Compliance specialist jobs in Upper Darby, PA - 132 jobs
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Compliance Specialist
Compliance Analyst
Compliance Manager
Compliance Consultant
STP Management Corporation 4.4
Compliance specialist job in West Chester, PA
STP Investment Services is a premier, tech-enabled financial services provider, delivering a comprehensive line of investment middle-office operations outsourcing, integrated managed services, fund administration and compliance solutions to our global client franchise. With offices in the United States and India, STP provides a broad range of services to the asset management industry with capabilities to process all asset classes and meet ever-evolving business requirements.
Summary/Objective
The Compliance Consultant will provide expert advice to the company's clients regarding Advisers Act concepts and compliance with regulatory requirements applicable to private fund advisers, institutional advisers, and wealth managers.
Essential Functions
In this role you will execute on the compliance-related services offered to our clients. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Preparation, review and submission of regulatory filings, including Form ADV and Form PF.
Development and maintenance of client's written compliance policies and procedures, Code of Ethics and other policies, in collaboration with client.
Deliver periodic compliance training to clients' staff.
Perform annual compliance reviews in accordance with Rule 206(4)-7 of the Advisers Act.
Perform compliance reviews of client's marketing materials.
Oversee reviews of our managed services, including electronic communication reviews and Code of Ethics reviews.
Provide general compliance consulting, support and guidance to clients undergoing a regulatory (SEC or state) examination
Conduct SEC mock examinations.
Provide general compliance consulting applicable to a client's business, including consulting regarding policies ancillary to the Investment Advisers Act of 1940, such as Regulation S-P and Regulation S-ID.
Stay current on new and pending rulemaking applicable to registered investment advisers.
Requirements
Competencies
Commitment to high standards of customer service and support, focusing on providing value and satisfaction to clients.
Practice active listening to understand client perspective and concerns.
Provide sound, rational guidance, even in the face of client resistance.
Ability to convey complex ideas simply and effectively.
Strong interpersonal skills to build trust and rapport with client.
Required Education and Experience
Minimum 8 years experience as a senior compliance officer or adviser for registered investment advisory firm(s), including at least 5 years of experience working with private fund advisers.
Strong knowledge of Investment Advisers Act of 1940 as well as other regulations relevant to registered investment advisers
Bachelor's degree from an accredited college/university.
Preferred Education and Experience
Experience working in a compliance environment with various types of registered investment advisers, including wealth managers and institutional asset managers.
$67k-87k yearly est. 16d ago
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Privacy and Compliance Specialist
Maximus 4.3
Compliance specialist job in Wilmington, DE
Description & Requirements Maximus is currently hiring for a Privacy and ComplianceSpecialist to support our Arkansas No Wrong Door project. This is a remote position, with travel to Little Rock, AR required as business and/or client needs arise. The Privacy & ComplianceSpecialist will provide advice on compliance matters, guiding management and staff in maintaining a compliant and confidential operational environment. This position will integrate compliance measures and ensure seamless adherence to privacy protocols. This position is responsible for assessing and enforcing all state and federal mandated privacy policies.
*This position is contingent upon contract award.*
Why Maximus?
Work/Life Balance Support - Flexibility tailored to your needs!
• Competitive Compensation - Bonuses based on performance included!
•Comprehensive Insurance Coverage - Choose from various plans, including Medical, Dental, Vision, Prescription, and partially funded HSA. Additionally, enjoy Life insurance benefits and discounts on Auto, Home, Renter's, and Pet insurance.
• Future Planning - Prepare for retirement with our 401K Retirement Savings plan and Company Matching
• Paid Time Off Package - Enjoy PTO, Holidays, and extended sick leave, along with Short and Long Term Disability coverage.
• Holistic Wellness Support - Access resources for physical, emotional, and financial wellness through our Employee Assistance Program (EAP).
• Recognition Platform - Acknowledge and appreciate outstanding employee contributions.
• Tuition Reimbursement - Invest in your ongoing education and development.
• Employee Perks and Discounts - Additional benefits and discounts exclusively for employees.
• Maximus Wellness Program and Resources - Access a range of wellness programs and resources tailored to your needs.
•Professional Development Opportunities: Participate in training programs, workshops, and conferences.
Essential Duties and Responsibilities:
- Review reported incidents related to potential or actual privacy, security, or data breaches.
- Coordinate the incident or breach management process (as appropriate) with project management, DOH and the corporate Privacy and Data Protection Office.
- Work with project management, DOH and the corporate Privacy and Data Protection Office to develop and disseminate all required notifications of suspected or actual breach of protection of protected health information or personally identifiable information.
- Mentor Privacy Specialists with incident investigations and review privacy reports and deliverables.
- Conduct project related privacy risk assessments and internal audits.
- Review privacy practices and supports periodic compliance audits of sub-contractors and vendors for the project site to assure compliance with contract requirements, quality principles and Business Associate Agreements.
- Manage the collection, analysis and reporting of privacy program data and metrics.
- Develop departmental work instructions and reference materials.
- Develop project privacy and security training and awareness materials.
- Conduct training regarding compliance, privacy, and quality awareness.
- Prepare data in support of regularly scheduled meetings, facilitating as required.
- Support the effectiveness of the quality management system and complies with ISO 9001.
- Support the Compliance Manager with assigned duties and acts as the department's subject matter expert.
- Responsible for maintaining confidentiality in daily tasks.
- Maintain current knowledge of the federal and state rules, regulations, and guidance related to security and privacy including but not limited to HIPAA, HITECH, Federal Exchange regulations (ACA regulations).
- Maintain awareness of corporate and project privacy and security policies and procedures.
- Develop, maintain, document and report on the Contractor's privacy measures.
- Ensure the system complies with all current and future federal and state privacy regulations and standards.
- Conduct audits and implement safeguards to maintain data integrity and confidentiality, specifically in regard to Protected Health Information (PHI) and Personally Identifiable Information (PII).
- Lead initiatives to train contractor and DHS employees, as requested, on compliance requirements and privacy best practices.
- Provides support for external privacy audits. The Privacy & ComplianceSpecialist position is not required to be onsite; however, the client will require travel to our site in Little Rock, AR for the purpose of training, audits, and/or compliance review.
Minimum Requirements
- Bachelor's degree in relevant field of study and 5+ years of relevant professional experience required, or equivalent combination of education and experience.
- Must possess a minimum of five (5) years of experience managing or in a key management position for a large-scale government human services project, including a minimum of three (3) years of that experience in a Privacy Officer role (or a role of similar scope and responsibility).
- Must have excellent communication skills, writing skills, facilitation skills, and formal presentation skills.
- Must be willing and able to travel to Little Rock, AR as business and/or client needs dictate.
- Preferred Certifications: Certified Health Care Privacy and Security (CHPS), Certified in Cybersecurity (CC), OffSec Certified Professional (OSCP), OffSec Certified Professional Plus (OSCP+), Junior Penetration Tester (PT1), Practical SOC Analyst Associate (PSAA), Practical Web Pentest Associate (PWPA), Practical Web Pentest Professional (PWPP), Practical Junior Penetration Tester (PJPT), Practical Network Penetration Tester (PNPT), Certified Information Privacy Professional (CIPP), or Certified Ethical Hacker (CEH).
Home Office Requirements:
- Internet speed of 20mbps or higher required (you can test this by going to *******************
- Connectivity to the internet via either Wi-Fi or Category 5 or 6 ethernet patch cable to the home router.
- Must currently and permanently reside in the Continental US.
EEO Statement
Maximus is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, age, national origin, disability, veteran status, genetic information and other legally protected characteristics.
Pay Transparency
Maximus compensation is based on various factors including but not limited to job location, a candidate's education, training, experience, expected quality and quantity of work, required travel (if any), external market and internal value analysis including seniority and merit systems, as well as internal pay alignment. Annual salary is just one component of Maximus's total compensation package. Other rewards may include short- and long-term incentives as well as program-specific awards. Additionally, Maximus provides a variety of benefits to employees, including health insurance coverage, life and disability insurance, a retirement savings plan, paid holidays and paid time off. Compensation ranges may differ based on contract value but will be commensurate with job duties and relevant work experience. An applicant's salary history will not be used in determining compensation. Maximus will comply with regulatory minimum wage rates and exempt salary thresholds in all instances.
Accommodations
Maximus provides reasonable accommodations to individuals requiring assistance during any phase of the employment process due to a disability, medical condition, or physical or mental impairment. If you require assistance at any stage of the employment process-including accessing job postings, completing assessments, or participating in interviews,-please contact People Operations at **************************.
