🔎 Hiring Now: Director of Compliance (Onsite | Midtown Manhattan)
💼 Industry: Property Management
💰 Salary: $125,000 - $145,000 (commensurate with experience) + potential of 20% bonus (paid out quarterly), generous benefits, 3 weeks vacation, 1 week sick and 14 holidays
🕒 Schedule: Full-time | Onsite | Monday-Friday
About the Role
Our client, a well-established property management company based in Midtown Manhattan, is seeking a skilled and detail-oriented Director of Compliance to oversee regulatory compliance across a diverse portfolio of residential and commercial properties.
This onsite role is ideal for a compliance professional with in-depth knowledge of New York City building regulations, who can manage agency relationships and ensure all properties meet the highest standards of safety and legal compliance.
Key Responsibilities
Manage and enforce a comprehensive compliance program aligned with NYC regulatory requirements.
Conduct routine property audits and inspections to ensure adherence to DOB, FDNY, HPD, DSNY, DOH, DOT, and other city agency codes.
Serve as the primary liaison with NYC regulatory agencies for inspections, filings, permits, and violation resolution.
Collaborate with property managers, maintenance staff, and contractors to execute corrective actions and maintain compliance.
Monitor changes in city regulations and update internal policies accordingly.
Maintain documentation of all compliance activities and train internal teams on best practices.
Qualifications
5+ years of experience in compliance or regulatory affairs, in NYC property management.
Strong working knowledge of NYC agency regulations (DOB, FDNY, HPD, DSNY, DOH, DOT, etc.).
Exceptional organizational, communication, and leadership skills.
Ability to handle multiple priorities across different properties.
Bachelor's degree
Industry certifications such as ARM or CPM are a plus.
Why This Opportunity?
Competitive salary: $125K-$145K, based on experience PLUS quarterly bonuses
Work with a stable, reputable property management firm with a strong NYC presence
High-impact role with visibility across operations
Prime Midtown Manhattan location
*********************LOCAL CANDIDATES ONLY ********************
Please Note: This position is open to candidates who are authorized to work in the United States without the need for current or future visa sponsorship. We are not able to consider C2C arrangements or third-party submissions.
$125k-145k yearly 1d ago
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Financial Analysis & Compliance Specialist
EPC Advisors Group
Compliance specialist 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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A financial services company is seeking a Deputy Chief Legal Officer to oversee legal aspects of investment operations. Responsibilities include supporting transactions, managing compliance, and advising on legal regulations. Candidates should have a Juris Doctorate, 7+ years of experience in financial law, and strong leadership skills. This role offers a dynamic opportunity for legal professionals in investment management.
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A financial services firm in New York is seeking a Deputy Chief Legal Officer to manage its investments and support compliance activities. The ideal candidate will have a Juris Doctorate, be admitted to practice before a state bar, and possess over 7 years of experience in financial law, particularly in private placements, structured finance, and equity transactions. Responsibilities include overseeing legal compliance, negotiating contracts, and collaborating with teams to ensure strategic investment operations. A competitive salary and an innovative work environment are offered.
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$94k-150k yearly est. 1d ago
Compliance Director - 2034
Bhired
Compliance specialist job in New York, NY
A healthcare services organization is seeking a Compliance Director to oversee regulatory compliance, provider relations, and audit readiness. This role ensures adherence to federal, state, and contractual requirements across operations.
Responsibilities
Leading organizational compliance and regulatory programs
Managing provider contracting, credentialing, and rate negotiations
Overseeing internal and external audits
Serving as liaison with regulatory agencies
Conducting risk assessments, investigations, and compliance reviews
Qualifications
Healthcare compliance leadership experience
Strong knowledge of federal and state regulations
Analytical and research-driven mindset
Excellent reporting and communication skills
Experience managing audits and regulatory interactions
Salary
$100k - $140k/Year
Application
To apply, please send your resume to *******************
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$100k-140k yearly 20h ago
Director SOX Compliance
Opal Fuels
Compliance specialist job in White Plains, NY
OPAL Fuels (Nasdaq: OPAL) is a leader in the capture and conversion of biogas into low‑carbon‑intensity RNG and renewable electricity. It also markets RNG to heavy‑duty trucking and other hard‑to‑decarbonize industrial sectors. For more information, visit ******************
Position Summary
Director of SOX Compliance - Accounting Department, White Plains, New York. Reports to the Chief Accounting Officer. Seeking an experienced and detail‑oriented leader with 10-15 years of Big‑4 or large corporate SOX expertise to drive the company's transition to full SEC Rule 404 compliance by FY2026.
Duties and Responsibilities
Design, implement, and manage the company's SOX 404 compliance program, including documentation and testing strategies.
Lead the transition to a full‑scale integrated audit environment by FY2026, aligning with SEC requirements.
Serve as the internal expert on control design, financial reporting, and IT systems controls.
Collaborate with external consultants and auditors, including Protiviti, to assess and enhance the current control framework.
Develop and maintain comprehensive SOX documentation, including narratives, process flows, deficiency tracking, and annual testing plans.
Provide technical accounting guidance and ensure proper documentation through policy papers and internal memos.
Support the evolution of segregation of duties and access controls within ERP and IT environments.
Coordinate with Legal, IT, Finance, and Operations to drive cross‑functional alignment and process improvement.
Oversee outsourced SOX testing while ensuring consistency and quality in execution.
Qualifications and Skills
Bachelor's degree; CPA required, CIA preferred.
10-15 years of SOX management experience in Big‑4 and Fortune 500 companies.
Strong understanding of SOX 404, U.S. GAAP, and internal audit principles.
Proven experience managing both financial and IT systems controls.
Expertise in preparing accounting memos and internal policy documentation.
Exceptional attention to detail with a strong focus on documentation accuracy.
Strong organizational and leadership skills with the ability to engage cross‑functional teams.
Work Hours and Arrangements
Monday - Friday; standard business hours. Hybrid office work required, at least three days per week.
Physical Requirements
Office environment; operation of standard office equipment. Requires substantial wrist, hand, and finger movements, data preparation, analysis, and extended reading. Ability to remain stationary for extended periods is necessary.
Job Type
Full‑time
Pay
Estimated range: $150,000 - $170,000 plus eligible bonus. Final salary will depend on experience, skills, qualifications, market conditions, and geographic location.
