Compliance specialist jobs in North Bergen, NJ - 593 jobs

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. #J-18808-Ljbffr

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.

Type: Perm (Contingency) Job #47702 Salary: $95,000 Job Overview - Senior Compliance Analyst (Broker-Dealer) Compensation: $95,000 - $125,000/year + bonus Schedule: Monday to Friday (Hybrid) Atlantic Group is hiring a Senior Compliance Analyst (Broker-Dealer) in New York, NY for our client, supporting broker-dealer registration, licensing, and onboarding compliance across FINRA, SEC, and state regulatory requirements. This hybrid role oversees new hire registrations, FINRA Gateway filings, and regulatory recordkeeping while partnering closely with compliance, supervision, and business teams to ensure accurate reporting, regulatory adherence, and timely execution in a fast-paced financial services environment. Responsibilities as the Senior Compliance Analyst: Registration & Regulatory Filings: Manage and process FINRA Gateway filings including Forms U4, U5, BD, BR, and applicable NFA filings, ensuring accuracy and timely submission. Onboarding & Registration Oversight: Oversee pre-hire and onboarding compliance processes, including background checks, fingerprinting, required disclosures, and Code of Ethics affirmations. Registration Records Management: Maintain accurate registration and licensing records in internal systems in compliance with regulatory recordkeeping requirements. Regulatory Reporting & Inquiries: Prepare reporting for management and compliance teams and research and respond to regulatory inquiries related to disclosures and disciplinary matters. Licensing, Surveillance & Audit Support: Coordinate licensing and exam requirements, support compliance surveillance activities, and assist with audits and regulatory examinations. Qualifications for the Senior Compliance Analyst: Education: Bachelor's degree in Finance, Business, Accounting, or a related field required. Experience: 3-5 years of broker-dealer compliance experience with a focus on registration, licensing, or onboarding. Industry Knowledge: Strong understanding of FINRA, SEC, and state registration requirements, including CRD, IARD, and NFA platforms, with familiarity with continuing education and licensing obligations. Systems & Tools: Proficiency in FINRA Gateway, CRD, IARD, and NFA ORS, with strong working knowledge of Workday, Excel, and Microsoft Office. Skills & Attributes: Highly organized, detail-oriented professional with strong communication skills, the ability to manage multiple deadlines, and adaptability to changing regulatory requirements. 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. Your Name: Email Address: Phone Number: Upload Resume File: Upload Resume File: ... Attach a resume file. Accepted file types are DOC, DOCX, PDF, HTML, and TXT. By submitting this application, you give us permission to store your personal information, and use it in the consideration of your fitness for the position, including sharing it with the hiring firm. By submitting this application, you agree to our Terms of Service. People looking for jobs should not put anything here. We are uploading your application. It may take a few moments to read your resume. Please wait!

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 **************.

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

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

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.

To provide data-led expert oversight and check and challenge on business and compliance matters to evidence that the organisation is operating in a compliance with Barclays legal, regulatory and ethical responsibilities. Accountabilities. Identificat Compliance, VP, Commission, Operations, Business, Banking, Business Services

Oversee and file with state insurance regulators forms, rates and rules developed by Product Development and Underwriting utilizing the Filing Ramp software application. Develop filing strategies to further the most efficient admitted project impleme Compliance Analyst, Product Development, Compliance, Analyst, Senior, Insurance, Technology

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.

This is an exceptional opportunity to join a company that is a leading global scientific/biotech research organization and Fortune 500 world leader in serving science! Adecco is currently assisting one of its clients in their search for a Compliance Specialist in Ridgefield, NJ! Pay rate: $20 - $25/hr (dependent on experience) Shift availability: Mon - Fri, 8a-5p 24 months The Compliance Specialist is responsible to support Manufacturing by investigating, authoring and managing non-conformance reports (NCRs) for production and environmental monitoring (EM) events. Assign corrective and preventative actions (CAPAs) and effectiveness checks (ECs) to address issues identified throughout production. Work with cross-functional teams, including production, quality control, quality assurance and facilities, to ensure efficient problem-solving and resolution of non-conformance issues. Communicate findings, actions, and improvements to relevant stakeholders and management. For instant consideration for this role, click on Apply Now and don't forget to upload your resume! Responsibilities for this Compliance Specialist include but are not limited to: Non-Conformance Report (NCR) Management: Investigate both significant and non-significant NCRs for production and EM events. Analyze data and identify the root causes to ensure a thorough investigation and identification of underlying issues. Write and maintain comprehensive NCR reports, including all necessary details such as cause, impact, and actions taken. Corrective and Preventative Actions (CAPA): Work closely with cross-functional teams to develop and implement corrective and preventative actions in response to NCR findings. Ensure CAPAs are well-defined, actionable, and address the root cause effectively. Monitor and track the progress of CAPAs, ensuring timely resolution and documentation of outcomes. Effectiveness Checks (EC): Conduct effectiveness checks (ECs) to assess the success of implemented CAPAs and NCR resolutions. Analyze the results of effectiveness checks to ensure that corrective actions have been effective in preventing recurrence. Recommend further adjustments to CAPAs if necessary, based on the effectiveness checks. Education/Certification Requirements: High School Diploma or GED (+ 8 years of experience) Bachelor's degree (+ 3 years of experience) Experience requirements for this Compliance Specialist: 3+ years of manufacturing, quality assurance, or related field experience Experience managing NCR's, CAPA's and EC's Proficient with MS Office Suite (Word and Excel) GMP knowledge and FDA guidelines Strong analytical, problem-solving, and investigative skills Excellent communication skills As a reminder, this role is being recruited for by one of our National Recruitment Teams and not your local Branch. In order to be considered, please follow the steps included upon your application. If you are interested in an Compliance Specialist in Ridgefield, NJ APPLY NOW for instant consideration! Benefit offerings available for our associates include medical, dental, vision, life insurance, short-term disability, additional voluntary benefits, EAP program, commuter benefits and a 401K plan. Our benefit offerings provide employees the flexibility to choose the type of coverage that meets their individual needs. In addition, our associates may be eligible for paid leave including Paid Sick Leave or any other paid leave required by Federal, State, or local law, as well as Holiday pay where applicable. Equal Opportunity Employer/Veterans/Disabled To read our Candidate Privacy Information Statement, which explains how we will use your information, please navigate to ********************************************** The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable: The California Fair Chance Act Los Angeles City Fair Chance Ordinance Los Angeles County Fair Chance Ordinance for Employers San Francisco Fair Chance Ordinance

