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Compliance Analyst (Investment Management)
Atlantic Group 4.3
Compliance analyst job in New York, NY
Type: Perm (Contingency)
Job #47700
Salary: $85,000
Job Overview - ComplianceAnalyst (Investment Management) Compensation: $85,000 - $105,000/year + bonus
Schedule: Monday to Friday (Hybrid)
Atlantic Group is hiring a ComplianceAnalyst (Investment Management) in New York, NY for our client, supporting investment advisory compliance, surveillance, regulatory filings, and policy governance. This hybrid role partners closely with compliance, business, and technology teams to oversee employee compliance, monitoring programs, and regulatory requirements while ensuring adherence to firm policies and best practices within a fast-paced investment management environment.
Responsibilities as the ComplianceAnalyst:
Surveillance & Monitoring: Review and analyze trade, communications, and employee surveillance reports to identify, investigate, and escalate potential compliance issues.
Policy Guidance & Issue Resolution: Provide day-to-day compliance guidance on the Code of Ethics, AML policies, restricted lists, outside activities, and gifts and entertainment matters.
Regulatory Filings & Exams: Prepare and submit regulatory filings including Forms 13G and 13D and support regulatory examinations, inquiries, and investigations.
Communications Surveillance: Conduct email and electronic communications monitoring, with experience using surveillance and archiving systems preferred.
Policies, Training & Improvement: Support compliance testing, deliver training, maintain policies and procedures, and partner with Technology to enhance compliance systems and workflows.
Qualifications for the ComplianceAnalyst:
Education: Bachelor's degree in Finance, Business, Accounting, Economics, or a related field required.
Experience: 1-5 years of investment advisory or broker-dealer compliance experience within asset management or compliance consulting environments.
Industry Knowledge: Working knowledge of U.S. securities regulations and investment adviser compliance, with experience supporting surveillance and Code of Ethics programs.
Technical Skills: Experience working with compliance surveillance systems and regulatory reporting tools, with Global Relay experience preferred.
Skills & Attributes: Highly analytical, detail-oriented professional with strong communication skills, high integrity, and the ability to manage multiple priorities.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.
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$85k-105k yearly 8d ago
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Compliance Analyst
Aptask 4.4
Compliance analyst job in New York, NY
ApTask is a leading global provider of workforce solutions and talent acquisition services, dedicated to shaping the future of work. As an African American-owned and Veteran-owned company, ApTask offers a comprehensive suite of services, including staffing and recruitment solutions, managed services, IT consulting, and project management. With a focus on excellence, collaboration, and innovation, ApTask provides unparalleled opportunities for professional growth and development. As a member of the ApTask team, you will have the chance to connect businesses with top-tier professionals, optimize workforce performance, and drive success across diverse industries. Join us at ApTask and be part of our mission to empower organizations to thrive while fostering a diverse and inclusive work environment.
Applicants may be required to attend interviews in person or by video conference. In addition, candidates may be required to present their current state or government issued ID during each interview.
Candidate Data Collection Disclaimer:
At ApTask, we prioritize safeguarding your privacy. As part of our recruitment process, certain Personally Identifiable Information (PII) may be requested by our clients for verification and application purposes. Rest assured, we strictly adhere to confidentiality standards and comply with all relevant data protection laws. Please note that we only collect the necessary information as specified by each client and do not request sensitive details during the initial stages of recruitment.
If you have any concerns or queries about your personal information, please feel free to contact our compliance team at .
Applicant Consent:
By submitting your application, you agree to ApTask's (*************** and , and provide your consent to receive SMS and voice call communications regarding employment opportunities that match your resume and qualifications. You understand that your personal information will be used solely for recruitment purposes and that you can withdraw your consent at any time by contacting us at ************ or ***************. Message frequency may vary. Msg & data rates may apply.
$58k-81k yearly est. 8d ago
Compliance Officer - Control Room
BPCE
Compliance analyst job in New York, NY
Poste et missions
Natixis CIB Americas Compliance is seeking a Compliance Officer to support the CIB Americas Control Room and Compliance Department. This role involves overseeing and reviewing deal-related conflicts, specifically those related to the Firm's M&A affiliates and other Natixis entities. The Compliance Officer will collaborate closely with the Head of Control Room, the Advisory team, and Front Office staff in Investment Banking, while ensuring compliance with securities laws and best practices concerning information barriers and conflicts of interest.
The ideal candidate will be adaptable, driven, and proactive in analyzing processes and proposing improvements. Strong knowledge of compliance protocols, exceptional communication skills, and the ability to manage multiple demands are essential for success in this role.
Essential duties and responsibilities
The Compliance Officer will be responsible for Control Room functions, including but not limited to providing transaction and conflicts advice to Investment Banking, Coverage, and other private-side businesses. Key responsibilities include:
Provide guidance and advice to business management regarding conflict issues, information barriers, wall crossings, deal tree creation and management, and management of Watch and Restricted List issues.
Coordinate with the Global Control Room at Head Office to ensure alignment of approach, when possible.
Collaborate with Chief Compliance Officers (CCOs) of affiliates on information barrier and conflicts issues.
Ensure conflicts are reviewed in advance of engagements and transactions being presented to governance committees.
Manage review and monitoring of the Watch List and Restricted List.
Maintain ongoing accuracy of entries in the Firm's conflicts management system for new and closed transactions, wall crossings, and deal trees.
Review employee Outside Business Interests and Private Investments for potential conflicts.
Develop and deliver relevant training on information barriers, information sharing, and the use of the Firm's conflicts management system.
Oversee updates and development of policies and procedures related to the Control Room and information barriers in coordination with Compliance Advisory colleagues and Head Office Compliance.
Manage public/private designations for business units, individuals, and certain systems access requests.
Qualifications
Bacherlor's degree
Five + years of compliance and/or legal experience, preferably in Capital Markets within a foreign banking organization.
Legal background is highly beneficial.
Strong understanding of SEC and FINRA rules and regulations, with a particular focus on conflicts and information barriers.
Knowledge of banking activities (e.g., project finance, aviation finance, acquisition finance, trade finance) and fixed income origination businesses (ABS, CMBS, CLOs) is preferred.
Effective verbal and written communication skills, with the ability to interact and work closely with business and infrastructure partners at all levels of seniority.
Ability to proactively identify and analyze problems while proposing viable solutions.
Strong organizational skills, with the ability to manage and prioritize multiple demands simultaneously, ensuring timely project completion.
Proficient in Excel and other MS Office applications; familiarity with information management systems is a plus.
The salary range for this position will be between $125,000 - 165,000. Natixis is required by law to include a reasonable estimate of the compensation range for this role. Actual base salary will vary and will be based on several factors including, but not limited to, relevant experience, education, skills set, applicable licensure and certifications, and other business and organizational needs. Base salary is only one component of our total rewards package. Natixis also offers a generous benefits package, and you may be eligible for a discretionary incentive award depending on company and individual performance.