Benefits
Health Insurance
Dental Insurance
Vision Insurance
Life Insurance
Short & Long‑Term Disability
401(k) plus Matching Contributions
Tuition Assistance
Referral Bonus
Generous Paid Time Off
Ten Paid Holidays
OPAL Fuels LLC is an equal‑opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, creed, national origin, ethnicity, sex (including gender, pregnancy, sexual orientation, and gender identity), age, physical or mental disability, citizenship, past, current, or prospective service in the uniformed services, genetic information, or any other characteristic protected under applicable federal, state, or local law.
OPAL Fuels does not accept unsolicited resumes from third‑party recruiters or agencies without a current signed agreement and written confirmation specifying the roles for which submissions are authorized. Any resumes submitted without an agreement and authorization will be considered the property of OPAL Fuels.
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$96k-140k yearly est. 20h ago
Chief Compliance Officer
Full-Service Broker-Dealer and Investment Bank
Compliance specialist job in New York, NY
A New York-based, full-service broker-dealer and investment bank providing investment banking, brokerage, trading, and capital markets services to institutional and corporate clients. The firm operates in a highly regulated, execution-focused environment with a strong emphasis on regulatory discipline, supervisory oversight, and day-to-day compliance engagement across all business lines.
Position Summary
The Chief Compliance Officer is responsible for the overall design, execution, and oversight of the firm's enterprise-wide Compliance Program. This role serves as the senior compliance authority and primary regulatory liaison, ensuring adherence to SEC, FINRA, MSRB, and other applicable regulatory requirements.
The CCO is expected to be highly hands-on, actively involved in daily compliance operations, supervisory oversight, regulatory examinations, and strategic decision-making. This role partners closely with executive management, investment banking leadership, trading, operations, and legal teams to maintain a strong culture of compliance and risk management.
Essential Duties and Responsibilities
Oversee, administer, and continuously enhance the firm's Compliance Program across all broker-dealer and investment banking activities
Serve as the primary point of contact with FINRA, the SEC, MSRB, and state regulators, including leading regulatory examinations, inquiries, and remediation efforts
Supervise day-to-day compliance operations, including surveillance reviews, communications monitoring, trading supervision, and regulatory reporting
Review and approve marketing materials, public communications, and investment-related content in accordance with FINRA Rule 2210
Oversee branch office supervision, including branch inspections, deficiency remediation, escalation, and documentation
Review and approve outside business activities, private securities transactions, heightened supervision plans, and disciplinary matters
Ensure timely and accurate regulatory filings, including FINRA 4530 reports, Form U4/U5 amendments, and other required submissions
Draft, maintain, and enforce compliance policies, procedures, and Written Supervisory Procedures
Establish and execute the annual compliance plan, internal testing program, thematic reviews, and firm-wide risk assessments
Lead firm-wide compliance training initiatives, including Annual Compliance Meetings, AML training, and targeted regulatory education
Build, mentor, and manage compliance personnel, setting performance expectations and supporting professional development
Provide regulatory guidance and interpretation to senior management and business leaders, supporting new initiatives and strategic growth
Represent the Compliance Department in management meetings and contribute to firm-level risk mitigation and governance discussions
Qualifications:
Education
Bachelor's degree required
Advanced degree (JD, MBA, MS Finance, or related) strongly preferred
Licensing
Must hold active FINRA Series 7, Series 24, Series 14, and Series 63 or 66 registrations
Experience
Minimum of 10+ years of broker-dealer compliance experience
Prior experience serving as a Chief Compliance Officer or senior compliance leader at a full-service broker-dealer or investment bank
Demonstrated experience leading and responding to FINRA and SEC examinations
Skills and Competencies
Deep understanding of SEC, FINRA, and MSRB regulatory frameworks
Strong supervisory judgment and risk-based decision-making ability
Hands-on leadership style with the ability to operate in a fast-paced, on-site environment
Excellent written and verbal communication skills
High attention to detail and strong documentation and organizational skills
Ability to manage multiple priorities, regulatory deadlines, and complex compliance issues
Compensation & Benefits
Competitive base compensation
Annual discretionary bonus
Medical insurance
Dental insurance
401(k) plan
Paid time off
$94k-150k yearly est. 3d ago
Legal Compliance Manager
Park, Fine & Brower Literary Management
Compliance specialist 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 20h ago
Regulatory Compliance Specialist
Allstem Connections
Compliance specialist job in Freeport, NY
We are seeking a detail-oriented QA / Regulatory ComplianceSpecialist to support vendor compliance, food safety documentation, and product commercialization activities in a fast-paced food manufacturing environment. This role plays a key part in ensuring regulatory, customer, and religious certification compliance.
Key Responsibilities
Maintain approved vendor and raw material documentation per internal policies
Support Sales & Marketing with nutritional data using Genesis software
Create and manage product specifications, labeling, and artwork approvals
Complete customer food safety questionnaires and manage QA regulatory platforms
Ensure audit-ready documentation for vendors, ingredients, and traceability
Support HACCP programs, FSMA compliance, and ingredient hazard analyses
Manage kosher and other religious certifications, including audits and training
Coordinate cross-functional projects from initiation through completion
Qualifications
Associate degree required; Food Science, Baking & Pastry, or Food Engineering preferred
3+ years of experience in QA, regulatory, or compliance within food manufacturing
HACCP Certification required; strong knowledge of FSMA, GMPs, and food safety standards
Experience with Genesis Nutritional Software and labeling systems
Familiarity with ERP, traceability systems, and regulatory documentation
Strong organizational, communication, and project coordination skills
Bilingual Spanish preferred
$51k-80k yearly est. 4d ago
Analyst, Global Trade Relations and Compliance
Tapestry, Inc. 4.7
Compliance specialist job in New York
We believe that difference sparks brilliance, so we welcome people and ideas from everywhere to join us in stretching what's possible.
At Tapestry, being true to yourself is core to who we are. When each of us brings our individuality to our collective ambition, our creativity is unleashed. This global house of brands - Coach and Kate Spade New York - was built by unconventional entrepreneurs and unexpected solutions, so when we say we believe in dreams, we mean we believe in making them happen. We're always on a journey to becoming our best, but you can count on this: Here, your voice is valued, your ambitions are supported, and your work is recognized.
A member of the Tapestry family, we are part of a global house of brands that has unwavering optimism and is committed to being innovative and wholly inclusive.
Analyst, Global Trade Relations and Compliance
Primary Purpose:
This position is responsible for assisting the Global Trade Relations and Compliance Sr. Manager and Global Trade Services' efforts to ensure the company's processes, internal controls, and reporting are compliant with U.S. and international laws & regulations. The individual will provide U.S. government trade relations and international compliance support for areas such as regulatory affairs, tariff mitigation, customs valuation (including First Sale for Export), country of origin determination and marking and analysis of trade issues.