Minimum Salary
$
68,900.00
Maximum Salary
$
75,000.00
$63k-93k yearly est. Easy Apply 6d ago
Compliance Specialist
Ingerman 3.6
Compliance specialist job in Collingswood, NJ
Full-time Description
Here, job satisfaction is part of every job description.
It's not just the chance to go as far as your talent and determination can take you. It's knowing that what you do makes a real difference in the lives of real people every day.
The ComplianceSpecialist is responsible for ensuring compliance in all aspects of LIHTC, HUD, Public Housing, HOME and other regulatory agency requirements. This includes delivering a consistent, accurate and high-quality work product that meets or exceeds regulatory agencies' expectations, maintaining a strong knowledge of program requirements and protocols, building professional mutually beneficial relationships with state agencies, contract administrators, colleagues, internal customers and key stakeholders, and responding to contacts in a timely and proficient manner.
Requirements
Knowledge, Skills, and Abilities
High school diploma or GED required, Associate or Bachelor degree preferred
Rural Development experience required
HCCP, TCS, SHCM or similar LIHTC certification required. HUD-COS Certification (or similar) a plus.
Minimum of 3 years of experience working as a ComplianceSpecialist, Occupancy Specialist or Affordable Housing Property Manager-with hands-on compliance experience
Prior experience with Lease ups, Initial and ongoing investor audits and State Agency audits a must.
Prior experience with preparing and submitting Section 8 vouchers via TRACS 202D, troubleshooting issues/errors via HUD Secure System and the MAT guide, and good working knowledge of EIV a plus.
Must have experience in preparation of Annual Owner's Certifications and all related report preparation.
Excellent written and verbal communication skills
Advanced customer service and problem-solving skills
Advanced organizational and time management skills-must work well independently and with others
Technically proficient in Microsoft Office
Ability to multi-task in a fast-paced, action-oriented environment
Ability to establish relationships across the organization and at various hierarchical levels
Ability to travel up to 25% of the time; must possess a valid driver's license and reliable transportation
Ability to effectively conduct how-to training on the certification/recertification processes, application process, compliance workflow in Yardi and other compliance policies and procedures
WE'VE GOT YOU COVERED
We take pride in supporting the health and well-being of our teammates and their families:
Full medical, prescription, dental and vision benefits
Company paid life and AD&D insurance
Company paid short-term and long-term disability
A 401(k) retirement plan with company match
Paid time off, accrued based on years of service
Supplemental insurance for employees and families
Employee Assistance Program for confidential counseling
Additional paid day off to provide community or charitable services
Paid holidays; approximately eight per year
Peace of mind and a great working environment
Ingerman provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics.
#HP
Salary Description $65,000-$70,000 annual plus bons potential
$65k-70k yearly 24d ago
Civil Rights Compliance Specialist
Human Resources 3.8
Compliance specialist job in Philadelphia, PA
Civil Rights ComplianceSpecialist - (25003449) Description Temple University's Ethics and Compliance division is searching for a Civil Rights ComplianceSpecialist! Become a part of the Temple family, and you will have access to the following: Full medical, dental, and vision coverage Paid time off11 Paid Holidays Tuition remission - eligible employees and their dependents can obtain a degree TUITION FREEA generous retirement plan and so much more! Salary Grade: T26Learn more about the “T” salary structure here: ****************
temple.
edu/sites/careers/files/documents/T_Salary_Structure.
pdfA variety of important factors are reviewed by HR when considering salary, including job duties, the applicant's education and experience, all relevant internal equity considerations, department budget, and funding source.
Pay Range: $60,000-$80,000 (annually) Position Summary The Civil Rights ComplianceSpecialist is responsible for the intake of complaints made to the Civil Rights Compliance Unit within the Ethics and Compliance Office.
The specialist is responsible for the coordination of supportive measures for individuals involved in reports of sexual misconduct, discrimination, harassment, or related matters that include, but are not limited to Title VI, Title VII, Title IX, and university policy.
This position ensures a compassionate, trauma-informed, and equitable response to impacted parties while maintaining compliance with federal and state laws and university policies.
Required Education and Experience - Bachelor's degree in higher education, counseling, human resources, or a related field.
- Minimum of 2-3 years of relevant experience in student affairs, case management, Title IX compliance, Title VI compliance, ADA, or similar work.
- Knowledge of Title IX, Title VI, Title VII, ADA, VAWA, Clery Act, and other laws related to discrimination and harassment in education.
- Experience providing trauma-informed, student- or employee centered support.
- Strong interpersonal skills, including the ability to work with diverse populations and maintain neutrality in sensitive situations.
- Excellent organizational and case management skills.
- Demonstrated ability to work with sensitive and complex issues with a high degree of confidentiality and professionalism.
- Strong interpersonal, communication, and facilitation skills Required Skills and Abilities- Strong interpersonal and communication skills, with the ability to remain neutral and sensitive to all parties.
- Excellent organizational, analytical, and problem-solving abilities.
- Capacity to handle confidential and sensitive information with discretion.
- Commitment to equity and creating an inclusive campus climate.
- Ability to organize and manage multiple responsibilities effectively and timely- Working knowledge of all applicable computer software, and management skills (including planning, negotiation, and communication skills Preferred- Master's degree in counseling, higher education, law, social work, or related field.
- Prior experience in a Title IX, Title VI, or Equal Opportunity office at a higher education institution, including experience investigating complaints.
- Experience with case management software This position requires a background check.
This position is assigned a hybrid work arrangement (on-campus and remote), the duration of this hybrid work arrangement is at the discretion of Temple University and the Department.
Temple University: Temple University values diversity and is committed to equal opportunity for all persons regardless of age, color, disability, ethnicity, marital status, national origin, race, religion, sex, sexual orientation, veteran status, or any other status protected by law.
Compliance Statement: In the performance of their functions as detailed in the position description employees have an obligation to avoid ethical, legal, financial and other conflicts of interest to ensure that their actions and outside activities do not conflict with their primary employment responsibilities at the institution.
Employees are also expected to understand and be in compliance with applicable laws, University and employment policies and regulations, including NCAA regulations for areas and departments which their essential functions cause them to interact.
Temple University's Annual Security and Fire Safety Report contains statistics, policies, and procedures related to campus safety.
Go here to review: ***************
temple.
edu/reports-logs/annual-security-report You may request a copy of the report by calling Temple University's Campus Safety Services at ************.
Primary Location: Pennsylvania-Philadelphia-Main CampusJob: StaffSchedule: Full-time Shift: Day JobEmployee Status: Regular
$60k-80k yearly Auto-Apply 16h ago
Trade & Compliance Specialist
Ben Aris
Compliance specialist job in Philadelphia, PA
Trade & ComplianceSpecialist - NO VISA SPONSORSHIP AVAILABLE I am seeking to fill the position of Trade & ComplianceSpecialist with a major polyurethane company. The primary responsibilities will include but are not limited to:
Review and interpret U.S. trade regulations and provide necessary guidance to internal team.
Establish and implement procedures to ensure compliance with appropriate regulations.
Review business transactions and ensure compliance with the necessary authorities.
Review importation and exportation to maintain duty draw back process and apply for drawback accordingly.
Work with external tax experts to develop tax compliance process.
Review import process and tariff calculation and payment
Review bonded warehouse process and make sure importation and exportation are in line with regulations.
Coordinate with customs broker to complete CBP documents filing of inbound/outbound of bonded tank, including collecting documentation, making tracking report, reviewing filing documents and close-out.
Collaborate with internal teams (Logistic, S&OP, CCS) to control the key point of process to avoid the compliance issue.
Coordinate with rail/tank truck carriers and their broker to get bonded shipment release and bond close, bonded material transportation.
Reconcile bonded inventory.
Work with Customs broker to handle US and Canada cross border importing business, US importing from bonded tank and handle oversea container importing business.
Other duties as assigned.
Knowledge and Experience
Bachelors degree in tax, accounting, finance, or related fields; Preferred candidates who has CPA license.
3+ years of experience in a custom brokerage or tax consulting firm or over 5+ years of experience in a notable large company.
Experience with SAP system is preferred.
Other Qualifications:
Demonstrated proficiency with Microsoft Office suite of software products, e.g., Excel, Word, etc.
$50k-77k yearly est. 60d+ ago
Civil Rights Compliance Specialist
Temple, Inc. 4.3
Compliance specialist job in Philadelphia, PA
Civil Rights ComplianceSpecialist - (25003449) Description Temple University's Ethics and Compliance division is searching for a Civil Rights ComplianceSpecialist! Become a part of the Temple family, and you will have access to the following: Full medical, dental, and vision coverage Paid time off11 Paid Holidays Tuition remission - eligible employees and their dependents can obtain a degree TUITION FREEA generous retirement plan and so much more! Salary Grade: T26Learn more about the “T” salary structure here: ****************
temple.
edu/sites/careers/files/documents/T_Salary_Structure.
pdfA variety of important factors are reviewed by HR when considering salary, including job duties, the applicant's education and experience, all relevant internal equity considerations, department budget, and funding source.