$125k-165k yearly 8d ago
Compliance Officer
Adyen 4.5
Compliance analyst job in New York, NY
This is Adyen
Adyen provides payments, data, and financial products in a single solution for customers like Meta, Uber, H&M, and Microsoft - making us the financial technology platform of choice. At Adyen, everything we do is engineered for ambition.
For our teams, we create an environment with opportunities for our people to succeed, backed by the culture and support to ensure they are enabled to truly own their careers. We are motivated individuals who tackle unique technical challenges at scale and solve them as a team. Together, we deliver innovative and ethical solutions that help businesses achieve their ambitions faster.
Compliance Oversight Officer
Our fast-paced Compliance team is looking for a Compliance Oversight Officer with experience in performing compliance oversight procedures in the payments and/or finance industry. A successful candidate must have strong communication, critical thinking and analytical skills. This person must be able to work as a business partner to connect with a wide range of teams, including risk, legal, finance and sales, and provide pragmatic advice and guidance to build sustainable growth.
What you'll do
Execute second-line quality assurance testing procedures across various risks, including customer onboarding, anti-money laundering reviews, ongoing monitoring and terminations, in line with the compliance oversight program;
Identify critical risks to the business through quality assurance testing and partner with first line stakeholders to complete remediation;
Contribute to the operational efficiency, planning, and execution of new and existing quality assurance programs;
Support development of quarterly reporting on compliance program performance and deliver to management;
Deliver training to teams as part of uplifting oversight methodology and proper control adherence;
Contribute to customer oversight reviews to identify risks and assess corresponding mitigating controls;
Proactively create efficient and data-driven approaches to oversight solutions;
Collaborate with the compliance team on the further development of the compliance program;
Execute on initiatives set forth in the annual compliance governance program;
Support key initiatives that assess and enhance Adyen's controls for core functions, such as onboarding, risk-based due diligence, and ongoing monitoring;
Drive the development of oversight methodology relating to first line business processes; and
Advise the business on enhancement of compliance procedures as required.
Who you are
You have 1-3 years experience in a role within a second line compliance team, oversight function, and/or internal or external audit function;
You are an analytical thinker and problem-solver possessing the ability to be meticulous and detail-oriented to draft and monitor on the implementation of relevant business processes, procedures, and policies;
You have a keen eye and passion for identifying risks while thoughtfully crafting remediation plans to promptly mitigate them;
You are a strong communicator who is able to adjust your style and tone of communication, both verbally and in writing, to tailor it to your audience;
You are a self-starter and able to project manage multiple initiatives concurrently that uplift the compliance program without sacrificing quality;
You are comfortable and confident being the primary contact within the region, representing the team's responsibilities;
You have solid interpersonal skills and are specifically able to liaise and connect with a variety of internal and external stakeholders, as well as Merchants, from varying disciplines and cultures; and
You are excited about working with an international team who will provide different perspectives and sharpen your ideas.
The base salary for this role in San Francisco, CA and New York City is: $120,000 - $155,000. The compensation package also includes equity (RSUs).
Our Diversity, Equity & Inclusion Commitments
Our unobvious approach is a product of our diverse perspectives. This diversity of backgrounds, cultures, and perspectives is essential in helping us maintain our momentum. Our business and technical goals are unique, we need as many different voices as possible to join us in solving them - voices like yours. So no matter where you're from, who you love, or what you believe in, we welcome you to be your true self at Adyen.
Studies show that women and members of underrepresented communities apply for jobs only if they meet 100% of the qualifications. Do you recognise yourself in this statement? If so, Adyen encourages you to reconsider and apply. We look forward to your application.
What is next?
Ensuring a smooth and enjoyable candidate experience is critical for us. We aim to get back to you regarding your application within 7 business days. Our interview process tends to take between 3 or 4 weeks to complete. Don't be afraid to let us know if you need more flexibility.
$120k-155k yearly 8d ago
Regulatory Compliance Analyst
Beacon Hill 3.9
Compliance analyst job in Philadelphia, PA
Beacon Hill is hiring for a Regulatory ComplianceAnalyst to support a major health insurance issuer by identifying, documenting, and tracking the resolution of compliance issues across key operational areas, including billing, enrollment, and claims. This role will also focus on researching and interpreting state and federal regulations, including the Affordable Care Act, to provide guidance that supports compliant business operations.
This position is well-suited for a highly independent professional with strong research, analytical, and problem-solving skills. A legal background or legal research experience is a strong plus.
Responsibilities:
Interpret and analyze federal and state regulatory requirements, providing clear and practical compliance guidance to operational teams.
Research new and existing laws and regulations and support the implementation of regulatory changes.
Document, track, and manage Corrective Action Plans (CAPs) using compliance tracking software.
Develop and monitor remediation plans to ensure alignment with regulatory standards.
Maintain regular updates and documentation related to disclosed compliance issues.
Partner closely with business areas to address compliance gaps, including root cause analysis, remediation evidence, and updates to policies and procedures.
Proactively monitor compliance indicators, analyze trends, and identify potential compliance risks.
Escalate issues as needed and drive resolution in collaboration with stakeholders.
Support multiple initiatives while managing competing priorities in a fast-paced environment.
Requirements:
Bachelor's degree or equivalent work experience required.
Minimum of 3 years of experience in managed care, healthcare, or a related field.
Prior compliance experience and familiarity with health insurance operations and regulations strongly preferred.
Knowledge of the Affordable Care Act highly desirable.
JD or legal research experience is a significant plus.
Exceptional organizational, written, and verbal communication skills.
Proficiency in Microsoft Office, including Outlook, Teams, Word, and Excel.
Familiarity with Citrix and the ability to adapt to new technologies.
Ability to work independently and effectively in a fast-paced environment.
Beacon Hill is an equal opportunity employer and individuals with disabilities and/or protected veterans are encouraged to apply.
California residents: Qualified applications with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act.
If you would like to complete our voluntary self-identification form, please click here or copy and paste the following link into an open window in your browser: *****************************************
Completion of this form is voluntary and will not affect your opportunity for employment, or the terms or conditions of your employment. This form will be used for reporting purposes only and will be kept separate from all other records.
Company Profile:
Founded by industry leaders to set a new standard in search, career placement and flexible staffing, we deliver coordinated staffing solutions with unparalleled service, a commitment to project completion and success and a passion for innovation, creativity and continuous improvement.
Our niche brands offer a complete suite of staffing services to emerging growth companies and the Fortune 500 across market sectors, career specialties/disciplines and industries. Over time, office locations, specialty practice areas and service offerings will be added to address ever changing constituent needs.
Learn more about Beacon Hill and our specialty divisions, Beacon Hill Associates, Beacon Hill Financial, Beacon Hill HR, Beacon Hill Legal, Beacon Hill Life Sciences and Beacon Hill Technologies by visiting *************
Benefits Information:
Beacon Hill offers a robust benefit package including, but not limited to, medical, dental, vision, and federal and state leave programs as required by applicable agency regulations to those that meet eligibility. Upon successfully being hired, details will be provided related to our benefit offerings.