The successful individual will leverage their proficiency in Global Trade and Customs Compliance to…
Assist the Sr. Manager of Global Trade Relations and Compliance in interfacing with congressional offices and government officials, attorneys, and international trade associations;
Monitor changes in trade legislation and tariff policy and assess impact on company operations;
Conduct analyses of international trade data, trade policy, rules, regulations, systems and technical specifications;
Assist the Sr. Manager of Global Trade Relations and Compliance in the successful execution and management of Tapestry's First Sale for Export valuation program;
Manage country of origin matters around both origin determination and marking and provide guidance to internal company partners;
Assist Global Trade Services team with internal trade compliance activities, including supporting the Tapestry internal self-testing/auditing Program to ensure adherence with customs and international trade regulations;
Ensuring regulatory compliance in the areas of valuation, Free Trade Agreement/ Regional Trade Agreement programs
Conduct research of customs and judicial rulings, laws and regulations related to trade compliance matters; and
Assist in the development and maintenance of compliance programs, policies and training for internal stakeholders.
The accomplished individual will possess…
Ability to multi-task and prioritize with time management and organization skills;
Written and verbal communication skills. Must be able to effectively communicate complex Customs and Trade issues to a non- expert audience, internally and externally;
Analytical and good decision-making skills with a clear attention to detail.
Highly organized with ability to perform effectively in a fast-paced environment;
Research, analytical and problem-solving skills
Responsive, flexible, and able to succeed within an open and collaborative peer environment across global regions and cross-functionally.
An outstanding candidate will possess…
3+ years of professional experience in a trade compliance, legal, or regulatory environment; a combination of education and experience will be considered
Licensed Customs Broker (or desire to obtain license), Certified Customs Specialist, is a plus but not required; and
MS Office proficiency, strength in Excel, PowerPoint and Teams a plus.
Our Competencies for All Employees
Courage: Doesn't hold back anything that needs to be said; provides current, direct, complete, and “actionable” positive and corrective feedback to others; lets people know where they stand; faces up to people problems on any person or situation (not including direct reports) quickly and directly; is not afraid to take negative action when necessary.
Creativity: Comes up with a lot of new and unique ideas; easily makes connections among previously unrelated notions; tends to be seen as original and value-added in brainstorming settings.
Customer Focus: Is dedicated to meeting the expectations and requirements of internal and external customers; gets first-hand customer information and uses it for improvements in products and services; acts with customers in mind; establishes and maintains effective relationships with customers and gains their trust and respect.
Dealing with Ambiguity: Can effectively cope with change; can shift gears comfortably; can decide and act without having the total picture; isn't upset when things are up in the air; doesn't have to finish things before moving on; can comfortably handle risk and uncertainty.
Drive for Results: Can be counted on to exceed goals successfully; is constantly and consistently one of the top performers; very bottom-line oriented; steadfastly pushes self and others for results.
Interpersonal Savvy: Relates well to all kinds of people, up, down, and sideways, inside and outside the organization; builds appropriate rapport; builds constructive and effective relationships; uses diplomacy and tact; can diffuse even high-tension situations comfortably.
Learning on the Fly: Learns quickly when facing new problems; a relentless and versatile learner; open to change; analyzes both successes and failures for clues to improvement; experiments and will try anything to find solutions; enjoys the challenge of unfamiliar tasks; quickly grasps the essence and the underlying structure of anything.
Our Competencies for All People Managers
Strategic Agility: Sees ahead clearly; can anticipate future consequences and trends accurately; has broad knowledge and perspective; is future oriented; can articulately paint credible pictures and visions of possibilities and likelihoods; can create competitive and breakthrough strategies and plans.
Developing Direct Reports and Others: Provides challenging and stretching tasks and assignments; holds frequent development discussions; is aware of each person's career goals; constructs compelling development plans and executes them; pushes people to accept developmental moves; will take on those who need help and further development; cooperates with the developmental system in the organization; is a people builder.
Building Effective Teams: Blends people into teams when needed; creates strong morale
and spirit in his/her team; shares wins and successes; fosters open dialogue; lets people finish and be responsible for their work; defines success in terms of the whole team; creates a feeling of belonging in the team.
Tapestry, Inc. is an equal opportunity and affirmative action employer and we pride ourselves on hiring and developing the best people. All employment decisions (including recruitment, hiring, promotion, compensation, transfer, training, discipline and termination) are based on the applicant's or employee's qualifications as they relate to the requirements of the position under consideration. These decisions are made without regard to age, sex, sexual orientation, gender identity, genetic characteristics, race, color, creed, religion, ethnicity, national origin, alienage, citizenship, disability, marital status, military status, pregnancy, or any other legally-recognized protected basis prohibited by applicable law.
Americans with Disabilities Act (ADA)
Tapestry, Inc. will provide applicants and employees with reasonable accommodation for disabilities or religious beliefs. If you require reasonable accommodation to complete the application process, please contact Tapestry People Services at ************** or ******************************
Visit Tapestry, Inc. at ************************
Work Setup: HYBRID
BASE PAY RANGE $65,000.00 TO $77,000.00 Annually
Here are some of the benefits that we offer: Medical insurance, Dental insurance, Vision insurance, 401 (K), Paid Paternity and Maternity leave, Commuter Benefits, Disability insurance and Tuition assistance. Please click here for a complete list of U.S Corporate Compensation & Benefits.
#LI-HYBRID #LI-MC2
$65k-77k yearly 16d ago
Compliance Analyst
Sumitomo Mitsui Trust Bank, Limited 4.4
Compliance specialist job in New York, NY
This role is located in New York City and will require a hybrid work schedule of at least 2 days in office per week.
This role is for Assistant Officer level candidates.
About the Bank
Sumitomo Mitsui Trust Bank, Limited was established through the merger of The Sumitomo Trust and Banking Co., Ltd with Chuo Mitsui Trust and Banking, Ltd. on April 1, 2012. We are one of the largest asset managers in Asia and number one among Japanese financial institutions by AUM, with approximately $850 Billion USD in AUM. The Bank provides an assortment of financial solutions and manages a broad spectrum of financial products across its global branches.Department Overview:
The Americas Division (“AD”) was established in the Sumitomo Mitsui Trust Bank, Limited, New York Branch) (“SMTBNY”) to perform corporate functions and supervise U.S. entities. Established under the AD are the “Global Banking Unit (“GBU”), Americas Division” and “Global Markets Unit (“GMU”), Americas Division” which performs business functions. The Regulatory Compliance Department (“RCD”) provides support to all departments of the New York Branch for regulatory compliance related advice, monitoring, self-testing, and reporting in order to reduce regulatory risk of Sumitomo Mitsui Trust Bank, Limited (“SMTB”).