Pay Range: $60,000-$80,000 (annually) Position Summary The Civil Rights ComplianceSpecialist is responsible for the intake of complaints made to the Civil Rights Compliance Unit within the Ethics and Compliance Office.
The specialist is responsible for the coordination of supportive measures for individuals involved in reports of sexual misconduct, discrimination, harassment, or related matters that include, but are not limited to Title VI, Title VII, Title IX, and university policy.
This position ensures a compassionate, trauma-informed, and equitable response to impacted parties while maintaining compliance with federal and state laws and university policies.
Required Education and Experience - Bachelor's degree in higher education, counseling, human resources, or a related field.
- Minimum of 2-3 years of relevant experience in student affairs, case management, Title IX compliance, Title VI compliance, ADA, or similar work.
- Knowledge of Title IX, Title VI, Title VII, ADA, VAWA, Clery Act, and other laws related to discrimination and harassment in education.
- Experience providing trauma-informed, student- or employee centered support.
- Strong interpersonal skills, including the ability to work with diverse populations and maintain neutrality in sensitive situations.
- Excellent organizational and case management skills.
- Demonstrated ability to work with sensitive and complex issues with a high degree of confidentiality and professionalism.
- Strong interpersonal, communication, and facilitation skills Required Skills and Abilities- Strong interpersonal and communication skills, with the ability to remain neutral and sensitive to all parties.
- Excellent organizational, analytical, and problem-solving abilities.
- Capacity to handle confidential and sensitive information with discretion.
- Commitment to equity and creating an inclusive campus climate.
- Ability to organize and manage multiple responsibilities effectively and timely- Working knowledge of all applicable computer software, and management skills (including planning, negotiation, and communication skills Preferred- Master's degree in counseling, higher education, law, social work, or related field.
- Prior experience in a Title IX, Title VI, or Equal Opportunity office at a higher education institution, including experience investigating complaints.
- Experience with case management software This position requires a background check.
This position is assigned a hybrid work arrangement (on-campus and remote), the duration of this hybrid work arrangement is at the discretion of Temple University and the Department.
Temple University: Temple University values diversity and is committed to equal opportunity for all persons regardless of age, color, disability, ethnicity, marital status, national origin, race, religion, sex, sexual orientation, veteran status, or any other status protected by law.
Compliance Statement: In the performance of their functions as detailed in the position description employees have an obligation to avoid ethical, legal, financial and other conflicts of interest to ensure that their actions and outside activities do not conflict with their primary employment responsibilities at the institution.
Employees are also expected to understand and be in compliance with applicable laws, University and employment policies and regulations, including NCAA regulations for areas and departments which their essential functions cause them to interact.
Temple University's Annual Security and Fire Safety Report contains statistics, policies, and procedures related to campus safety.
Go here to review: ***************
temple.
edu/reports-logs/annual-security-report You may request a copy of the report by calling Temple University's Campus Safety Services at ************.
Primary Location: Pennsylvania-Philadelphia-Main CampusJob: StaffSchedule: Full-time Shift: Day JobEmployee Status: Regular
$60k-80k yearly Auto-Apply 13h ago
Security, Risk and Compliance Consultant
SEI LLC 4.4
Compliance specialist job in Philadelphia, PA
WHO WE LOOK FOR
An SEI-er is a master communicator and active listener who understands how to navigate an audience. Self-aware, almost to a fault, SEI-ers keenly understand how to adjust their support and problem solving based on the situation. Following a logical, fact-based approach, SEI-ers possess the superior ability to see correlations others may not, ask the right questions and drive solutions.
As super-connectors, they connect not only people, but data, trends and experiences. Mature, humble, and genuine, SEI-ers frequently go above and beyond for both their clients and their colleagues. SEI-ers are ethical and trustworthy individuals who consistently and repeatedly follow through, and hold true to their values in difficult situations. SEI-ers have an insatiable curiosity and love to learn. These individuals are commonly tech savvy and early adopters. Their passion for learning is infectious and excites others. As every project is different, an SEI-er must be adaptable and comfortable with unexpected situations. SEI-ers define ambition differently. They are authentic, low-maintenance individuals who truly enjoy one another- they like to hang out with colleagues outside of work, collaborate and hold one another accountable. SEI-ers enjoy working with genuine, thoughtful folks who want to steer clear of the traditional grind and share the joy of day-to-day life and activities with colleagues, friends, and family.
WHAT WE DO
Our Security, Risk and Compliance consultants work with clients at all levels of the organization, from the C-suite to the shop floor, helping them to deliver on their most strategic initiatives. We're known for making realistic, data-driven decisions that deliver value in tangible ways to our clients. Our clients ask for us on projects that require a superior combination of technical and business capabilities, people and management skills, and a collaborative mindset. We excel in understanding complex programs and strategic initiatives and breaking them into actionable pieces.
We are actively looking for professionals in the following areas:
Compliance
Information Security
Risk Management
Data Privacy
The ideal candidate's experience may include but is not limited to the following:
Management or participation in Cybersecurity, Information Security, Risk, Compliance and/or Data Privacy Programs or Projects
Sample projects/programs could include but are not limited to:
Compliance framework mapping and implementation,
Regulatory mapping and implementation
Audit, risk or regulatory remediation management,
Readiness for new laws and regulations,
Risk, Compliance or Information Security risk reporting and monitoring
Creation of roadmaps to mature or advance Risk, Compliance or Information Security Strategies/Programs/Controls
Design and enablement of cyber controls functions and processes
Change management related to regulatory adoption or compliance changes
Audit or certification readiness
Familiarity or direct experience with GRC/Cybersecurity solutions, tools and technologies
Control design or maturation for high-demand technical areas such as ERP, Identity and Access Management, Business Continuity and Resiliency, Cloud
Knowledge of and/or application of industry specific regulations, laws, and standards such as the EU-GDPR, CCPA/CPRA, HIPAA, PCI
Knowledge of and/or application of compliance and security frameworks and standards such as COSO, NIST, ISO
Management of regulatory, internal or external audits, or experience as an auditor
Projects or roles requiring coordination across lines of defense working with technical, business, compliance, risk and audit teams to deliver solutions
Work or projects with military or federal government agencies in Risk, Compliance or Information Security/Cyber Security sectors
Certifications: CIPP, CRCM, CRM, ARM, CISSP, CISM
QUALIFICATIONS
Required-
Alignment to our core values: Excellence, Participation, Integrity, and Collaboration
Hungry, Humble, Smart
Demonstrated business and technology acumen
Strong written and verbal communication skills
Understanding and experience solving real business problems
Proven track record of delivering results
Experience working with and/or leading a team
Ability to work across industries, roles, functions & technologies
Authorization for permanent employment in the United States (this position is not eligible for immigration sponsorship)
Preferred-
Bachelor's degree
8+ years professional experience
Experience across our service offerings
Systems Evolution, Inc. (SEI) is an equal opportunity employer (EOE) and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law
$50k-75k yearly est. Auto-Apply 60d+ ago
Compliance Analyst
Collabera 4.5
Compliance specialist job in Malvern, PA
Established in 1991, Collabera has been a leader in IT staffing for over 22 years and is one of the largest diversity IT staffing firms in the industry. As a half a billion dollar IT company, with more than 9,000 professionals across 30+ offices, Collabera offers comprehensive, cost-effective IT staffing & IT Services. We provide services to Fortune 500 and mid-size companies to meet their talent needs with high quality IT resources through Staff Augmentation, Global Talent Management, Value Added Services through CLASS (Competency Leveraged Advanced Staffing & Solutions) Permanent Placement Services and Vendor Management Programs.
Collabera recognizes true potential of human capital and provides people the right opportunities for growth and professional excellence. Collabera offers a full range of benefits to its employees including paid vacations, holidays, personal days, Medical, Dental and Vision insurance, 401K retirement savings plan, Life Insurance, Disability Insurance.
Job Description
Job Title: Compliance Analyst
Locations: Addison, TX - 75001 :: Malvern, PA - 19335 :: Orlando, Florida 32810
Duration: 12 months (Possible Extension)
Job Summary:
· Tracks, reviews and communicates pending and passed US federal regulations, agency guidelines or directives to impacted business units to ensure ongoing product compliance.