We look forward to working with you.
Beacon Hill. Employing the Future (TM)
$51k-73k yearly est. 3d ago
Compliance Officer - Data, Research and Analytics
Bloomberg 4.8
Compliance analyst job in New York, NY
Description & Requirements
The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy we're known for. It's what keeps us inventing and reinventing, all the time. Our culture is wide open like our spaces. We bring out the best in each other through collaboration. Through our countless volunteer projects, we also help network with the communities around us, too. You can do amazing work here. Work you couldn't do anywhere else. It's up to you to make it happen.
What's the role?
Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world. We move quickly and thoughtfully to help address a variety of complex issues that come with being the world's leading financial news and information company. Our team is made up of talented and hardworking legal and compliance professionals who think creatively and work collaboratively in an open environment to deliver results, drive innovation, and solve difficult problems. We are committed to a workplace where all of our employees can thrive regardless of background, and where everyone feels empowered to make an impact. We also recognize the importance of giving back to our communities as evidenced by our award-winning pro bono program!
The Global Compliance team within Bloomberg's Legal & Compliance Department provides coverage across Bloomberg's products and services, including regulated entities, as well as non-regulated offerings. We work to address regulatory issues, ensure compliance with current/developing rules and regulations, and correspond with regulators.
We have an exciting Compliance Advisory role on the Data, Research & Analytics Compliance team, with a particular focus on providing compliance support to Bloomberg's Data and Pricing products and services. The role will involve close partnership with business stakeholders to provide compliance and regulatory advice and guidance in relation to these products and services, as well as working with the global Compliance and Risk teams to identify and manage relevant risks within these businesses.
The ideal candidate will have strong regulatory knowledge and experience of working with data and pricing products, including market data, pricing data, valuation practices, and data analytics. You will need to be a quick learner with a background in financial markets and technology, as well as relevant experience with data and analytics. Knowledge of regulations that may impact these areas of the business could include existing or evolving regulations related to pricing, data quality, ESG data, alternative data and Artificial Intelligence, among others.
We'll trust you to:
Advise on the application of financial regulations and market conduct standards as they relate to financial data products and analytics.
Interpret and communicate evolving regulatory requirements (e.g., IOSCO, ESMA, SEC, FCA, CFTC, MiFID II, etc.) and assess their impact on data governance and compliance obligations.
Support business teams in embedding regulatory requirements into operational processes and data workflows.
Analyze new emerging areas, such as DORA and AI, to identify and develop an appropriate compliance framework.
Collaborate with Risk & Control Managers to ensure alignment with enterprise risk management frameworks.
Contribute to governance forums and provide management with clear reporting on compliance risks, issues, and remediation progress.
Prepare and provide training to stakeholders on Compliance and regulatory matters
Prepare reports for internal management, as applicable.
You'll need to have:
8+ years' experience in Compliance, risk advisory, or audit within financial services, market data, or technology.
Strong knowledge of financial services regulation with proven experience in data compliance, information governance, or market infrastructure.
Expertise in data management, pricing, valuation practices, and control environments in financial markets.
Demonstrated experience in identifying, managing, and remediating risks through a structured Enterprise Risk Management frameworks.
Ability to assess and provide pragmatic guidance on compliance issues relating to complex data products.
Strong drafting skills (policies, procedures, and reports) and confident communicator with senior stakeholders.
Ability to prioritize multiple projects in a fast-paced environment, working independently and collaboratively.
Willingness to roll up your sleeves and help out even when it's not in your job description.
We'd love to see:
Experience with Bloomberg, in particular Data & Analytics offerings.
Familiarity with IOSCO principles for pricing providers.
Experience with Model Risk Governance.
An understanding of cybersecurity principles (encryption, access management, incident reporting).
Familiarity with technical skills such as data modeling, SQL, Python and Advanced Excel.
Does this sound like you?
Apply if you think we're a good match. We'll get in touch to let you know what the next steps are.
Salary Range = 180000 - 210000 USD Annually + Benefits + Bonus
The referenced salary range is based on the Company's good faith belief at the time of posting. Actual compensation may vary based on factors such as geographic location, work experience, market conditions, education/training and skill level.
We offer one of the most comprehensive and generous benefits plans available and offer a range of total rewards that may include merit increases, incentive compensation (exempt roles only), paid holidays, paid time off, medical, dental, vision, short and long term disability benefits, 401(k) +match, life insurance, and various wellness programs, among others. The Company does not provide benefits directly to contingent workers/contractors and interns.
$85k-127k yearly est. 8d ago
Senior Compliance Officer
Ardian
Compliance analyst job in New York, NY
Job Purpose:
Ardian's compliance team is responsible for ensuring that the firm complies with all applicable regulatory requirements. The Senior Compliance Officer will assist the US compliance team in all aspects of the compliance program for an SEC registered adviser. Additionally, the Senior Compliance Officer will work on global regulatory topics within the framework of the Ardian compliance team.
Job Responsibilities:
Prepare regulatory filings, administer the firm's compliance program, and oversee Code of Ethics
Participate in the compliance aspects of the Firm's newly registered '40 Act Fund
Review marketing materials for both SEC and FINRA compliance
Drive compliance initiatives across various areas of the program depending on regulatory trends
Conduct compliance controls and testing and update policies/procedures
Partner with compliance consultants to conduct mock audits and heed advice on regulatory updates
Education and Experience:
3-5 years of experience in an investment advisor and/or broker/dealer
Bachelor's Degree; JD preferred
Experience with regulatory filings (e.g. Form ADV and Form PF preferred)
Strong command of full suite of compliance responsibilities with the ability to drive and lead projects
Excellent judgment and ability to communicate with all levels of professionals
Proactive, driven and mentality of excellence
Communication Scope:
(Identify the level and nature of internal and external contacts with whom this job must interact regularly. Describe the reason and frequency of their communication)
* Work with all internal teams (investments, fund finance, product, investor relations, private wealth, etc.)
* Communicate with third party service providers
Management Scope:
(if applicable)
* Total number of direct reports: 0
* Total number of indirect reports: 1
$59k-92k yearly est. 8d ago
Compliance Manager
Berry Street
Compliance analyst job in New York, NY
Berry Street is on a mission to transform how Americans eat through nutrition therapy. Berry Street's platform connects individuals needing evidence-based nutrition care with an expansive network of Registered Dietitians and AI-powered tools. From weight management, diabetes, and heart health to kidney disease, maternal health, and 25+ other conditions, Berry Street's clinical team delivers personalized nutrition interventions tailored to each patient's unique physiological and psychological needs, improving outcomes and reducing total cost of care. Berry Street works with some of the largest health plans, as well as leading health systems and innovative care management companies to serve diverse populations across all 50 states. Visit berrystreet.co to learn more.