Your Role Overview:
The Compliance Analyst is responsible for identifying and developing criteria and commentary on critical compliance issues across the Bank. Prepares and delivers Bank-wide and targeted training. Drafts new and existing policies and procedures to ensure that the Bank meets the requirement of various legal and regulatory agencies. Responsible for Know Your Customer due diligence, monitoring employee accounts, and Anti Money Laundering activities. Ensures ongoing improvement and evolution of governance programs and identifies risks and/or gaps in the system.
Your Duties and Responsibilities
Clears Prime System generated BSA related alerts and documents rationales.
Performs various watch list related verifications and record-keeping (OFAC/ FinCEN 314a/Japan List).
Performs BSA compliance Tests as well as Corporate Compliance Tests
Performs Customer/Account Profile reviews via Surety software.
Reconciles Employee Personal Trading Monitoring Program related documents.
Updates various compliance related logs and keeps track of compliance related documents.
Arrange meetings, take minutes.
Assists and prepares compliance testing work papers for all the tests performed.
Participates in periodic compliance related committees. Take minutes.
Assists with preparation of Fed/State pre-planning and introduction letter/first day letter materials.
Maintains files on appropriate regulatory compliance related issues.
Prepares Compliance newsletter to be sent within the department weekly and Branch wide Compliance newsletter to be sent within the Branch monthly.
Prepares various monthly reports.
Assists with the Annual Risk Assessment of BSA and Corporate Compliance.
Ensures that ethical practices are effectively communicated to all employees throughout SMTBNY and promotes adherence to all ethical practices by all employees.
Performs other duties and responsibilities as assigned by management.
Your Qualifications:
Bachelor's degree or equivalent.
Excellent computer skills in Microsoft Office (Excel, Word, and PowerPoint).
Excellent interpersonal skills, good oral and written communication skills.
Good detail orientation, organizational, and multitasking skills.
Strong basic math skills required.
Proficiency in Excel, Access, VBA script, preferred.
Why you should join SuMi Trust:SuMi Trust embraces flexible ways of working when the business and role permits. We provide employees with a hybrid working model, allowing for in-office work and work from home. Our diverse and inclusive environment along with our global presence enables us to collaborate and communicate to meet our business needs. We believe that efficient teams need truth, loyalty, and a strong sense of purpose to balance risk and their targets. We make sustainable business decisions to improve our society and the world. We believe that each person brings a unique value that drives the business though their creativity and passion.
The Employee Benefits package includes: Paid Time Off, medical, HSA, vision, dental, FSA, 401(k), profit sharing, legal plan, cancer indemnity plan, disability insurance, life insurance, employee assistance program, commuter benefits, business travel accident, paid volunteer day, paid memberships, paid seminars, and tuition assistance.
We offer many socialization opportunities for wellness, financial wellbeing, runs/walks, team building, happy hours, and activities to support the Sustainable Developmental Goals.
Check out our LinkedIn for our employee experience: ***************************************
We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law. SuMi Trust provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application
$67k-93k yearly est. Auto-Apply 16d ago
Compliance Surveillance Analyst
Oppenheimer & Co 4.7
Compliance specialist job in New York
Who We Are:
Oppenheimer & Co. Inc. ( Oppenheimer ) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.
Job Description:
Oppenheimer's is seeking a Surveillance Analyst that will support the daily functions of the Compliance department. The role is based in New York.
Responsibilities:
Analyze current business processes and systems, define needs and document business change requirements
Monitor customer trading activity for suitability via surveillance alerts and reports
Review Financial Advisors, Branch Management and Branch Personnel to ensure they are following the policies and procedures of the Firm
Design, develop and test new monitoring reports
Regularly engage in verbal and written communications with business and support groups on compliance, sales practices, and best practices
Analyze problems and assisting with solving and good decision making
Collaborate with the other divisions within the Compliance Department on special projects
Understand and apply broker/dealer regulatory rules
Testing of 3130 Annual Certification of Compliance and Supervisory Processes
Requirements:
Bachelor s degree required; licenses a plus but not required
1-2 years of relevant work experience
Strong analysis, problem solving and decision making skills
Excellent communication skills and attention to detail are a must
Ability to follow directions and procedures accurately and thoroughly
Intermediate computer skills including Microsoft Office
Key criteria to have:
Being able to determine if a trade is in line (or not in line) with the new account form
Identifying suitability issues
KYC suitability reviews
Compensation:
For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $60,000.00 - $80,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
$60k-80k yearly 6d ago
Field Environmental Compliance Specialist
Penske 4.2
Compliance specialist job in New York
Due to the growth of the organization, the Environmental ComplianceSpecialist is critical to our goal of conducting business in a manner that protects the environment and maintains full compliance with federal, state, and local environmental regulations. This role provides boots-on-the-ground field support to Penske operations across the entire State of New York, ensuring consistent and reliable implementation of the company's environmental programs and procedures across all business units.
This position supports all Penske operations statewide, including truck leasing, logistics, collision repair, and customer on-site maintenance facilities. The Specialist will serve as the primary contact for environmental compliance across the region, overseeing the implementation of corporate environmental policies and programs; assisting during regulatory inspections; managing regulated waste; ensuring storage tank compliance; coordinating with vendors; providing field training; and supporting the ongoing development and improvement of Penske's environmental initiatives.
The Specialist will also collaborate closely with Penske's HQ Corporate Environmental Department to support environmental data collection, permit renewals, regulatory reporting, and maintenance of compliance calendars and documentation necessary for ongoing compliance with state and federal programs.
The role will interact regularly with a variety of federal, state, and local agencies that regulate environmental programs in New York.
This position reports to the Field Environmental Compliance Manager within Penske's Corporate Environmental Services department and will require frequent travel throughout New York. A company service vehicle will be provided.
Major Responsibilities
Conduct scheduled environmental compliance audits and field reviews across assigned New York locations.
Provide training, technical guidance, and follow-up support to operations and maintenance teams to correct non-compliance items.