· Works with development groups to review and approve project requirements and design documents that pertain to or impact regulatory compliance and assists insetting priorities for regulatory issues that must be addressed by the business.
· Responds to internaland external client matters pertaining to product compliance and assists inproviding final disposition of any discrepancies. Performs periodic reviews and audits of products and services to validate compliance with high risk regulations or detect regulatory violations, weak controls or other potential areas of exposure.
General Duties &Responsibilities:
· Monitors and communicates regulatory changes that impact client products and services to internal and external customers.
· Conducts compliance assessments and provides direction on any deficiencies resulting from scheduled product reviews.
· Manages direction for development design specifications for compliance issues.
· Provides compliance reviews and direction for new and expanding products.
· Participates in development of compliance sessions/presentations.
· Participates in internal Education sessions promoting compliance awareness.
· Provides updates for monthly internal and external compliance reports.
· Meets with application product compliance liaisons on a regular basis for status updates on compliance issues.
· Interfaces with legal counsel and federal, state, and local agencies, as needed to resolve regulatory issues.
· Participates in compliance core group committee as needed.
· Participates in annual IRS and year-end processing modification project.
· Monitors and ensures timeline check-points are met for compliance projects.
· Responds to customer-specific questions.
· Coordinates development of customer communications related to compliance issues.
· Assists in comment letters responding to Federal Agencies' regulatory issues.
· Participates with and/or leads customer focus and advisory groups.
· Directs and approves internal and customer communications covering compliance issues (bulletins,position statements, monthly reports, etc.).
General Knowledge, Skills &Abilities:
· Communicates ideas both verbally and in written form in a clear, concise, and professional manner including presentations to employees and clients at all levels
· Extensive knowledge of banking regulations
· Must possess excellent analytical skills
· Ability to understand technical documents and legal or regulatory reference materials
· Ability to understand and apply learned concepts
· Demonstrated ability to plan and complete work within tight time limitations
· Ability to apply creative problem solving techniques and tools to compliance issues
· Ability to follow and conduct an audit program
Qualifications
Experience in one of the following:
· Performing loan-level mortgage servicing processes
· Managing a Mortgage Loan servicing process
· Working in a MortgageLoan Servicing Compliance role
Additional Information
To know more on this position or to schedule an interview please contact;
Jeff Demaala
************
$64k-88k yearly est. 2d ago
Compliance Specialist EARN WIOA
Eckerd Connects
Compliance specialist job in Philadelphia, PA
Working with us takes a certain kind of person; we want someone who identifies with our values and is willing to challenge themselves both personally and professionally. We seek employees who are passionate about serving and
making a
difference
in the lives of others.
Make more than a Living, Make a Difference
Our Benefits:
Low-Cost Medical, Dental and Vision Insurance
19 days of Paid Time Off the first year
11 paid holidays
Retirement savings plan with employer match up to 5%
Flexible spending accounts
Paid short-term and voluntary long-term disability
Group Term Life and AD&D Insurance
Voluntary term life insurance
Public Service Loan Forgiveness (PSLF) Eligible Employer
PTO Exchange
Hourly Rate: $24.41
D
uties & Responsibilities
The ComplianceSpecialist supports the EARN Program through compliance management, assisting in the maximization of efficient and effective service delivery to EARN customers working closely with Workforce Advisors and the Data Team to ensure clear communication between departments for timely follow-up and outreach to support customers' experience and determine continued enrollment.
Responsible for monitoring EARN customers' participation and sharing information with Workforce Advisors generating and reviewing reports to track customers' time and attendance to determine compliance with program requirements.
Compile, review, and submit relevant documentation (timesheets, pay stubs, employment verification forms, incentives and other forms) to the Data Team.
Provide administrative support for TANF monthly sampling; validation requests, and/or other reviews as required by Federal, State, and Philadelphia Works, Inc.
Assist the Data Team in monthly reconciliation of customer data to ensure accuracy of all activity, dates, and time & attendance in the Commonwealth Workforce Development System (CWDS).
Qualifications
High School Diploma or equivalent required.
Previous workforce experience is preferred with knowledge of EARN program policies.
Must have an appropriate and valid state driver's license and be able to meet requirements for Eckerd's Auto Insurance and be able to drive for business purposes.
*This job description is intended to describe the general nature and level of work being performed by a person assigned to this job. It is not to be construed as an exhaustive list of all job duties that may be performed by a person so classified.
About Our Workforce Programs:
Eckerd Connects provides Workforce Innovation and Opportunity Act (WIOA) services through contracts with the U.S. Department of Labor and local workforce boards, partnerships, and strategies to provide and create a career pathway for youth, adults, and dislocated workers. Training services include occupational skills training, customized training, on-the-job training, incumbent worker training, and transitional employment opportunities. We provide youth with development, academic instruction, career & technical education, and access to the 14 WIOA Youth Elements. We establish and develop relationships and networks with large and small employers and their intermediaries as well as develop, convene, or implement industry or sector partnerships.
Our Program Location:
Eckerd Connects | Workforce Development
3901 Market Street, 2nd Floor |
Philadelphia, PA 19104
Connect with Us Video: ************************************************
Copy & paste the link into your browser for more program information:
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Eckerd Connects employees and applicants for employment are covered by federal, state, and local laws designed to safeguard employees and job applicants from discrimination based on race, color, religion, sex, pregnancy, parental status, national origin, age, disability, genetic information (including family medical history), political affiliation, military service, or other status protected by applicable federal, state, or local laws.
Eckerd Connects is committed to providing equal employment opportunities to all individuals, including individuals with disabilities. We comply with the Americans with Disabilities Act (ADA) and applicable state and local laws by providing reasonable accommodations to employees and applicants with disabilities; known limitations related to pregnancy, childbirth, or related medical conditions; and for sincerely held religious beliefs, observances, and practices. Auxiliary aids and services are available upon request to individuals with disabilities. If you need assistance or accommodation due to a disability, please contact adarequest@eckerd.org. Relay Services Dial 711.
Know Your Rights: Workplace Discrimination is Illegal
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Eckerd Connects is a drug-free workplace and utilizes E-Verify to confirm employment eligibility.
$24.4 hourly 2d ago
Origination Compliance Analyst
CPA Recruiter Online
Compliance specialist job in Cherry Hill, NJ
Responsibilities
•Assist in the development and maintenance of the firm's compliance implementation and risk assessment programs to ensure the firm is in compliance with applicable laws, regulations and agency guidelines related to mortgage origination
•Recommend, develop and implement changes to existing and proposed procedures, policies and programs
•Assist in the revision, reparation and dissemination of new and updated compliance standards and procedures
•Keep abreast of regulatory and legal developments governing mortgage origination
•Provide advice, guidance and insight to Origination Senior Management and staff personnel on emerging compliance issues and consults and guides the firm in establishment of controls to mitigate risk
•Provide assistance to various departments in the formulation of forms and disclosure documents for compliance with all laws, regulations, investor programs and internal policies and procedures
•Identify, communicate and help develop compliance education programs and provide compliance training
•Draft summaries of legislative changes and help publish compliance bulletins
•Assist the origination support units in the design and implementation of any legislative or regulatory changes
•Develop training, test plans or reporting as necessary to ensure an understanding of new regulations or legislation
•Help draft effective compliance policies and procedures; ensure Compliance Policy and Procedures manuals are current
•Assist in completing annual compliance test plans and maintenance of compliance risk assessments
•Understand federal regulatory compliance statutes, regulations, state laws and their impact on existing origination or servicing policy and business practices
•Assess and rank compliance risk relative to all federal compliance regulations and state laws, taking into account the potential civil penalties, reputational risk, regulatory risk, scope, controls and potential for non-compliance
•Complete periodic assessment reviews and transactional testing of business processes with federal and state regulatory compliance impact
•Execute special projects as required
Qualifications
Requirements:
•Bachelor's Degree in Finance or Accounting required
•3+ years of Mortgage Banking, Regulatory Compliance or Auditing experience
•Highly motivated, self directed, proactive, self-disciplined and team-oriented
•Ability to work independently and under pressure in a fast-paced and dynamic environment handling multiple competing tasks simultaneously to closure
•Excellent oral and written communication and interpersonal skills, strong work ethic, and critical thinking skills
•Proficient in Microsoft Applications including Excel, Word and PowerPoint
•Demonstrated ability to cope with a rapidly changing regulatory environment on a federal and state level
Additional Information
All your information will be kept confidential according to EEO guidelines.