Since launching in January 2023, Berry Street has grown to over 1,400 providers on our platform and served tens of thousands of patients nationwide. We're a Series B company backed by leading investors like Northzone, Sofina, and FJ Labs, as well as notable angel investors including the founders of Revolut, Spring, Grow Therapy, and Tilly.
About the Role
We're looking for a Compliance Manager to lead and scale Berry Street's healthcare compliance program as we continue to grow nationally and expand payer partnerships. This role will be a key owner of our HIPAA, insurance, and broader healthcare compliance efforts, partnering closely with Business Operations, Engineering, Clinical Operations, and Payer Operations. This is a hands-on, highly cross-functional role for someone who thrives in ambiguity, enjoys building practical compliance workflows, and can translate complex regulatory requirements into clear policies, processes, and oversight mechanisms. This role also defines the compliance requirements, governance, and workflows that ensure Berry Street meets payer, regulatory, and contractual obligations.
What You'll Own
Own and scale Berry Street's healthcare compliance program, with a focus on HIPAA, payer requirements, and regulatory readiness as we grow.
Partner cross-functionally with Business Ops, Engineering, Clinical Ops, and Payer Ops to embed compliance into day-to-day workflows.
Serve as the trusted compliance resource, advising teams on regulatory questions, payer requirements, and operational decisions.
Support compliance across commercial, Medicare, and Medicaid programs, including gap analyses for new service lines and market expansions.
Review healthcare and payer contracts and translate compliance obligations into clear operational requirements.
Build and maintain compliance policies, procedures, training, and documentation that are practical, scalable, and audit-ready.
Lead the intake, investigation, and resolution of compliance incidents and inquiries, including documentation, follow-up actions, and trend analysis.
Oversee and coordinate compliance support for payer and regulatory audits, including preparation, remediation tracking, and internal alignment.
Oversee vendor compliance workflows, including new vendor onboarding, risk reviews, and ongoing monitoring.
Provide oversight for broader assurance efforts (e.g., SOC 2 / security questionnaires) by coordinating stakeholders, tracking requirements, and ensuring documentation and evidence are maintained.
Requirements
You have 5-8 years of experience in healthcare compliance, healthcare operations, telehealth, legal, auditing, consulting, or a related field.
You bring deep, practical expertise in HIPAA and healthcare regulations, with a strong understanding of payer requirements and payer-provider workflows.
You have experience supporting regulated payer programs (e.g., Medicare/Medicaid) and navigating audits, controls, or compliance oversight.
You're comfortable building and owning compliance programs - including workflows, policies, and ongoing oversight - not purely advising.
You can review healthcare and payer contracts and turn requirements into clear, actionable controls and processes.
You thrive in a fast-paced, high-growth environment and have strong organizational, project management, and prioritization skills.
CHC certification (or working toward it) is a plus.
Experience overseeing or partnering on SOC 2 / assurance audits, GRC tools (e.g., Vanta/Drata), vendor risk management, and/or privacy laws beyond HIPAA is a plus.
Benefits
The base pay range for this position is determined by experience and geographic location
The chance to drive impact within the healthcare landscape from day one
Comprehensive health insurance plans, including dental and vision
Generous PTO
401k with match
Citibike membership
Unlimited dietitian care
$88k-131k yearly est. 8d ago
Public Sector Compliance Specialist
Adobe Systems Incorporated 4.8
Compliance analyst job in New York, NY
Our Company
Changing the world through digital experiences is what Adobe's all about. We give everyone-from emerging artists to global brands-everything they need to design and deliver exceptional digital experiences! We're passionate about empowering people to create beautiful and powerful images, videos, and apps, and transform how companies interact with customers across every screen.
We're on a mission to hire the very best and are committed to creating exceptional employee experiences where everyone is respected and has access to equal opportunity. We realize that new ideas can come from everywhere in the organization, and we know the next big idea could be yours!
What You Will Do
* Work under the supervision and guidance of the TechGRC manager and drive technology compliance activities across Adobe including service readiness for public sector and federal security compliances/regulations.
* Serve as a leader with vision within Adobe to help guide business, operational, and security organizations to navigate existing and newly emerging compliances/regulations.
* Develop compliance program workflows for new certifications such as CMMC, DoD CC SRG, Protected B, etc.
* Draft compliance reports to summarize the compliance objectives, key findings, and work with teams to remediate key findings.
* Continuously identify internal controls issues, ensure they are well-defined and root causes are identified.
* Build deep trust across federal and public sector industries by aspiring to continuously maintain Adobe's existing FedRAMP authorizations and drive initiatives to acquire new FedRAMP authorizations.
* Own the ongoing relationship with external auditors and government agencies to help them gain confidence with regard to Adobe's security compliance program.
* Perform compliance mappings and gap analyses against compliance frameworks to identify level of effort of compliance frameworks such as NIST 800-53.
* Collect and detail technical architecture, operational processes and security policies from multiple internal engineering teams.
* Supporting internal teams in implementing new initiatives that emphasize security and compliance.
What You Need to Succeed
* To follow US Federal government requirements, US citizenship is required.
* Bachelor's degree with a focus in Information Technology, Information Systems, Computer Science; or equivalent degree required.
* Minimum 5-7 years of experience in FedRAMP, FISMA, and/or NIST-related compliance frameworks required.
* Hands-on experience with Cybersecurity Maturity Model Certification (CMMC) and Secure Software Development Framework (SSDF).
* Experience in pursuing a new certification from beginning to end (business use case approval, pre-assessment, assessment, certification, and continuous monitoring).
* Hands-on experience with AWS & Azure environments.
* Knowledge of Core IT processes / services such as SDLC, Identity/User Access management, Backup and DR processes.
* Good interpersonal, verbal and written communication skills. It is essential that the candidate is a team-player and possesses strong organizational and planning skills.
* Ability to communicate with both business and IT technical staff including IT and Business management.
* Ability to grasp new technologies and concepts and understand how they can impact the business.
Our compensation reflects the cost of labor across several U.S. geographic markets, and we pay differently based on those defined markets. The U.S. pay range for this position is $113,100 -- $228,575 annually. Pay within this range varies by work location and may also depend on job-related knowledge, skills, and experience. Your recruiter can share more about the specific salary range for the job location during the hiring process.
In California, the pay range for this position is $157,900 - $228,575 In New York, the pay range for this position is $157,900 - $228,575 In Washington, the pay range for this position is $148,600 - $215,200
At Adobe, for sales roles starting salaries are expressed as total target compensation (TTC = base + commission), and short-term incentives are in the form of sales commission plans. Non-sales roles starting salaries are expressed as base salary and short-term incentives are in the form of the Annual Incentive Plan (AIP).
In addition, certain roles may be eligible for long-term incentives in the form of a new hire equity award.