Represent Penske during inspections or meetings with NYSDEC, NYC DEP, local fire departments, county health departments, and other agencies as required.
Collaborate with the Corporate Environmental Department to assist with data collection, permit applications and renewals, regulatory reporting, and maintenance of environmental compliance calendars and documentation.
Support implementation of corrective actions and verify closure within designated timeframes.
Administer and evaluate corporate environmental training programs at the field level.
Oversee startup, closure, or operational changes (including mobile maintenance) to ensure environmental compliance during transitions.
Coordinate and manage environmental vendors for waste disposal, tank services, remediation, and testing.
Support ongoing management of environmental programs including hazardous waste, petroleum bulk storage, SPDES stormwater, air permitting, spill prevention (SPCC), and recordkeeping.
Provide field support for environmental incidents, spills, or agency interactions as directed.
Participate in special projects and corporate initiatives to continuously improve Penske's environmental performance.
Qualifications
Qualifications
Bachelor's degree in Environmental Science, Environmental Engineering, Earth Science, Occupational Safety/Industrial Hygiene or a related field required.
Minimum of 3 years of experience in environmental compliance, preferably within the transportation, logistics, or maintenance industry.
Strong working knowledge of New York State environmental regulations, including NYSDEC petroleum bulk storage, hazardous waste generator standards, spill reporting, and stormwater programs.
Professional certifications (CHMM, REM, PG, PE) preferred.
Excellent organizational and time management skills with the ability to manage multiple inspections, agencies, and corrective actions statewide.
Proficient in Microsoft Office products; experience with Smartsheet or EHS data systems a plus.
Must be able to thrive in a diverse and multinational group of internal and external customers, vendors, and government agencies in multiple geographies.
Ability to travel up to 70% of work hours; company service vehicle provided (valid driver's license and MVR check required).
Requires strong communication skills and able to work well with others
Willingness to work the required schedule, work at the specific location required, complete Penske employment application, submit to a background investigation (to include past employment, education, and criminal history) and drug screening are required
Bilingual (English/Spanish) preferred.
Physical Requirements
The physical and mental demands described here are representative of those that must be met by an associate to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
The associate will be required to: read; communicate verbally and/or in written form; remember and analyze certain information; and remember and understand certain instructions or guidelines.
While performing the duties of this job, the associate may be required to stand, walk, and sit. The associate is frequently required to use hands to touch, handle, and feel, and to reach with hands and arms. The associate must be able to occasionally lift and/or move up to 25lbs/12kg.
Specific vision abilities required by this job include close vision, distance vision, peripheral vision, depth perception and the ability to adjust focus.
Penske is an Equal Opportunity Employer.
Position Details
Salary: $66,900 - $102,000 (based on experience and location)
Benefits: Penske offers a comprehensive benefits plan for associates and their families. To learn more, visit *****************************
$66.9k-102k yearly Auto-Apply 60d+ ago
BIC Compliance Analyst
Cooley 4.8
Compliance specialist job in New York, NY
Cooley is seeking a BIC Compliance Analyst to join the Business Intake and Conflicts team.
The BIC Compliance Analyst is responsible for ensuring compliance with risk management policies related to engagement letters, conflict waivers and ethical screens, using critical thinking, independent judgment and demonstrating a thorough understanding of the business needs when resolving issues. Specific duties and responsibilities include, but are not limited to, the following:
Position responsibilities:
Timely track and follow up on the completion of New Business requests pending executed engagement letters and conflict of interest waiver letters
Draft, set-up, and maintain Include Only ethical walls in the Firm's ethical walls database
Analyze, review and draft database warnings and alerts
Analyze and process matter name changes, including identifying existing or potential conflicts for each request by reviewing and analyzing conflict reports and supporting documents
Resolve outstanding requests from departing or departed timekeepers and secretaries
Interact regularly with partners - through email and telephone to investigate and resolve potential issues
Inform and advise firm attorneys and counsel of any special circumstances surrounding complicated forms
Assist when needed with all aspects of conflicts analysis
Awareness of current legal trends and information
Perform conflicts case law and legal ethics research
Provide conflicts training for secretaries, practice team assistants paralegals, attorneys, and other business professionals, as needed
Assist with department projects as necessary (e.g., IntApp Terms Project)
Participate in proof-of-concept testing of new technologies or solutions
All other duties as assigned or required
Skills and experience:
Required:
After orientation at Cooley LLP, exhibit proficiency in the Microsoft Office suite, iManage and other firm applications
Proficiency in IntApp Open and Contract Express or similar programs
Ability to work extended and/or weekend hours, as required
3+ years progressive experience in a law firm, legal environment or conflicts department
Knowledge of American Bar Association's Model Rules of Professional Conduct and California State Bar Association's Rules of Professional Conduct
Overall understanding of a corporate law practice
Experience conducting legal and corporate research
Preferred:
Bachelor's degree or JD
Knowledge and experience with complete conflicts resolution
Paralegal Certificate preferred or completion of an ethics course in paralegal program
Prior experience as a paralegal or legal researcher in a law firm
Competencies:
Strong analytical and critical thinking skills
Excellent communication (verbal and written) and interpersonal skills
Good judgment, strong analytical and critical thinking skills
Strong organizational skills with attention to details
Ability to work independently with minimal supervision
Comfortable in a fast-paced, challenging environment
Able to prioritize and juggle multiple tasks
Capable of and comfortable with communicating professionally with attorneys, directors, and managers
Ability to take on time sensitive matters while recognizing legal ethical rules
Excellent customer service skills
Cooley offers a competitive compensation and excellent benefits package and is committed to fair and equitable employment practices. EOE.
The expected hourly pay range for this position with a work schedule of 40 hours per week is $38.00 - $51.00 ($79,040.00 - $106,080.00 annually). Please note that final offer amount will be dependent on geographic location, applicable experience and skillset of the candidate.
We offer a full range of elective benefits including medical, health savings account (with applicable medical plan), dental, vision, health and/or dependent care flexible spending accounts, pre-tax commuter benefits, life insurance, AD&D, long-term care coverage, backup care for children and/or adults and other parental support benefits. In addition to elective benefit options, benefited employees receive firm-paid life insurance, AD&D, LTD, short term medical benefits as well as 20 days of Paid Time Off (“PTO”) and 10 paid holidays each year. We provide generous parental leave and fertility benefits. New employees will attend a detailed benefit orientation to learn more about our many benefits and resources.