$58k-88k yearly est. 60d+ ago
Origination Compliance Analyst
Cpa Search 3.4
Compliance specialist job in Cherry Hill, NJ
Responsibilities •Assist in the development and maintenance of the firm's compliance implementation and risk assessment programs to ensure the firm is in compliance with applicable laws, regulations and agency guidelines related to mortgage origination
•Recommend, develop and implement changes to existing and proposed procedures, policies and programs
•Assist in the revision, reparation and dissemination of new and updated compliance standards and procedures
•Keep abreast of regulatory and legal developments governing mortgage origination
•Provide advice, guidance and insight to Origination Senior Management and staff personnel on emerging compliance issues and consults and guides the firm in establishment of controls to mitigate risk
•Provide assistance to various departments in the formulation of forms and disclosure documents for compliance with all laws, regulations, investor programs and internal policies and procedures
•Identify, communicate and help develop compliance education programs and provide compliance training
•Draft summaries of legislative changes and help publish compliance bulletins
•Assist the origination support units in the design and implementation of any legislative or regulatory changes
•Develop training, test plans or reporting as necessary to ensure an understanding of new regulations or legislation
•Help draft effective compliance policies and procedures; ensure Compliance Policy and Procedures manuals are current
•Assist in completing annual compliance test plans and maintenance of compliance risk assessments
•Understand federal regulatory compliance statutes, regulations, state laws and their impact on existing origination or servicing policy and business practices
•Assess and rank compliance risk relative to all federal compliance regulations and state laws, taking into account the potential civil penalties, reputational risk, regulatory risk, scope, controls and potential for non-compliance
•Complete periodic assessment reviews and transactional testing of business processes with federal and state regulatory compliance impact
•Execute special projects as required
Qualifications
Requirements:
•Bachelor's Degree in Finance or Accounting required
•3+ years of Mortgage Banking, Regulatory Compliance or Auditing experience
•Highly motivated, self directed, proactive, self-disciplined and team-oriented
•Ability to work independently and under pressure in a fast-paced and dynamic environment handling multiple competing tasks simultaneously to closure
•Excellent oral and written communication and interpersonal skills, strong work ethic, and critical thinking skills
•Proficient in Microsoft Applications including Excel, Word and PowerPoint
•Demonstrated ability to cope with a rapidly changing regulatory environment on a federal and state level
Additional Information
All your information will be kept confidential according to EEO guidelines.
$60k-86k yearly est. 2d ago
Compliance Manager, Accounts QHSE
DSV Road Transport 4.5
Compliance specialist job in Chester, PA
DSV - Global transport and logistics In 1976, ten independent hauliers joined forces and founded DSV in Denmark. Since then, DSV has evolved to become the world's 3rd largest supplier of global solutions within transport and logistics. Today, we add value to our customers' entire supply chain by transporting, storing, packaging, re-packaging, processing and clearing all types of goods. We work every day from our many offices in more than 80 countries to ensure a steady supply of goods to production lines, outlets, stores and consumers all over the world. Our reach is global yet our presence is local and close to our customers. Read more at ***********
Location: USA - Chester, Seaport Dr
Division: Air & Sea
Job Posting Title: Compliance Manager, Accounts QHSE
Time Type: Full Time
Summary
The Compliance Manager, Accounts QHSE is responsible for ensuring adherence to regulatory requirements and internal policies within the transportation and logistics industry. They develop and implement compliance and QHSE programs, monitor compliance activities, and provide guidance to mitigate risks. The Compliance Manager, Accounts QHSE plays a critical role in maintaining a strong ethical culture and promoting regulatory compliance throughout the organization.
The Compliance Manager, Accounts QHSE will work closely with clients, assigned to you by your manager. You will be responsible to ensure their satisfaction and oversee the operational aspects of their shipments. You will collaborate with internal teams to provide exceptional service and meet client needs.
Duties and Responsibilities
* Develop and implement a comprehensive compliance program aligned with industry regulations and company policies and healthcare certifications.
* Monitor and assess compliance risks and identify areas for improvement.
* Conduct regular audits and reviews to ensure compliance with applicable laws, regulations, and internal policies.
* Provide guidance and training to employees on compliance/QHSE matters.
* Collaborate with internal stakeholders to develop and implement compliance strategies.
* Investigate and address compliance-related incidents, violations, and complaints.
* Stay updated with changes in laws and regulations affecting the transportation and logistics industry.
* Prepare and submit required reports to regulatory bodies.
* Lead and support internal and external investigations and audits related to compliance.
* Develop and maintain effective compliance-related documentation and record-keeping.
* Build and maintain strong relationships with clients that are assigned.
* Collaborate with internal teams to ensure client satisfaction and meet operational goals.
* Oversee the operational aspects of client shipments to ensure client expectations are met.
* Develop and implement account strategies and plans.
* Analyze account performance and identify opportunities for improvement.
* Prepare and present reports to clients and internal teams.
Educational background / Work experience
* Bachelor's degree in business, law, or a related field is preferred.
* Advanced degree in law, business administration, or a relevant discipline is preferred.
* Minimum of 5-7 years of experience in compliance management, preferably in the transportation and logistics industry.
Educational background / Work experience (cont.)
* Experience in developing and implementing compliance programs and policies.
* Proven track record of managing compliance-related audits and investigations.
* 5+ years of experience in key account management in the transportation and logistics industry
* Experience with supply chain management, transportation, warehousing, and distribution
Skills & Competencies
* In-depth understanding of transportation and logistics industry regulations.
* Excellent analytical and problem-solving abilities.
* Strong leadership and project management skills.
* Excellent communication and interpersonal skills.
* Ability to collaborate and influence at all levels of the organization.
* Exceptional attention to detail and organizational skills.
* Familiarity with risk assessment and mitigation techniques.
* Ability to work independently and as part of a team.
* Strong organizational and time management skills
* Knowledge of transportation and logistics industry trends and best practices
Function / Market & Industry Knowledge / Business Acumen / Processes
Supervisory Responsibilities (if any)
* May have supervisory responsibilities, leading a team of compliance professionals.
Preferred Qualifications
* Certification in compliance or a related field (e.g., Certified Compliance and Ethics Professional, Certified Regulatory Compliance Manager).
* Experience working with international compliance regulations.
* Experience implementing compliance programs in a global organization.
* Familiarity with compliance management software and tools.
* Knowledge of industry-specific certifications, such as C-TPAT, AEO, or ISO.
Language skills
* Fluent in English (oral and written)
Computer Literacy
* Proficient in using compliance management software and tools.
* Advanced knowledge of Microsoft Office suite.
* Familiarity with data analysis and reporting tools.
* Ability to adapt to new technology platforms used in compliance management.
For this position, the expected base pay is: $69,000 - $93,000 / Annual. Actual compensation will be determined based on job-related factors, including relevant experience, skills, education or certifications, and geographic location, consistent with applicable laws and company policy.
DSV offers a comprehensive benefits program designed to support the health and well-being of employees and their families. Benefits include medical, prescription, dental, vision, and life insurance, as well as flexible spending accounts (FSAs), health savings accounts (HSAs) (for eligible plans), and short- and long-term disability coverage.
Employees also have access to wellness resources, Employee Assistance Program (EAP) services, and other support benefits. Financial benefits include participation in the DSV 401(k) plan, which provides company matching contributions of up to 5%.
To support work-life balance, DSV offers various paid time off programs and paid company holidays. Specific PTO and leave programs may vary by location and division in accordance with state or local laws
DSV is an equal employment opportunity employer. Candidates are considered for employment without regard to race, creed, color, national origin, age, sex, religion, ancestry, disability, veteran status, marital status, gender identity, sexual orientation, national origin, or any other characteristic protected by applicable federal, state or local law. If you require special assistance or accommodation while seeking employment with DSV, please contact Human Resources at *************. If you are interested in learning the status of your application, please note you will be contacted directly by the appropriate human resources contact person if you are selected for further consideration. DSV reserves the right to defer or close a vacancy at any time.
DSV - Global transport and logistics
Working at DSV means playing in a different league.
As a global leader in transport and logistics, we have been on an extraordinary journey of growth. Let's grow together as we continue to innovate, digitalise and build on our achievements.
With close to 160,000 colleagues in over 90 countries, we work every day to offer solid services and meet our customers' needs and help them achieve their goals. We know that the best way to achieve this is by bringing in new talent, fresh perspectives and ambitious individuals like you.
At DSV, performance is in our DNA. We don't just work - we aim to shape the future of logistics. This ambition fuels a dynamic environment built on collaboration with world-class team players, accountability and action. We value inclusivity, embrace different cultures and respect the dignity and rights of every individual. If you want to make an impact, be trusted by customers and grow your career in a forward-thinking company - this is the place to be.
Start here. Go anywhere
Visit dsv.com and follow us on LinkedIn and Facebook.