State-Specific Notices:
California:
Fair Chance Ordinances
Adobe will consider qualified applicants with arrest or conviction records for employment in accordance with state and local laws and "fair chance" ordinances.
Colorado:
Application Window Notice
If this role is open to hiring in Colorado (as listed on the job posting), the application window will remain open until at least the date and time stated above in Pacific Time, in compliance with Colorado pay transparency regulations. If this role does not have Colorado listed as a hiring location, no specific application window applies, and the posting may close at any time based on hiring needs.
Massachusetts:
Massachusetts Legal Notice
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
Adobe is proud to be an Equal Employment Opportunity employer. We do not discriminate based on gender, race or color, ethnicity or national origin, age, disability, religion, sexual orientation, gender identity or expression, veteran status, or any other applicable characteristics protected by law. Learn more.
Adobe aims to make Adobe.com accessible to any and all users. If you have a disability or special need that requires accommodation to navigate our website or complete the application process, email accommodations@adobe.com or call **************.
$75k-105k yearly est. 8d ago
Director-Compliance
American Express 4.8
Compliance analyst job in New York, NY
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.
**Qualifications**
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.
**Job:** Compliance
**Primary Location:** US-New York-New York
**Other Locations:** US-Utah-Sandy, US-Arizona-Phoenix, US-Florida-Sunrise
**Schedule** Full-time
**Req ID:** 26000641
$123k-215.3k yearly 8d ago
Senior Compliance Officer II - Regulatory
Banco Popular North America
Compliance analyst job in New York, NY
Participate in and contribute to the execution of Populars Compliance Program, ensuring alignment with Corporate compliance and strategic direction and recommend policy and/or actions based on internal and external industry developments for area of Compliance Officer, Regulatory, Compliance, Officer, Senior, Support, Business Services
$70k-109k yearly est. 2d ago
Compliance Manager
World Finer Foods 4.2
Compliance analyst job in Bloomfield, NJ
The Compliance Manager is responsible for ensuring comprehensive regulatory and legal compliance with Food & Drug Administration, Code of Federal Regulations, US Department of Agriculture, and applicable state regulations (including Proposition 65). This role extends beyond labeling to encompass full oversight of U.S. compliance requirements across product development, manufacturing, quality, and export readiness. A key responsibility is serving as the primary U.S. regulatory partner for our subsidiaries and manufacturing sites, ensuring that any products produced abroad for our brands meet all U.S. federal and state standards prior to export.
The successful candidate will:
· Provide end-to-end oversight of U.S. regulatory compliance for all products, ensuring alignment with FDA, CFR, USDA, and state-level requirements across formulation, production, packaging, and documentation.
· Act as the central U.S. regulatory liaison for overseas factories but also US customers / food service/brokers, guiding them through compliance expectations, export requirements, and the standards necessary for access to the U.S. market.
· Support all Brand projects to ensure successful and compliant U.S. launches by offering regulatory direction from concept through commercialization.
· Collaborate as a key member of cross-functional project teams, including R&D, Quality, Marketing, Supply Chain, and international Manufacturing.
· Deliver clear, timely regulatory guidance-identifying required changes, explaining regulatory rationale, and recommending compliant solutions that align with product and business goals.
· Serve as the internal authority on U.S. regulatory matters, providing leadership on issues beyond labeling, including ingredient approvals, claims strategy, manufacturing requirements, and import expectations.
· Partner with internal teams and external stakeholders to anticipate and resolve compliance challenges, proposing proactive strategies that support innovation while ensuring regulatory integrity.
· Develop and deliver training materials to educate both internal teams and international partners on evolving U.S. regulatory requirements.
· Oversee the transition and maintenance of compliant packaging and product information, including managing FDA review processes, documentation tracking, and artwork archiving.
· Stay informed on regulatory trends, emerging standards, and industry developments to keep the company ahead of potential risks and opportunities.
· Contribute to broader company initiatives that require regulatory partnership or oversight.
REQUIREMENTS:
Education:
· Bachelor's or Master's degree in Food Science, Nutrition or related field required
· Ongoing connection with industry regulatory organizations to keep current on changes to regulatory issues (i.e. e-newsletters, website research, membership to organizations, etc.)
Experience:
· 4-6 years of experience in regulatory compliance in food manufacturing, etc.
Skills:
· Exceptional time management, project management, and organizational skills
· Ability to set priorities, quickly and seamlessly change course (as needed) and deliver deadlines
· Strong computer (Microsoft Office Suite) skills
· Excellent written and verbal skills
· Comfortable working in ever-evolving environment
· Self-motivated with strong attention to detail
· Successfully works autonomously and with others
· Ability to influence without direct authority
$85k-118k yearly est. 2d ago
Analyst
Alethea Online Risk Mitigation Technology
Compliance analyst job in New York, NY
About Alethea
Alethea helps commercial clients and civil society advocates combat false and misleading information through in-depth analysis of reputational, regulatory, and security risks. Our insights and strategic recommendations empower organizations to mitigate threats, safeguard brand integrity, and strengthen public trust. Using a combination of expert analysis and our proprietary Artemis platform, we deliver timely, data-driven solutions that align with client needs.
Role Overview
We are seeking an Analyst to advance our analytic capabilities and thought leadership in addressing online risk. In this senior role, you will lead the development of risk assessment methodologies, provide expert guidance to clients, and mentor analysts in producing high-quality, actionable insights. You will be responsible for shaping analytic tradecraft, contributing to the growth of the Artemis platform, and ensuring our products anticipate and mitigate emerging threats.
Key Responsibilities
Advanced Analysis & Methodology Development
Conduct in-depth research and analysis of online threats, disinformation campaigns, and reputational, security, and cyber risks across mainstream and fringe platforms.
Develop and refine risk assessment methodologies, ensuring analytic judgments are precise, evidence-based, and client-relevant.
Stay at the forefront of emerging technologies and analytic tradecraft, leading updates to collection and analytic approaches.
Client Engagement & Advisory
Deliver clear, concise, and compelling reports, slide decks, and briefings tailored to client needs.
Provide expert risk assessments and mitigation strategies in client engagements, building trusted advisor relationships.
Support client-facing initiatives such as case studies, blogs, and advisory deliverables to showcase Alethea's analytic offerings.
Mentorship & Thought Leadership
Mentor junior and mid-level analysts in analytic rigor, report writing, and professional development.
Set standards for analytic quality, clarity, and creativity in storytelling.
Act as a thought leader on online disinformation, influence operations, and risk mitigation strategies.
Collaboration & Innovation
* Contribute to the evolution of the Artemis platform by informing analytic requirements and workflows.
* Foster collaboration with product, engineering, sales, and client management teams to ensure integrated solutions.
Project Execution
Deliver high-quality analytic outputs consistently and on deadline with minimal oversight.
Manage multiple priorities while balancing time, scope, and quality considerations.