$79k-106.1k yearly Auto-Apply 30d ago
Environmental Compliance Specialist
Reworld Solutions
Compliance specialist job in Niagara Falls, NY
Who we are
For more than 40 years, Reworld has been a leader in sustainable waste solutions, providing our customers with innovative solutions that help them achieve carbon-negative outcomes.
Our Vision
Reworld is leading the charge to a carbon-negative future through revolutionary sustainable materials management solutions that reduce, reuse, recycle and reimagine waste for the benefit of society and the environment.
Our Business
Reworld partners with businesses by offering cutting-edge engineering and innovative solutions, to help customers reduce, reuse, recycle and recover value from waste streams and meet or exceed their sustainability goals.
Our Value
Reworld's differentiator comes from our ecosystem of technology, facilities and partnerships, trusted by the world's largest organizations to reimagine waste management for a smarter, more sustainable world.
All that we're missing is you. Apply today!
About the role
Reporting to the Facility Manager, and supported by the Regional Environmental Manager, the Environmental Specialist is responsible for ensuring regulatory compliance and implementing and maintaining environmental management systems and programs at the Reworld Niagara I Thermomechanical Treatment facility (aka waste-to-energy). Essential responsibilities include:
Review and interpret continuous emissions monitoring system (CEMS) data regularly to ensure valid, quality-controlled data is recorded.
Collect samples for in-house analysis or third-party analytical services as required by environmental permits including stormwater and ash
Preparation and filing of reports required by environmental permits.
Preparation and filing of permit renewal and modification applications.
Liaison with environmental regulators for audits and inspections.
Perform facility inspections at least weekly to ensure permit compliance and good housekeeping.
Coordinate with contractors and consultants to complete permit required activities.
Maintain compliance with Reworld internal environmental standards.
Review waste profiles to ensure permit compliance.
Proactively work with facility management and operators to resolve and prevent environmental issues. Closely monitor the production and maintenance activities and assist in planning and executing scheduled outage work to ensure the facility maintains the highest environmental standards.
Complete root cause analyses for noncompliance and track corrective actions through completion.
Auditing of downstream facilities such as metal recyclers and landfills
Develop and complete environmental improvement projects.
Provide environmental training and technical assistance to facility employees to ensure compliance with applicable environmental regulations and company environmental policy.
Track new and changing environmental regulations that could impact facility.
Attend regular in-person and virtual meetings including daily morning meetings, monthly safety meetings and staff meetings.
Participate in community outreach activities in the Niagara Falls area in coordination with corporate and regional staff.
EDUCATION AND EXPERIENCE:
Bachelor's degree in engineering, environmental science or similar and a minimum of 5 years' experience in the environmental field; preferably solid waste.
A working knowledge of New York State and federal solid waste environmental regulations is a must.
Demonstrated experience developing permit applications and negotiating permit conditions for new permits and/or modification of permits.
Must have strong written and oral communications skills and demonstrate ability to work independently and creatively within the regulatory framework.
Must be comfortable conveying company environmental and sustainability messaging to various stakeholders.
Strong computer, technical, and writing skills are required.
The annual salary for this position is
between $86,000-106,000
. This is a good-faith estimate of what we expect to pay for this position. The final salary figure will take into account a variety of factors including experience, ability, and location. Reworld is committed to paying its staff equitably, and these ranges should not be considered career salary limits or caps.
All Reworld positions require a candidate's ability to perform the duties and responsibilities of the role while upholding Reworld's Values, including (but not limited to) contributing to a safe and inclusive workplace, delivering results through trust, and building breakthrough capabilities.
Please note that Level, Title and/or Salary may be adjusted based on the applicant's experience or skills.
Our DEI Commitment
Reworld is an Equal Opportunity Employer, has developed an Affirmative Action Program (AAP), and will not discriminate against any qualified applicants because of race, color, religion, sex, national origin, sexual orientation, gender identity, disability (including perceived disability, physical, mental, and/or intellectual disabilities), veteran status, liability for service in the Armed Forces of the United States, or any other characteristic protected by law.
Know Your Rights (Click to view poster)
If you are an individual with a disability or a disabled veteran, you may request a reasonable accommodation if you are unable or limited in your ability to access job openings or apply for a job on this site because of your disability. You can request reasonable accommodations by going to Reworldwaste.com and clicking on the ‘Contact Us' button. Under Inquires, select ‘Careers' in the Interest field, fill out all required fields including your message. In the message section, please note this is a ‘Job Application Accommodation Request'.
Attention Staffing Agencies & Search Firms
Reworld may sometimes selectively collaborate with staffing agencies and search firms (Agencies). Reworld will only consider candidates from Agencies with whom a signed agreement and a duly authorized work order (for a specific role) has been duly executed. Any unsolicited candidate submissions or candidate submissions from Agencies that do not meet these criteria, will be deemed invalid and ineligible for any fees.
$86k-106k yearly Auto-Apply 8d ago
Environmental Compliance Specialist
Reworld Projects
Compliance specialist job in Buffalo, NY
Who we are
For more than 40 years, Reworld has been a leader in sustainable waste solutions, providing our customers with innovative solutions that help them achieve carbon-negative outcomes.
Our Vision
Reworld is leading the charge to a carbon-negative future through revolutionary sustainable materials management solutions that reduce, reuse, recycle and reimagine waste for the benefit of society and the environment.
Our Business
Reworld partners with businesses by offering cutting-edge engineering and innovative solutions, to help customers reduce, reuse, recycle and recover value from waste streams and meet or exceed their sustainability goals.
Our Value
Reworld's differentiator comes from our ecosystem of technology, facilities and partnerships, trusted by the world's largest organizations to reimagine waste management for a smarter, more sustainable world.
All that we're missing is you. Apply today!
About the role
Reporting to the Facility Manager, and supported by the Regional Environmental Manager, the Environmental Specialist is responsible for ensuring regulatory compliance and implementing and maintaining environmental management systems and programs at the Reworld Niagara I Thermomechanical Treatment facility (aka waste-to-energy). Essential responsibilities include:
Review and interpret continuous emissions monitoring system (CEMS) data regularly to ensure valid, quality-controlled data is recorded.
Collect samples for in-house analysis or third-party analytical services as required by environmental permits including stormwater and ash
Preparation and filing of reports required by environmental permits.
Preparation and filing of permit renewal and modification applications.
Liaison with environmental regulators for audits and inspections.
Perform facility inspections at least weekly to ensure permit compliance and good housekeeping.
Coordinate with contractors and consultants to complete permit required activities.
Maintain compliance with Reworld internal environmental standards.