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$69k-93k yearly 3d ago
Compliance Analyst
Continental Finance Company
Compliance specialist job in Wilmington, DE
Job DescriptionSalary:
Come join a growing financial technology company thats leading the marketplace in both the marketing and servicing of credit cards! Continental Finance Company specializes in credit card options for those consumers with less than perfect credit. We are seeking a Compliance Analyst to support our Compliance team.
The Compliance Analyst is responsible for supporting the Compliance Management System (CMS) program for credit cards to ensure compliance in various aspects of the business with federal, state, and local regulations, and partner relationships.
Essential Functions:
Provide comprehensive support to all aspects of the Companys CMS Program.
Assist with the planning, preparation, execution and reporting of audits, monitoring, and testing in all aspects of the Companys CMS Program.
Prepare deliverables for audits, review testing findings, and make recommendations for improvements.
Review suspicious transactions and support the QAR filing process with bank partners.
Assist in the implementation of new-compliance related processes and subsequent business line integration.
Effectively plan and function as audit lead for scheduled audits of various areas (compliance, operational, systems-oriented) subject to audit within the Company, assigning personnel to specific audit activities and reviewing audit deliverables for adequacy of coverage and content to support audit requests and findings.
Develop, review, and analyze the ongoing effectiveness of all audit programs, recommending changes and improvements as appropriate, to the Audit Manager.
Assist with maintaining the Companys KYC/CIP and AML/BSA/OFAC Programs.
Develop and implement effective audit techniques and procedures and utilize documentation skills which adequately support audit requests and findings within a timely manner.
Evaluate and analyze the effectiveness of more complex procedures and internal controls within the assigned corporate or compliance area, using appropriate audit skills, techniques, and judgment.
Assist the Compliance Manager, VP of Compliance, and Chief Compliance Officer with other ad hoc projects.
The ideal candidate will have the following:
Minimum 1-3 years of relevant consumer lending analytical compliance experience.
Minimum of 1-2 years of BSA/AML experience.
Bachelors degree required. Other compliance certification or designation is a plus.
Strong knowledge of laws, regulations, and requirements applicable to consumer lending and credit cards including TILA, FCRA, UDAAP, FDCPA, ECOA, Fair Lending, E-SIGN, MLA, SCRA, EFTA, SCRA, GBLA, BSA/AML and OFAC.
Experience with performing compliance risk assessments, audits, and/or monitoring and testing.
Experience with review of suspicious transactions/SAR filing.
Proactive, self-starter, capable of productive work both independently and as part of the team, with a desire to learn quickly and take ownership.
Exemplary organizational skills
Strong track record in working collaboratively.
Ability to multi-task in a fast-paced environment is essential, with prior experience working for a fintech, regulator, bank, or consumer finance business.
Why Continental Finance?
Continental Finance Company (the CFC) is one of Americas leading marketers and servicers of credit cards for consumers with less-than-perfect credit. Since our founding in 2005, we have prided ourselves on corporate responsibility to customers in terms of a strong customer support program and fair treatment. With our success, we have also grown into an innovative financial tech company! With a state-of-the-art consumer marketing and servicing platform, we provide a variety of services to consumers when other financial institutions will not accommodate them. With more than 2.6 million credit cards managed and serviced since our founding, we pride ourselves on putting the customer first.We are not a chartered banking financial institution, nor are we a debt originator or a credit card issuer.
CFC is an equal opportunity employer that is committed to inclusion and diversity. Our company provides equal employment opportunity (EEO) regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity, or veteran status.
CFC is seeking bright, energetic individuals that will help us grow and develop together! We uphold a promise to treat our employees with the same care and concern as we do our customers. We offer all employees competitive compensation and benefits in an exciting, fast-paced business casual environment. Join our growing team and apply online today!
CFC offers a hybrid work schedule which includes three (3) core days in the office (Tuesday, Wednesday, and Thursday) and two (2) remote workdays (Monday and Friday)
#LI-HYBRID
$52k-79k yearly est. 16d ago
Retirement Plan Compliance Analyst
Willis Towers Watson
Compliance specialist job in Philadelphia, PA
The Role We are seeking an organized and detail-oriented Retirement Plan Compliance Analyst to join our team. As a compliance analyst you will play a crucial role in supporting our attorneys by performing a variety of tasks, which will include drafting/amending pension (defined benefit and defined contribution) plan documents, summary plan descriptions, summaries of material modifications and other plan related documents (e.g., policies, procedures) as well as participant communications (e.g., QDIA notices).
DUTIES A ND RESPONSIBILITIES
Plan Drafting: Draft/amend customized comprehensive defined benefit and defined contribution plan documents, summary plan descriptions, summaries of material modifications and other plan related documents and participant communications. Stay current on latest documentation technique and best practices to ensure use of cutting-edge tools and language.
Compliance: Ensure all plan documents comply with ERISA regulations and other applicable federal laws. Adhere to audit protocol to ensure accuracy of documentation.
Document Production/Management: Adhere to document production timelines to ensure efficiency and timely document production. Organize and maintain plan documents, ensuring they are up-to-date and accessible.
Training and Development: Train and mentor staff on plan document drafting and compliance.
Internal Client Communication: Provide technical guidance regarding plan language and training for the internal team as needed. Provide assistance when a client or team member requires assistance understanding the plan language or the underlying legal requirement giving rise to the language.
Other: Keep abreast of laws and regulations impacting employee benefits, claims procedures, and notice requirements by using our legal database subscriptions to research, analyze and understand changes in the law and/or regulations.
Filing: File documents with government agencies as needed
Client Communication: Communicate effectively with clients, client counsel, providing updates and gathering information.
Document Management: Prepare, organize, and maintain legal documents, including research and contracts.
Project Management:
* Manage multiple clients and projects simultaneously, prioritizing tasks and meeting deadlines.
* Develop and implement project plans, timelines, and budgets.
* Coordinate with attorneys, clients, and other team members to ensure smooth project execution.
* Track project progress and identify potential issues, taking proactive steps to mitigate risks.
* Keep stakeholders up to date on project status using various reporting, and metric based tools available.
* Manage communication between all parties involved in the project.
All other duties as assigned.
Note that visa employment-based non-immigrant visa sponsorship and/or assistance is not offered for this specific job opportunity.
Qualifications
The Requirements
* Bachelor's degree in English or legal studies, or equivalent concentration preferred.
* Experience drafting, amending, and tracking changes to pension (defined benefit and defined contribution) benefit plan documents, summary plan descriptions, and summaries of material modifications.
* Detailed understanding of laws governing pension plans including ERISA and the Internal Revenue Code are a must have.
* Expertise with Microsoft Office software programs including Word, Excel, Outlook, PowerPoint.
* Excellent analytical, writing and verbal skills.
* Ability to work independently and as part of a team
* Experience with reviewing or qualifying domestic relations orders not required but a plus.
Compensation And Benefits
Base salary range and benefits information for this position are being included in accordance with requirements of various state/local pay transparency legislation. Please note that salaries may vary for different individuals in the same role based on several factors, including but not limited to location of the role, individual competencies, education/professional certifications, qualifications/experience, performance in the role and potential for revenue generation (Producer roles only).
Compensation
The base salary compensation range being offered for this role is $65,000 to $80,000 USD per year.
The role is also eligible for an annual short-term incentive bonus.
Company Benefits
WTW provides a competitive benefit package which includes the following (eligibility requirements apply):
* Health and Welfare Benefits: Medical (including prescription coverage), Dental, Vision, Health Savings Account, Commuter Account, Health Care and Dependent Care Flexible Spending Accounts, Group Accident, Group Critical Illness, Life Insurance, AD&D, Group Legal, Identify Theft Protection, Wellbeing Program and Work/Life Resources (including Employee Assistance Program)
* Leave Benefits: Paid Holidays, Annual Paid Time Off (includes paid state/local paid leave where required), Short-Term Disability, Long-Term Disability, Other Leaves (e.g., Bereavement, FMLA, ADA, Jury Duty, Military Leave, and Parental and Adoption Leave), Paid Time Off
* Retirement Benefits: Contributory Pension Plan and Savings Plan (401k). Certain senior level roles may also be eligible for non-qualified Deferred Compensation and Deferred Savings Plans.
Pursuant to the San Francisco Fair Chance Ordinance and Los Angeles County Fair Chance Ordinance for Employers, we will consider for employment qualified applicants with arrest and conviction records.
EOE, including disability/vets
This position will remain posted for a minimum of three business days from the date posted or until sufficient/appropriate candidate slate has been identified.