Proactively identify opportunities to improve workflows, methodologies, and client deliverables.
Qualifications & Skills
Demonstrated expertise in online risk analysis, disinformation, or information operations.
Proven track record of producing clear, evidence-based analytic products for commercial or civil society audiences.
Strong report writing, editing, and presentation skills, with the ability to coach others.
Experience mentoring analysts and contributing to team and organizational culture.
Deep knowledge of OSINT, social media research, and analytic methodologies.
Strategic problem-solving skills with a focus on actionable client insights.
Experience working with or contributing to analytic platforms is a plus.
Why Join Alethea?
Be part of a mission-driven team tackling one of today's most pressing challenges: disinformation and online risk.
Work at the intersection of technology, analysis, and strategic risk management.
Grow professionally through leadership opportunities, mentorship, and collaboration with cross-functional teams.
Compensation and Benefits
Salary and stock options are negotiated based on experience. The total compensation range for this position is $60,000 to $150,000 per year, depending on the candidate's skills, experience, and qualifications. In addition to cash compensation, this role is eligible for a stock option grant.
Healthcare at the gold-tier level, dental, and vision is fully funded by the employer. 50% of dependent coverage is provided by the employer. Additional benefits include employer provided life and AD&D insurance and an Employee Assistance Program with a variety of services, including generous Mental Wellbeing support.
Flexible vacation, sick leave, including office closure between Christmas and New Year's.
Employees may also participate in an Employer sponsored 401k, after their 6-month anniversary, with a 3% match. Health Savings (HSAs) and flexible spending accounts (FSAs) are also offered.
Hybrid work environment, with 3 days per week required in office in Washington, D.C or New York, with DC being preferred.
Alethea is an equal opportunity employer that encourages people of all backgrounds, genders, ethnicities, abilities, and sexual orientations to apply. We are committed to being an inclusive place to work, while maintaining a workforce that represents the communities we serve.
$60k-150k yearly 8d ago
Financial Analysis & Compliance Specialist
EPC Advisors Group
Compliance analyst job in New York, NY
Prepares asset, liability, and capital account entries by compiling and analyzing account information.
Documents financial transactions by entering account information.
Recommends financial actions by analyzing accounting options.
Summarizes current financial status by collecting information; preparing balance sheet, profit and loss statement, and other reports.
Substantiates financial transactions by auditing documents.
Maintains accounting controls by preparing and recommending policies and procedures.
Guides accounting clerical staff by coordinating activities and answering questions.
Reconciles financial discrepancies by collecting and analyzing account information.
Secures financial information by completing data base backups.
Maintains financial security by following internal controls.
Prepares payments by verifying documentation, and requesting disbursements.
Answers accounting procedure questions by researching and interpreting accounting policy and regulations.
Complies with federal, state, and local financial legal requirements by studying existing and new legislation, enforcing adherence to requirements, and advising management on needed actions.
Prepares special financial reports by collecting, analyzing, and summarizing account information and trends.
Maintains customer confidence and protects operations by keeping financial information confidential.
Maintains professional and technical knowledge by attending educational workshops; reviewing professional publications; establishing personal networks; participating in professional societies.
Accomplishes the result by performing the duty.
Contributes to team effort by accomplishing related results as needed.
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$50k-76k yearly est. 2d ago
Legal Compliance Manager
Park, Fine & Brower Literary Management
Compliance analyst job in New York, NY
PFB is seeking an Operations, Finance & Legal Compliance Manager to oversee and enforce standardized practices across the agency's administrative, financial, and legal workflows. This role ensures accuracy, timeliness, and compliance in commission processing, royalty and financial reporting, contract management, and data governance. The ideal candidate has a strong operational mindset, impeccable attention to detail, and experience in publishing, entertainment, or professional services. The role requires strong communication skills, and the ability to collaborate effectively across all parts of the company to ensure our standardized practices are meeting the highest standards.
Key Responsibilities
Financial Operations & Reporting
Oversee preparation and delivery of commission reports, ensuring accuracy and adherence to agency standards.
Manage and monitor royalty statement intake, review, analysis, and dissemination to clients and internal teams.
Manage financial workflows between CFO and staff.
Legal & Contract Compliance
Maintain and update contract boilerplates, ensuring consistency with industry standards and agency policies.
Track agency agreements, author directives, contract execution, amendments, rights reversions, expiry dates.
Ensure agency practices comply with relevant legal and financial regulations pertaining to publishing and representation.
Operational Systems & Standardization
Maintain and enforce standard operating procedures (SOPs) for all administrative and finance-related workflows.
Understand, update and optimize databases, rights-management systems, and digital filing structures.
Coordinate interdepartmental processes to ensure data accuracy, version control, and timely completion of deliverables.
Cross-Functional Communication & Support
Serve as a key liaison between agents, management team, and external partners to facilitate smooth information flow.
Train staff on new systems, processes, and compliance requirements.
Provide operational support during high-volume periods or special projects.
Qualifications
5-7+ years of experience in operations, finance, legal administration, or compliance-preferably within a literary agency, publishing house, film/TV agency, or similar environment.
Strong understanding of publishing contracts, royalty statements, and rights management (or a demonstrated ability to learn quickly).
Exceptional organizational skills and attention to detail.
Proficiency with database and CRM systems; ability to design workflows and optimize data structures.
Strong Excel/Google Sheets skills and comfort with financial documentation.
Excellent written and verbal communication skills.
Ability to manage multiple priorities, meet deadlines, and maintain confidentiality.
Commitment to Equal Opportunity
PFB provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state, or local laws. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation, and training.
SALARY: $75,000- $100,000
BENEFITS: Health, vision, and dental insurance provided with premium paid by PFB. 401(k) plan available after 1 full year of employment and discretionary bonus program.
VACATION / PTO: 23 days of paid vacation, 10 holidays + 1 floating holiday. PFB is closed between Christmas and New Year's, and has Summer Fridays 9-1 from Memorial Day-Labor Day
Physical Requirements: In-Office position. Reasonable accommodations may be made for individuals with disabilities to perform essential job functions.
The job reports directly to Andrea Mai. Please email your resume and cover letter to ***********************
$75k-100k yearly 15h ago
Specialist, Regulatory and Compliance
Qpharma, Inc. 4.3
Compliance analyst job in Cedarville, NJ
QPharma is currently looking for a Regulatory and Compliance Specialist for our Cedar Knolls, NJ location.
Responsibilities include but are not limited to:
Quality Management Systems: • Manages the process for creating, reviewing and issuing standard operating procedures • Manages the processes for setting up training, assigning training and monitoring training completions. • Manages the deviation and CAPA (corrective & preventative action) process, including monitoring, following up, and closure • Assist with Sales Representative licensing activities Regulatory Research: Perform review/research of state regulations including but not limited to the following areas: 1) Practitioner sampling authority; 2) Drug theft/loss reporting; 3) Controlled Substance license requirements for Practitioners; 4) Facility licensing requirements by facility type, for purposes of monitoring changes to the requirements.