Review waste profiles to ensure permit compliance.
Proactively work with facility management and operators to resolve and prevent environmental issues. Closely monitor the production and maintenance activities and assist in planning and executing scheduled outage work to ensure the facility maintains the highest environmental standards.
Complete root cause analyses for noncompliance and track corrective actions through completion.
Auditing of downstream facilities such as metal recyclers and landfills
Develop and complete environmental improvement projects.
Provide environmental training and technical assistance to facility employees to ensure compliance with applicable environmental regulations and company environmental policy.
Track new and changing environmental regulations that could impact facility.
Attend regular in-person and virtual meetings including daily morning meetings, monthly safety meetings and staff meetings.
Participate in community outreach activities in the Niagara Falls area in coordination with corporate and regional staff.
EDUCATION AND EXPERIENCE:
Bachelor's degree in engineering, environmental science or similar and a minimum of 5 years' experience in the environmental field; preferably solid waste.
A working knowledge of New York State and federal solid waste environmental regulations is a must.
Demonstrated experience developing permit applications and negotiating permit conditions for new permits and/or modification of permits.
Must have strong written and oral communications skills and demonstrate ability to work independently and creatively within the regulatory framework.
Must be comfortable conveying company environmental and sustainability messaging to various stakeholders.
Strong computer, technical, and writing skills are required.
The annual salary for this position is
between $86,000-106,000
. This is a good-faith estimate of what we expect to pay for this position. The final salary figure will take into account a variety of factors including experience, ability, and location. Reworld is committed to paying its staff equitably, and these ranges should not be considered career salary limits or caps.
All Reworld positions require a candidate's ability to perform the duties and responsibilities of the role while upholding Reworld's Values, including (but not limited to) contributing to a safe and inclusive workplace, delivering results through trust, and building breakthrough capabilities.
Please note that Level, Title and/or Salary may be adjusted based on the applicant's experience or skills.
Our DEI Commitment
Reworld is an Equal Opportunity Employer, has developed an Affirmative Action Program (AAP), and will not discriminate against any qualified applicants because of race, color, religion, sex, national origin, sexual orientation, gender identity, disability (including perceived disability, physical, mental, and/or intellectual disabilities), veteran status, liability for service in the Armed Forces of the United States, or any other characteristic protected by law.
Know Your Rights (Click to view poster)
If you are an individual with a disability or a disabled veteran, you may request a reasonable accommodation if you are unable or limited in your ability to access job openings or apply for a job on this site because of your disability. You can request reasonable accommodations by going to Reworldwaste.com and clicking on the ‘Contact Us' button. Under Inquires, select ‘Careers' in the Interest field, fill out all required fields including your message. In the message section, please note this is a ‘Job Application Accommodation Request'.
Attention Staffing Agencies & Search Firms
Reworld may sometimes selectively collaborate with staffing agencies and search firms (Agencies). Reworld will only consider candidates from Agencies with whom a signed agreement and a duly authorized work order (for a specific role) has been duly executed. Any unsolicited candidate submissions or candidate submissions from Agencies that do not meet these criteria, will be deemed invalid and ineligible for any fees.
Contract Safety Professionals LLC is seeking a dedicated Biological Monitor (Environmental ComplianceSpecialist) for a confidential, world -leading client in the semiconductor industry located in Clay, NY.
This is a unique opportunity to play a critical role in a landmark project, ensuring the highest standards of environmental stewardship and protected species compliance are met through meticulous monitoring and oversight.
Your Mission: Oversight & Compliance
As the designated Biological Monitor, you will be the on -the -ground expert responsible for overseeing the implementation of all Best Management Practices (BMPs) and mitigation measures. Your work will be essential to protecting sensitive habitats and species, including federally protected bats.
Key Responsibilities:
Habitat & Landscape Management: Oversee the protection of ~367 acres of permanently conserved habitat, including forested roosting areas, wetlands, and successional fields. Ensure the use of native plants and proper buffer management to reduce habitat fragmentation.
Acoustic Monitoring Program: Lead the bat acoustic monitoring program in accordance with USFWS guidelines. This includes deploying a minimum of 8 -13 acoustic recorders, downloading data every 2 -3 weeks, and processing findings.
Reporting & Coordination: Prepare and submit the annual data report for client and USFWS review. Coordinate and contribute data to broader bat mitigation research efforts on artificial light and construction noise.
Construction Compliance: Enforce strict construction timing (e.g., no construction past 10 PM) and seasonal tree clearing windows (Nov 1 - Mar 31) to minimize ecological disturbance. Monitor adherence to noise and lighting reduction BMPs.
Regulatory Liaison: Develop and submit the "Study Plan" to the USFWS for approval prior to monitoring activities, ensuring all protocols meet or exceed agency guidelines.
Requirements
Bachelor's degree in Biology, Environmental Science, Ecology, or a closely related field.
A minimum of 2 years of professional experience in environmental monitoring, ecological oversight, or a related compliance role.
Direct experience with field data collection, environmental BMPs, and regulatory reporting.
Strong attention to detail, problem -solving skills, and the ability to work independently.
Proficiency with data management and reporting.
Preferred Qualifications (What Will Make You Stand Out):
Master's degree in a relevant biological or environmental field.
Specific experience with bat acoustic monitoring, survey methodologies, and USFWS guidelines.
Experience with habitat conservation plans, conservation easements, or working on large -scale construction projects.
Familiarity with LEED standards, particularly for sustainable sites (SS8).
$49k-71k yearly est. 60d+ ago
Compliance Director - 1910
Bhired
Compliance specialist job in New York, NY
A growing healthcare company is seeking an experienced Compliance Officer to oversee compliance operations and ensure adherence to regulatory requirements. This role requires a strong understanding of OMIG or similar compliance frameworks and the ability to create, implement, and monitor compliance systems across the organization.
Responsibilities
Oversee compliance programs and policies across the company
Conduct regular audits, reviews, and risk assessments
Serve as the point of contact for compliance-related questions and concerns
Develop and deliver company-wide compliance training programs
Ensure compliance with all applicable federal, state, and local regulations
Report findings to senior leadership and recommend corrective actions
Qualifications
Proven experience as a Compliance Officer, preferably within healthcare
Knowledge of OMIG compliance or related regulatory frameworks
Strong auditing and investigative skills
Excellent communication, training, and presentation abilities
High level of integrity, professionalism, and attention to detail
Salary: $115k - $130k/Year
To apply, please send your resume to *******************
#J-18808-Ljbffr
$115k-130k yearly 1d ago
Compliance Surveillance Analyst
Oppenheimer & Co 4.7
Compliance specialist job in New York, NY
Who We Are: Oppenheimer & Co. Inc. (Oppenheimer) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.