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

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

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

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

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 ***********************

Available Start Dates: Summer 2026 About the role AlphaSights is composed of ambitious professionals committed to accelerating progress for our clients and helping them make more informed decisions. As a Legal & Compliance Associate, you will be joining our high-performing global Client Protection team (you can learn more about our Legal & Compliance team by watching a video here) that works closely with our core service delivery teams to ensure our clients are always served to the highest compliance standards while enabling AlphaSights' fast-growing commercial success. You will monitor client requests, develop and implement new policies and compliance products, anticipate possible business roadblocks, train our employees, and provide guidance and advice to our delivery teams on a daily basis. You'll need to think quickly and critically, have meticulous attention to detail, and strong verbal and written communication. You'll be working on several short term and long term requests at once, you'll quickly develop effective communication, prioritization and project and client management skills. Responsibilities include: Monitor active projects to flag and mitigate potential risks Provide guidance to delivery teams on the projects they are working on Work with the rest of your regional and global team on long-term projects to anticipate, develop and set cutting edge industry standards in this rapidly growing sector. Collaborate with key internal stakeholders globally to drive progress, behavioral and procedural enhancements Design and implement global operational policies and processes that protect our clients Create and deliver tailored in-person and e-learning trainings to our delivery teams This is a fast-paced, cross-functional role with a clear focus on problem solving, attention to detail, creative thinking, innovation and results. Legal & Compliance Associates who succeed at AlphaSights often embark on successful careers in compliance, risk or operational leadership. What we look for AlphaSights welcomes candidates with different backgrounds and experiences. Here are some qualities that many of our successful applicants possess: The drive and resilience to deliver excellent service amidst tight timelines and changing circumstances Career maturity and alignment - clarity of direction, commitment to getting there and awareness of how Client Protection at AlphaSights fits with your journey People-oriented, emotionally intelligent team player - ability to de-escalate situations patiently and calmly, yet quickly and effectively Strong communication skills - ability to communicate complex topics clearly and effectively both in writing and in person Critical thinkers - comfortable assessing complex situations and making nuanced decisions based on policies and processes Requirements Bachelor's degree, with strong academic credentials in any field and noteworthy extracurricular leadership 0-1 year of work experience; preferred in related fields such as law, risk management, consulting, operations or compliance. Recent graduates with high potential are also welcomed Track record of strong academic performance (minimum GPA of 3.5) Extracurricular achievement throughout school and university Fluency in written and spoken English is essential. Fluency in a relevant foreign language is a plus Compensation and benefits Compensation: $80,000-$90,000 17 vacation days, 10 company holidays, and an end of year break between Christmas Day and New Year's Day Competitive medical, dental, and vision insurance. 401(k) match - 4% of your total compensation matched dollar-for-dollar Prime midtown office with state-of-the-art amenities; option to WFH each Friday and four extra days/quarter AlphaSights is an equal-opportunity employer.

Due to the growth of the organization, the Environmental Compliance Specialist 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 New York Metro Area, ensuring consistent and reliable implementation of the company's environmental programs and procedures across all business units. This position supports all Penske operations across the region, 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 and the surrounding area. 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

Type: Perm (Contingency) Job #47700 Salary: $85,000 Job Overview - Compliance Analyst (Investment Management) Compensation: $85,000 - $105,000/year + bonus Schedule: Monday to Friday (Hybrid) Atlantic Group is hiring a Compliance Analyst (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 Compliance Analyst: 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 Compliance Analyst: 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. Your Name: Email Address: Phone Number: Upload Resume File: Upload Resume File: ... Attach a resume file. Accepted file types are DOC, DOCX, PDF, HTML, and TXT. By submitting this application, you give us permission to store your personal information, and use it in the consideration of your fitness for the position, including sharing it with the hiring firm. By submitting this application, you agree to our Terms of Service. People looking for jobs should not put anything here. We are uploading your application. It may take a few moments to read your resume. Please wait!