Previous Experience is required, pharma experience a plus.
$68k-102k yearly est. 1d ago
Compliance Specialist - Program Support
Adapt Community Network 3.7
Compliance analyst job in New York, NY
Why Join ADAPT?
It's more than a job; it's a calling. It's where passion meets purpose. ADAPT Community Network, formerly United Cerebral Palsy (UCP) of NYC provides a multitude of services to people with developmental disabilities. At ADAPT, we are 3,000 strong, and it takes every one of us to empower the lives of the people we support. With caring and great resources at hand, we know what it takes to help people live fuller, happier, healthier lives. Our employees show their commitment to the people we support every day, and we all deliver on our promise to provide innovative and comprehensive services to individuals with developmental disabilities.
For your next career move, apply with us at ADAPT Community Network! Wherever you work among our many locations around New York City, ADAPT offers paid training, competitive benefits, and we foster a team culture of learning, support, collaboration and career growth.
SUMMARY
Under general direction, is responsible for performing office management, administrative and secretarial tasks in support of the compliance department, administrators and personnel, tasks and responsibilities associated with the agency programs. Provide support to programs regarding the agency Day Habilitation and Resident Habilitation billing standards, procedures and expectations. Performs a variety of complex, responsible, administrative and secretarial duties through frequent use of independent and supportive thought and judgment.
ESSENTIAL DUTIES AND RESPONSIBILITIES
The duties and responsibilities of the Compliance Specialist will include, but are not limited to the following:
Collaborate with program administrators across the agency.
Review residential weekly and monthly billing submittals.
Generate and submit weekly and monthly billing review summary.
Collaborate with program administrators to solve issues.
Oversee the tracking and monitoring of applicable program billing documents, including but not limited to Level of Care, Life Plans, and Staff Action Plans.
Train program administrators on policies and procedures regarding billing standards and regulations.
Maintain updated knowledge of all agency and government regulatory standards regarding Life Plans, Staff Action Plan and Care Coordination provided by Care Coordination Organizations.
Maintain knowledge of agency Medisked system functionality.
Support schedule of appointments for supervisors, exercising discretion administrator's time and in referring caller or visitor to another appropriate source of information of service.
Answers telephone and screens call for Compliance Department administrators and personnel.
Directs all relevant compliance situations, inquiries and questions to appropriate personnel.
Prepare memos, meeting minutes, etc. for Compliance Department administrator's review.
Oversees, maintains, and replenishes Compliance Department office supply and equipment inventory.
Receives, sorts and distributes Compliance Department incoming and outgoing mail and packages.
Establishes, maintains, revises and updates a filing system for Compliance Department administrators and personnel.
Performs photocopying and collating for Compliance Department administrators and personnel.
Work collaboratively with other Compliance Department staff.
Execute processes associated with Compliance Department meetings, including but not limited to, procurement of refreshments, scheduling and setting up meeting places or resources, notification of meeting attendees, cleanup activities etc.
Performs other related duties as requested.
QUALIFICATIONS
Ability to read, write, speak, and understand English.
Good interpersonal skills are required in order to interact effectively with employees, co-workers, the people we support, and their families.
Excellent oral, written, and organizational skills.
Ability to work independently and collaboratively; and handle multiple tasks simultaneously.
Ability to analyze problems and determine corrective measures.
Willing to travel to all programs.
Must be available Monday-Friday, 9AM-5PM, in-person.
EDUCATION and/or EXPERIENCE
* Bachelor's degree in human services, or related field preferred, but not required.
* Previous Admin Assistant experience preferred but not required.
COMPENSATION: $41,000-$44,000 + Industry-Leading Benefits!
At ADAPT, we value diversity, equity, inclusion, accessibility, and belonging. We strive to ensure that our employees are comfortable bringing their whole, authentic self to work and that the people we support can also be their authentic selves. We value diverse backgrounds, opinions, ideas, and ways of thinking. We aim to build an inclusive and diverse workforce that is empowered and supported with leaders who create diverse and inclusive teams. We continuously seek opportunities for the organization to foster a more positive, respected, united, and collaborative culture.
ADAPT Community Network is proud to be an equal opportunity employer and is committed to creating an inclusive environment for all employees. Qualified candidates of diverse ethnic and racial backgrounds and status are encouraged to apply for vacant positions at all levels.
$41k-44k yearly 8d ago
Compliance Specialist II
DOWC
Compliance analyst job in Parsippany-Troy Hills, NJ
About Us
Dealer Owned Warranty Company LLC is a leading provider of F&I (Finance and Insurance) partnership services in the automotive industry, offering a full suite of obligor and administrator services, top-of-the-line products, technology, and training. We understand the importance of leveraging process and technology in the F&I industry to drive revenue and ensure success. Our goal is to provide visibility, transparency, and the tools needed for our partners to build their wealth and achieve their goals. DOWC prides itself on taking care of its employees (We were voted one of the “Best Places to Work” three years in a row!), and we also offer award-winning products. All of our positions are fully on-site in Parsippany, NJ.
Job Summary:
We are seeking a highly competent and detail-oriented compliance specialist to join our team in the automotive F&I industry. The Compliance Specialist II supports the development and implementation of compliance programs, policies, reporting, and practices for the organization and related companies. The ideal candidate will possess exceptional attention to detail and written communication skills. F&I or automotive compliance experience highly preferred.
Duties/Responsibilities:
Identify business functions and practices that require regulatory activities and assist the compliance management team in developing a compliance strategy.
Maintain a proactive approach to challenges and resolve issues efficiently.
Continually monitor and improve internal compliance and regulatory functions and complete legal/compliance research to ensure that the organizations are compliant with applicable state and federal law.
Identify and document changes in laws and governmental policies and assist in evaluating, developing, and implementing a compliance plan, as necessary.
Draft/update contracts and submit them for review with various states and lenders for approval as required
Provide subject matter expertise to DOWC's clients, departments throughout the company, lender and regulatory partners
Actively involved in keeping up-to-date with respect to legislative changes, including completing legal/compliance research, and how same may impact company's line of business in the automotive Finance & Insurance industry, with an eye toward identifying business process gaps, weaknesses, and/or deficiencies needing correction.
Assist in performing research regarding expansion of business into various other countries/territories.
Maintain and protect confidentiality with regards to all aspects of client and company
information.
Ability to multi-task, prioritize, and manage time effectively in a teamwork environment.
Performs general administrative tasks as needed.
Performs other duties will be at the discretion of management.
Required Skills & Experience:
Minimum of 3+ years of experience as a Compliance Specialist or related role in a corporate environment, preferably in the insurance or financial services industry.
Bachelor's Degree in business, corporate law, communications, or related field preferred.
Automotive F&I compliance experience or knowledge highly preferred.
Exceptional written and verbal communication skills.