Job Description:
Oppenheimer's is seeking a Surveillance Analyst that will support the daily functions of the Compliance department. The role is based in New York.
Responsibilities:
* Analyze current business processes and systems, define needs and document business change requirements
* Monitor customer trading activity for suitability via surveillance alerts and reports
* Review Financial Advisors, Branch Management and Branch Personnel to ensure they are following the policies and procedures of the Firm
* Design, develop and test new monitoring reports
* Regularly engage in verbal and written communications with business and support groups on compliance, sales practices, and best practices
* Analyze problems and assisting with solving and good decision making
* Collaborate with the other divisions within the Compliance Department on special projects
* Understand and apply broker/dealer regulatory rules
* Testing of 3130 Annual Certification of Compliance and Supervisory Processes
Requirements:
* Bachelors degree required; licenses a plus but not required
* 1-2 years of relevant work experience
* Strong analysis, problem solving and decision making skills
* Excellent communication skills and attention to detail are a must
* Ability to follow directions and procedures accurately and thoroughly
* Intermediate computer skills including Microsoft Office
Key criteria to have:
* Being able to determine if a trade is in line (or not in line) with the new account form
* Identifying suitability issues
* KYC suitability reviews
Compensation:
For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $60,000.00 - $80,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
$60k-80k yearly 7d ago
Field Environmental Compliance Specialist
Penske 4.2
Compliance specialist job in New York, NY
Due to the growth of the organization, the Environmental ComplianceSpecialist is critical to our goal of conducting business in a manner that protects the environment and maintains full compliance with federal, state, and local environmental regulations. This role provides boots-on-the-ground field support to Penske operations across the entire State of New York, ensuring consistent and reliable implementation of the company's environmental programs and procedures across all business units.
This position supports all Penske operations statewide, including truck leasing, logistics, collision repair, and customer on-site maintenance facilities. The Specialist will serve as the primary contact for environmental compliance across the region, overseeing the implementation of corporate environmental policies and programs; assisting during regulatory inspections; managing regulated waste; ensuring storage tank compliance; coordinating with vendors; providing field training; and supporting the ongoing development and improvement of Penske's environmental initiatives.
The Specialist will also collaborate closely with Penske's HQ Corporate Environmental Department to support environmental data collection, permit renewals, regulatory reporting, and maintenance of compliance calendars and documentation necessary for ongoing compliance with state and federal programs.
The role will interact regularly with a variety of federal, state, and local agencies that regulate environmental programs in New York.
This position reports to the Field Environmental Compliance Manager within Penske's Corporate Environmental Services department and will require frequent travel throughout New York. A company service vehicle will be provided.
Major Responsibilities
* Conduct scheduled environmental compliance audits and field reviews across assigned New York locations.
* Provide training, technical guidance, and follow-up support to operations and maintenance teams to correct non-compliance items.
* Represent Penske during inspections or meetings with NYSDEC, NYC DEP, local fire departments, county health departments, and other agencies as required.
* Collaborate with the Corporate Environmental Department to assist with data collection, permit applications and renewals, regulatory reporting, and maintenance of environmental compliance calendars and documentation.
* Support implementation of corrective actions and verify closure within designated timeframes.
* Administer and evaluate corporate environmental training programs at the field level.
* Oversee startup, closure, or operational changes (including mobile maintenance) to ensure environmental compliance during transitions.
* Coordinate and manage environmental vendors for waste disposal, tank services, remediation, and testing.
* Support ongoing management of environmental programs including hazardous waste, petroleum bulk storage, SPDES stormwater, air permitting, spill prevention (SPCC), and recordkeeping.
* Provide field support for environmental incidents, spills, or agency interactions as directed.
* Participate in special projects and corporate initiatives to continuously improve Penske's environmental performance.
Qualifications
* Bachelor's degree in Environmental Science, Environmental Engineering, Earth Science, Occupational Safety/Industrial Hygiene or a related field required.
* Minimum of 3 years of experience in environmental compliance, preferably within the transportation, logistics, or maintenance industry.
* Strong working knowledge of New York State environmental regulations, including NYSDEC petroleum bulk storage, hazardous waste generator standards, spill reporting, and stormwater programs.
* Professional certifications (CHMM, REM, PG, PE) preferred.
* Excellent organizational and time management skills with the ability to manage multiple inspections, agencies, and corrective actions statewide.
* Proficient in Microsoft Office products; experience with Smartsheet or EHS data systems a plus.
* Must be able to thrive in a diverse and multinational group of internal and external customers, vendors, and government agencies in multiple geographies.
* Ability to travel up to 70% of work hours; company service vehicle provided (valid driver's license and MVR check required).
* Requires strong communication skills and able to work well with others
* Willingness to work the required schedule, work at the specific location required, complete Penske employment application, submit to a background investigation (to include past employment, education, and criminal history) and drug screening are required
* Bilingual (English/Spanish) preferred.
Physical Requirements
* The physical and mental demands described here are representative of those that must be met by an associate to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
* The associate will be required to: read; communicate verbally and/or in written form; remember and analyze certain information; and remember and understand certain instructions or guidelines.
* While performing the duties of this job, the associate may be required to stand, walk, and sit. The associate is frequently required to use hands to touch, handle, and feel, and to reach with hands and arms. The associate must be able to occasionally lift and/or move up to 25lbs/12kg.
* Specific vision abilities required by this job include close vision, distance vision, peripheral vision, depth perception and the ability to adjust focus.
Penske is an Equal Opportunity Employer.
Position Details
Salary: $66,900 - $102,000 (based on experience and location)
Benefits: Penske offers a comprehensive benefits plan for associates and their families. To learn more, visit *****************************
About Penske Truck Leasing/Transportation Solutions
Penske Truck Leasing/Transportation Solutions is a premier global transportation provider that delivers essential and innovative transportation, logistics and technology services to help companies and people move forward. With headquarters in Reading, PA, Penske and its associates are driven by a dedication to excellence and a commitment to customer success. Visit Go Penske to learn more.
Job Category: Other Corporate
Job Family: Health, Safety, & Security
Address: 11 W 141st St
Primary Location: US-NY-New York
Employer: Penske Truck Leasing Co., L.P.
Req ID: 2511594