • Attention to Detail: Strong focus on accuracy and thoroughness in all tasks. • Problem-Solving Skills: Ability to think critically and develop effective solutions to BSA/OFAC related functions and cases. • Regulatory Knowledge: In-depth understanding of BSA, AML, OFAC and other relevant regulations. • Customer service: Exceptional customer service skills with a focus on user satisfaction and experience. • Time Management: Efficient in managing multiple tasks and meeting deadlines under pressure and able to work with minimal supervision. • Team Collaboration: Ability to work effectively with various departments and external agencies. • Technical Proficiency: Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Teams, Outlook). Physical Demands • Prolonged periods sitting at a desk and working on a computer. • Occasional lifting of office supplies, up to 15 pounds. Qualifications • Six years of progressive experience in all aspect of BSA/AML compliance, advanced knowledge of AML monitoring processes and system (preferably Verafin). • Working knowledge of core banking system (Symitar). Alkami online banking and Mantl account opening system preferred. • Ongoing commitment to regulatory and professional development. • Certification in CAMS or CBSAP (or interest in pursuing). • Strong analytical and problem-solving abilities are essential, with a proven track record of conducting thorough investigations and preparing detailed reports. • Excellent verbal and written communication skills are required to effectively interact with internal teams and external stakeholders.

Under the direction of the Audit and Compliance Manager, the BSA-Compliance Analyst is responsible for ensuring that the Credit Union is compliant with the Anti-Money Laundering (AML) through regulations set forth by the Bank Secrecy Act (BSA) and Office Foreign Asset Control (OFAC). This role requires a thorough understanding of legal and regulatory frameworks, as well as the ability to analyze and monitor financial transactions for suspicious activities. Key Responsibilities • Monitor and analyze financial transactions using AML software to detect suspicious activity and potential money laundering in order to mitigate or escalate the case for SAR evaluation. • Prepare, verify, and submit Currency Transaction Reports (CTRs) andensure acceptance by FinCEN • Prepare and submit Suspicious Activity Reports (SARs) and ensure acceptance by FINCEN. • Document analysis and recommendations for CTR exemptions per Bank Secrecy Action (BSA) regulations. • Submit and respond to 314(b) FI collaboration through the AML system. • Outboard calls to internal and external members to support case investigations. • Participate in reviewing the AML functionality to improve system alert configuration by identifying patterns and trends related to BSA/AML. • Ensure compliance with BSA, Anti-Money Laundering (AML), and other relevant regulations. • Initiate member account actions and cases to minimize member and/or Credit Union losses. • Maintain and track Customer Due Diligence (CDD) questionnaires and Enhanced Due Diligence (EDD) reviews, ensuring timely collection and verification to meet regulatory requirements. • Assist with BSA/AML risk assessments and policy/procedure review. • Ensure compliance with Office of Foreign Asset Control (OFAC) regulation. • Back-up to BSA/AML/CTF OFAC Officer • Coordinate with internal departments and external agencies to include federal and/or local law enforcement and ensure compliance with and resolve issues. • Maintain up-to-date knowledge of regulatory changes and industry best practices. • Completes other projects as assigned. Core Skill Competencies • Communication Skills: Excellent written and verbal communication skills to prepare reports, interact with stakeholders, skilled in engaging members in complex or sensitive discussions to clarify unusual activity. • Analytical Skills: Ability to analyze complex financial data and identify patterns of suspicious activity. • Attention to Detail: Strong focus on accuracy and thoroughness in all tasks. • Problem-Solving Skills: Ability to think critically and develop effective solutions to BSA/OFAC related functions and cases. • Regulatory Knowledge: In-depth understanding of BSA, AML, OFAC and other relevant regulations. • Customer service: Exceptional customer service skills with a focus on user satisfaction and experience. • Time Management: Efficient in managing multiple tasks and meeting deadlines under pressure and able to work with minimal supervision. • Team Collaboration: Ability to work effectively with various departments and external agencies. • Technical Proficiency: Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Teams, Outlook). Physical Demands • Prolonged periods sitting at a desk and working on a computer. • Occasional lifting of office supplies, up to 15 pounds. Qualifications • Six years of progressive experience in all aspect of BSA/AML compliance, advanced knowledge of AML monitoring processes and system (preferably Verafin). • Working knowledge of core banking system (Symitar). Alkami online banking and Mantl account opening system preferred. • Ongoing commitment to regulatory and professional development. • Certification in CAMS or CBSAP (or interest in pursuing). • Strong analytical and problem-solving abilities are essential, with a proven track record of conducting thorough investigations and preparing detailed reports. • Excellent verbal and written communication skills are required to effectively interact with internal teams and external stakeholders. 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.

Job DescriptionVoleon is a technology company that applies state-of-the-art AI and machine learning techniques to real-world problems in finance. For nearly two decades, we have led our industry and worked at the frontier of applying AI/ML to investment management. We have become a multibillion-dollar asset manager, and we have ambitious goals for the future. Your colleagues will include internationally recognized experts in artificial intelligence and machine learning research as well as highly experienced finance and technology professionals. The people who shape our company come from other backgrounds, including concert music performances, humanitarian aid, opera singing, sports writing, and BMX racing. You will be part of a team that loves to succeed together. In addition to our enriching and collegial working environment, we offer highly competitive compensation and benefits packages, technology talks by our experts, a beautiful modern office, daily catered lunches, and more. As the Compliance Analyst I, you will work on the investment advisory compliance program for an SEC-registered investment adviser and NFA commodity pool operator. You will work directly with the CCO to help implement Voleon's compliance program as part of the Compliance department. You will have broad exposure to the firm's trading, operations, and research groups, handle issues related to the firm's investment products in a fast-paced, constantly evolving regulatory environment, and help to develop firm policies and procedures to manage and mitigate regulatory requirements.Responsibilities Manage the preparation of key regulatory filings (e.g., EU Short Reporting, Forms 13H and 13F, various CFTC and NFA filings, state "Blue Sky" filings and others). Review critical reports that would indicate the need to make a regulatory filing. Assist with the day-to-day administration of the firm's Code of Ethics software system for employee compliance, which includes personal trading by employees and other access persons, various periodic certifications by employees and other documentation, etc. Assist with compliance training Operate as secretary for various supervisory committees Requirements 2-5 years of experience with demonstrated talent in professional endeavors Prior experience in compliance, investment management (particularly work with registered investment advisers), or paralegal work is preferred Bachelor's degree, strong preference for finance or accounting Authorization to work in the United States The base salary range for this position is $100,000 to $110,000 in the location(s) of this posting. Individual salaries are determined through a variety of factors, including, but not limited to, education, experience, knowledge, skills, and geography. Base salary does not include other forms of total compensation such as bonus compensation and other benefits. Our benefits package includes medical, dental and vision coverage, life and AD&D insurance, 20 days of paid time off, 9 sick days, and a 401(k) plan with a company match. “Friends of Voleon” Candidate Referral ProgramIf you have a great candidate in mind for this role and would like to have the potential to earn $7,500 if your referred candidate is successfully hired and employed by The Voleon Group, please use this form to submit your referral. For more details regarding eligibility, terms and conditions please make sure to review the Voleon Referral Bonus Program. Equal Opportunity EmployerThe Voleon Group is an Equal Opportunity employer. Applicants are considered without regard to race, color, religion, creed, national origin, age, sex, gender, marital status, sexual orientation and identity, genetic information, veteran status, citizenship, or any other factors prohibited by local, state, or federal law. #LI-MB1 We may use artificial intelligence (AI) tools to support parts of the hiring process. These tools assist our recruitment team but do not replace human judgement. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.