Strong attention to detail and analytical skills.
Ability to multi-task and remain professional at all times in a dynamic environment.
Excellent time management skills a with a proven ability to meet deadlines.
Strong ability to work both independently and collaboratively.
Come join our growing team here in Parsippany! As NJ's Best Places to Work Honoree for three years in a row, we offer:
Competitive compensation
Medical, Dental, Vision, 401k matching, ancillary benefits
PTO and Sick Time
Corporate events, team and culture building activities, employee awards and recognition, company trips and more!
DOWC is an Equal Opportunity/Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected Veteran status, sexual orientation, gender identity, gender expression, genetic information, or any other characteristic protected by law. Applicants who require accommodation to participate in the job application process may contact us for assistance
$56k-85k yearly est. 1d ago
Transportation Compliance Coordinator
Asendia
Compliance analyst job in Hauppauge, NY
This position is responsible for accomplishing compliance business objectives by producing value-added employee results; offering information and opinion as a member of senior management; integrating objectives with other business units; directing staff.
Ensure compliance with all IACSSP, CCSF, SSPAC, Fire Safety, FMCSA and DOT rules and regulations.
Respond to inquiries for previous employment verification.
Enhance the company's positive image and provide exceptional customer service to associates and customers.
Strict adherence to the applicable federal, state, local laws and company policies and procedures are a must.
The delivery of quality service and positive interaction with our customers is critical to the completion of all the tasks within this job description. The ability to greet all visitors, vendors, and employees, while continuously maintaining the standards of excellence in presentation and professionalism.
Develop and recommend new procedures and approaches to safety and loss prevention based on reports of incidents, accidents, and other relevant information.
Implement security/safety improvements that benefit the company's assets, visitors, tenants, and employees as directed.
Lead weekly TSA Compliance meetings to disseminate important information to all operations managers and receive reports on site status and compliance.
Lead monthly Safety/Security/DG meetings to manage emerging threats, trends, and regulatory responsibilities.
In addition to having knowledge and training on the following:
• IAC Management
• CCSF Management
• Dangerous Goods/Safety
• Department of Transportation
$48k-72k yearly est. 3d ago
DeFi Analyst
Gauntlet
Compliance analyst job in New York, NY
Gauntlet leads the field in quantitative research and optimization of DeFi economics. We manage market risk, optimize growth, and ensure economic safety for protocols facilitating most spot trading, borrowing, and lending activity across all of DeFi, protecting and optimizing the largest protocols and networks in the industry. As of April 2025, Gauntlet manages risk and incentives covering over $42 billion in customer TVL.
Gauntlet continually publishes cutting-edge research that informs our risk models, alerts, and analysis, and is among the most cited institutions - including academic institutions - in terms of peer-reviewed papers addressing DeFi as a subject. We're a Series B company with around 75 employees, operating remote-first with a home base in New York City.
Our mission is to drive adoption and understanding in the financial systems of the future. The unique challenges of decentralized systems call for innovative approaches in mechanism design, smart contract development, and financial product utilization. Gauntlet leads in advancing this knowledge, ensuring safe progression through the evolving landscape of financial innovation.
Responsibilities
Drive Market Research & Strategic Partnerships: Track emerging yield strategies, protocol developments, and ecosystem incentives across chains to provide the Curation team with a competitive edge in vault deployment and optimization. Actively monitor DAO governance proposals, forum discussions, and protocol roadmaps to inform risk assessments, vault growth strategies, and partnership opportunities. Identify and evaluate live or upcoming liquidity mining, ve-token, and fee-rebate programs. Support business development by analyzing incentive structures, stakeholder alignment, and contributing to deal execution through opportunity qualification and proposal development.
Execute Risk Assessment & Due Diligence: Conduct structured protocol reviews focused on solvency, oracle infrastructure, governance mechanisms, and security posture. Perform in-depth risk assessments by analyzing historical on-chain data, protocol codebase, and market dynamics to generate informed recommendations on vault growth, asset onboarding, and risk parameterization. Collaborate with auditors and protocol teams to resolve issues and ensure timely launch readiness. Monitor and respond to market events with clear internal communication and contribute to the evolution of Gauntlet's on-chain risk offerings.
Develop Growth & Incentive Analytics: Build and maintain dashboards to track incentive rates, protocol yield performance, and vault-level KPIs across chains. Monitor competitive benchmarks and market dynamics to ensure vaults maintain a strong relative position in the ecosystem. Perform creative, non-standard data analysis-including natural experiments, cohort retention, and TVL deltas-to support partnership strategy, incentive optimization, and proactive risk mitigation. Use these insights to inform data-driven decisions that drive sustainable growth and preserve Gauntlet's competitive edge in DeFi.
Enable Operational Excellence in Vault Deployments: Launch and monitor Vaults by configuring oracles, LLTVs, Vault parameters, and multisig protocols. Ensure accurate integration with Gauntlet tools and continuously monitor active markets to maintain optimal performance.
Qualifications
1-3 yrs in crypto-native research, strategy, or trading seat with evidence of directing capital into third-party incentive programs.
Comfort reading Solidity/Vyper, but you're not the auditor of record.
Fluency with on-chain data tools (Dune, Subgraphs) and Python or JS for ad-hoc analysis.
Track record of shaping deals or product decisions through crisp memos-think equity-research write-ups or growth-analytics briefs.
Strong personal interest in DeFi, with a proactive mindset and continuous drive to stay at the forefront of protocol developments, yield opportunities, and strategic differentiation.
Common Sense and Competitive
Bonus Points
Appetite to mentor as team size and volume scales.
Rolodex across DAO treasuries, defi protocols, oracles, liquidators, venture funds, or large LPs.
Benefits and Perks
Remote first - work from anywhere in the US & CAN!
Competitive packages with the added opportunity for incentive-based compensation
Regular in-person company retreats and cross-country "office visit" perk
100% paid medical, dental and vision premiums for employees
Laptop provided
$1,000 WFH stipend upon joining
$100 per month reimbursement for fitness-related expenses
Monthly reimbursement for home internet, phone, and cellular data
Unlimited vacation policy
100% paid parental leave of 12 weeks
Fertility benefits
Please note at this time our hiring is reserved for potential employees who are able to work within the contiguous United States and Canada. Should you need alternative accommodations, please note that in your application.
The national pay range for this Role is $165,000 - $205,000 plus additional On Target Earnings potential by level and equity in the company. Our salary ranges are based on paying competitively for a company of our size and industry, and are one part of many compensation, benefits, and other reward opportunities we provide. Individual pay rate decisions are based on a number of factors, including qualifications for the role, experience level, skill set, and balancing internal equity relative to peers at the company.
#LI-Remote
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How much does a compliance analyst earn in Scranton, PA?
The average compliance analyst in Scranton, PA earns between $43,000 and $92,000 annually. This compares to the national average compliance analyst range of $39,000 to $87,000.