$65k-80k yearly 40d ago
Retirement Plan Compliance Analyst
WTW
Compliance specialist job in Philadelphia, PA
**The Role** We are seeking an organized and detail-oriented Retirement Plan Compliance Analyst to join our team. As a compliance analyst you will play a crucial role in supporting our attorneys by performing a variety of tasks, which will include drafting/amending pension (defined benefit and defined contribution) plan documents, summary plan descriptions, summaries of material modifications and other plan related documents (e.g., policies, procedures) as well as participant communications (e.g., QDIA notices).
**DUTIES A ND RESPONSIBILITIES**
**Plan Drafting:** Draft/amend customized comprehensive defined benefit and defined contribution plan documents, summary plan descriptions, summaries of material modifications and other plan related documents and participant communications. Stay current on latest documentation technique and best practices to ensure use of cutting-edge tools and language.
**Compliance:** Ensure all plan documents comply with ERISA regulations and other applicable federal laws. Adhere to audit protocol to ensure accuracy of documentation.
**Document Production/Management:** Adhere to document production timelines to ensure efficiency and timely document production. Organize and maintain plan documents, ensuring they are up-to-date and accessible.
**Training and Development:** Train and mentor staff on plan document drafting and compliance.
**Internal Client Communication:** Provide technical guidance regarding plan language and training for the internal team as needed. Provide assistance when a client or team member requires assistance understanding the plan language or the underlying legal requirement giving rise to the language.
**Other:** Keep abreast of laws and regulations impacting employee benefits, claims procedures, and notice requirements by using our legal database subscriptions to research, analyze and understand changes in the law and/or regulations.
**Filing** : File documents with government agencies as needed
**Client Communication** : Communicate effectively with clients, client counsel, providing updates and gathering information.
**Document Management:** Prepare, organize, and maintain legal documents, including research and contracts.
**Project Management:**
+ Manage multiple clients and projects simultaneously, prioritizing tasks and meeting deadlines.
+ Develop and implement project plans, timelines, and budgets.
+ Coordinate with attorneys, clients, and other team members to ensure smooth project execution.
+ Track project progress and identify potential issues, taking proactive steps to mitigate risks.
+ Keep stakeholders up to date on project status using various reporting, and metric based tools available.
+ Manage communication between all parties involved in the project.
**All other duties as assigned.**
Note that visa employment-based non-immigrant visa sponsorship and/or assistance is not offered for this specific job opportunity.
**Qualifications**
**The Requirements**
+ Bachelor's degree in English or legal studies, or equivalent concentration preferred.
+ Experience drafting, amending, and tracking changes to pension (defined benefit and defined contribution) benefit plan documents, summary plan descriptions, and summaries of material modifications.
+ Detailed understanding of laws governing pension plans including ERISA and the Internal Revenue Code are a must have.
+ Expertise with Microsoft Office software programs including Word, Excel, Outlook, PowerPoint.
+ Excellent analytical, writing and verbal skills.
+ Ability to work independently and as part of a team
+ Experience with reviewing or qualifying domestic relations orders not required but a plus.
**Compensation And Benefits**
Base salary range and benefits information for this position are being included in accordance with requirements of various state/local pay transparency legislation. Please note that salaries may vary for different individuals in the same role based on several factors, including but not limited to location of the role, individual competencies, education/professional certifications, qualifications/experience, performance in the role and potential for revenue generation (Producer roles only).
**Compensation**
The base salary compensation range being offered for this role is $65,000 to $80,000 USD per year.
The role is also eligible for an annual short-term incentive bonus.
**Company Benefits**
WTW provides a competitive benefit package which includes the following (eligibility requirements apply):
+ **Health and Welfare Benefits:** Medical (including prescription coverage), Dental, Vision, Health Savings Account, Commuter Account, Health Care and Dependent Care Flexible Spending Accounts, Group Accident, Group Critical Illness, Life Insurance, AD&D, Group Legal, Identify Theft Protection, Wellbeing Program and Work/Life Resources (including Employee Assistance Program)
+ **Leave Benefits:** Paid Holidays, Annual Paid Time Off (includes paid state/local paid leave where required), Short-Term Disability, Long-Term Disability, Other Leaves (e.g., Bereavement, FMLA, ADA, Jury Duty, Military Leave, and Parental and Adoption Leave), Paid Time Off (***********************************************************************************************************
+ **Retirement Benefits:** Contributory Pension Plan and Savings Plan (401k). Certain senior level roles may also be eligible for non-qualified Deferred Compensation and Deferred Savings Plans.
Pursuant to the San Francisco Fair Chance Ordinance and Los Angeles County Fair Chance Ordinance for Employers, we will consider for employment qualified applicants with arrest and conviction records.
**EOE, including disability/vets**
This position will remain posted for a minimum of three business days from the date posted or until sufficient/appropriate candidate slate has been identified.
$65k-80k yearly 60d+ ago
Legal and Compliance Analyst
Tiff Advisory Services
Compliance specialist job in Radnor, PA
Legal and Compliance Analyst Firm: ~75-person firm managing ~$10 billion for over 400 US non-profits Compensation: Competitive package Culture: Mission-driven, cross-disciplinary, intellectually rigorous
Organizational Overview
TIFF Investment Management, founded in 1991, specializes in comprehensive Outsourced Chief Investment Officer (OCIO) and private markets solutions, assisting endowments, foundations, RIAs, family offices, and other institutional organizations in achieving their financial objectives and advancing their missions. More details at *************
Position Summary
TIFF is seeking an entry-level junior staffer to join its four-person legal/compliance team, working on legal and compliance matters for TIFF's SEC-registered investment advisers and the registered and private investment funds that it manages.
Responsibilities include, but are not limited to assisting with:
Preparing and submitting subscription documents for fund investments
Responding to AML, KYC, FATCA, CRS, and beneficial ownership information requests from fund investments, counterparties, administrators, and banks
Creating corporate entities and routine maintenance; monitoring ongoing legal and compliance matters
Supporting corporate transactions and fund/investment-management activities: NDAs; credit renewals; subscription agreement tracking, amendment tracking, coordinate closings and other deliverables
Facilitating corporate governance matters, including preparation of board and committee meeting materials and minutes
Maintaining a compliance calendar and tracking ongoing legal/compliance tasks and deadlines
Preparing and submitting regulatory, compliance, financial, tax, and state corporate filings as needed
Administering employee compliance reporting requirements and related compliance software
Reviewing advertising materials and related communications; maintaining related disclosure library
Conducting periodic compliance testing and documenting testing results
Conducting vendor due diligence and drafting related documentation
Organizing and maintaining files (both electronic and physical) and ensuring proper record-keeping
Qualifications
Candidate Requirements
BA/BS degree required
1-3 years prior professional experience (especially as a paralegal or compliance professional) preferred but not required
Proficient with Microsoft Office Suite, including advanced Word formatting, Excel tracking/spreadsheets, Outlook organization, and PDF management tools (Adobe Acrobat, DocuSign, etc.)
Eagerness to learn; excellent attention to detail; team player
Highly self-motivated; willingness to take initiative on matters
Excellent project management and organizational skills; ability to multi-task and balance multiple priorities and deadlines simultaneously
Outstanding written and verbal communication skills
$51k-77k yearly est. 20d ago
Compliance Analyst
Pioneer Data Systems
Compliance specialist job in Horsham, PA
I am Zach from Pioneer Data System, Inc. We have an immediate requirement for a Compliance Analyst / Drug Safety Case Processing in Horsham, PA. 19044
If you are interested please call me at **************** or respond to this email.
Position Details:
Job Title: Compliance Analyst / Drug Safety Case Processing
Duration: 5+ months
Location: Horsham, PA. 19044
Description:
Responsible for generating quality, compliance, case receipt and pharmacovigilance agreement metrics in support of GMO/Client and performing quality control of standard and ad-hoc metrics and presentations. Supports audits and inspections globally, as subject matter expert for generation of compliance and quality metrics.
Performs User Acceptance Testing for new quality and compliance reports. Participates in cross-functional projects focused on process improvement and innovation.
Supports internal and external customers by developing custom dashboard and presentations. Analyzes data for trends and generates presentations of significant trends for various audiences.
PRINCIPAL RESPONSIBILITIES:
List major responsibilities and duties of the position. List most complex or difficult parts of job first and indicate percentage of time required to perform each task. Describe those quantitative aspects of the position which reflect measures that are applicable to the position's major responsibilities or end results. (TYPE BELOW THIS LINE)
Generation and quality control of standard and ad-hoc quality and compliance metrics, presentations and dashboards.
Collaborate with internal and external partners and stakeholders to ensure quality and compliance metrics are reported and/or reconciled in a timely manner. Escalate non-compliance to management.
Manage reporting and meeting schedules.
Develop and update controlled documents.
Perform User Acceptance Testing for new quality and compliance reports.
Other duties as assigned.
Accountable for prioritizing and ensuring deliverables are completed on time and are accurate and consistent. Follows documented procedures for metrics generation. Consults with Manager, GMO & Vendor Compliance Oversight for complex issues and changes to processes and procedures.
Works independently to resolve routine issues and questions. Raises issues to Lead Compliance Analyst when they cannot be resolved to stakeholder / customer satisfaction or when timelines are in jeopardy.
The Senior Metrics Analyst works within a matrix environment:
Works closely with Lead Compliance Analyst to develop reports and dashboards to measure quality and compliance.
Interfaces directly with all functions impacting GMO / Client monitored quality and compliance metrics (including, but not limited to):
• Case Management
• Case Reporting
• Vendor Compliance Points of Contact
• Client
• IPV / LSO
• LOC
• QPPV
• 3rd Party Compliance Contacts
• GRA
• GCO
EDUCATION & EXPERIENCE REQUIREMENTS:
Describe the minimum knowledge, skill and ability requirements for the position. Include any degrees or certifications which are required and/or desirable.
• Minimum of Bachelor's Degree in relevant discipline (Business, Science, Medical, Operations, etc.) with 4 years of pharmaceutical industry experience or advanced academic degree with 2 years of pharmaceutical industry experience.
• Minimum of 2 years of experience in pharmacovigilance case processing and/or PV compliance monitoring.
• Intermediate Microsoft Excel and Microsoft PowerPoint skills required
• Understanding of GxP requirements.
• Global pharmacovigilance experience required with knowledge of global PV laws and regulations.
• Ability to function in a global matrix environment.
• Excellent communication and writing skills. Ability to influence without authority.
• Proven experience developing and conducting presentations for different levels of management; ability to tailor presentations to the appropriate level of detail.
Additional Information
Need only on W2 no C2C
$51k-77k yearly est. 60d+ ago
Compliance Oversight Manager - Real Estate Secured Servicing
TD Bank 4.5
Compliance specialist job in Mount Laurel, NJ
Hours: 40 Pay Details: $86,840 - $139,360 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Line of Business:
Compliance
:
Why Work with Us?
At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program - it's about creating a culture of compliance that will cascade throughout the organization.
The Ideal Candidate
The ideal candidate will thrive in a fast-paced setting as we build a new compliance structure that aligns with the bank's size, complexity, and risk profile. In this role, you'll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.
Beyond technical expertise, we're looking for someone with an entrepreneurial mindset-someone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.
Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you'll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.
This position plays a critical role in ensuring adherence to regulatory requirements such as Regulations X, Z, SCRA, FCRA and FDPA and other regulations applicable to Performing Loan Servicing. The individual will lead and coordinate compliance-related initiatives, manage regulatory exams, and collaborate cross-functionally to support business partners. Strong communication and reporting capabilities, along with subject matter expertise in consumer lending regulations, are essential.
The above details are specific to the role which is outlined in the general description below. Please review Desired Skills & Experience below as you consider this opportunity.
Our team currently operates under a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, this expectation will increase to four days per week. Please note that, due to limited office space, the exact timing of this transition may vary depending on availability and individual circumstances.
Job Description Summary:
The Compliance Business Oversight Manager provides advice, support and objective guidance to assigned portfolio, business or function on development and maintenance of all aspects of Compliance/Center of Excellence programs in line with the Bank's risk philosophy and strategic direction.
Depth & Scope:
* Works independently and is accountable for managing a specialized Compliance function or area
* Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates
* Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
* Provides guidance and support to analysts on matters related to portfolio and specialty
* Typically a subject matter expert for a key functional Compliance area and business
* Contact for business management, dealing with non-routine information
* Manages/assists with regulatory reviews including inquiries, audits, and exams
* Identifies and leads problem resolution for project/program complex requirements related issues at all levels
Education & Experience:
* Undergraduate degree or equivalent work experience
* 7+ years of experience
Desired Skills & Experience:
* 5+ years of Mortgage servicing experience, either in the business or related risk functions
* 3rd party oversight experience
* Strong understanding of consumer protection regulations including Reg Z, Reg X, FDPA and SCRA.
* Demonstrated knowledge and experience with mortgage servicing and auto lending originations or servicing
* Excellent verbal and written communication skills, including executive-level reporting and presentation development.
* Proficiency in Microsoft PowerPoint and basic Excel
* Experience in compliance project work and cross-functional initiatives.
* Independent thinker with sound judgment and the ability to challenge effectively.
* CRCM a plus.
Customer Accountabilities:
* Proactively advises the business of new and changed Compliance regulatory and/or policy changes
* Formulates relevant and meaningful insights from data analysis and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues
* Contributes to the development and implementation of Compliance programs
* Guides partner through the development, implementation, oversight and management of effective Compliance Programs
* Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance
* Represents Compliance on internal or external committees relating to designated business activities as required
* Delivers relevant subject matter expertise and Compliance advice to business management
* Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
* Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis
* Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate
Shareholder Accountabilities:
* Actively assists in developing Compliance Team procedures
* Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework
* Monitors that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion
* Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
* May provide review and content in the development of annual awareness training
* Manages the risk assessment process for assigned businesses
* Protects the interests of the organization, our customers and our communities - identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
* Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
* Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements
* Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
* Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
Employee/Team Accountabilities:
* Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
* Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business
* Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
* Participates in personal performance management and development activities, including cross training within own team
* Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
* Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
* Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
* Contributes to a fair, positive and equitable environment that supports a diverse workforce
* Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
Physical Requirements:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
* Domestic Travel - Occasional
* International Travel - Never
* Performing sedentary work - Continuous
* Performing multiple tasks - Continuous
* Operating standard office equipment - Continuous
* Responding quickly to sounds - Occasional
* Sitting - Continuous
* Standing - Occasional
* Walking - Occasional
* Moving safely in confined spaces - Occasional
* Lifting/Carrying (under 25 lbs.) - Occasional
* Lifting/Carrying (over 25 lbs.) - Never
* Squatting - Occasional
* Bending - Occasional
* Kneeling - Never
* Crawling - Never
* Climbing - Never
* Reaching overhead - Never
* Reaching forward - Occasional
* Pushing - Never
* Pulling - Never
* Twisting - Never
* Concentrating for long periods of time - Continuous
* Applying common sense to deal with problems involving standardized situations - Continuous
* Reading, writing and comprehending instructions - Continuous
* Adding, subtracting, multiplying and dividing - Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
#LI-AMCBCorporate
Who We Are:
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.
Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more
Additional Information:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.
Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
Interview Process
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at ***************. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
$86.8k-139.4k yearly Auto-Apply 3d ago
Compliance Analyst
Collabera 4.5
Compliance specialist job in Malvern, PA
Established in 1991, Collabera has been a leader in IT staffing for over 22 years and is one of the largest diversity IT staffing firms in the industry. As a half a billion dollar IT company, with more than 9,000 professionals across 30+ offices, Collabera offers comprehensive, cost-effective IT staffing & IT Services. We provide services to Fortune 500 and mid-size companies to meet their talent needs with high quality IT resources through Staff Augmentation, Global Talent Management, Value Added Services through CLASS (Competency Leveraged Advanced Staffing & Solutions) Permanent Placement Services and Vendor Management Programs.
Collabera recognizes true potential of human capital and provides people the right opportunities for growth and professional excellence. Collabera offers a full range of benefits to its employees including paid vacations, holidays, personal days, Medical, Dental and Vision insurance, 401K retirement savings plan, Life Insurance, Disability Insurance.
Job Description
Job Title: Compliance Analyst
Locations: Addison, TX - 75001 :: Malvern, PA - 19335 :: Orlando, Florida 32810
Duration: 12 months (Possible Extension)
Job Summary:
· Tracks, reviews and communicates pending and passed US federal regulations, agency guidelines or directives to impacted business units to ensure ongoing product compliance.
· Works with development groups to review and approve project requirements and design documents that pertain to or impact regulatory compliance and assists insetting priorities for regulatory issues that must be addressed by the business.
· Responds to internaland external client matters pertaining to product compliance and assists inproviding final disposition of any discrepancies. Performs periodic reviews and audits of products and services to validate compliance with high risk regulations or detect regulatory violations, weak controls or other potential areas of exposure.
General Duties &Responsibilities:
· Monitors and communicates regulatory changes that impact client products and services to internal and external customers.
· Conducts compliance assessments and provides direction on any deficiencies resulting from scheduled product reviews.
· Manages direction for development design specifications for compliance issues.
· Provides compliance reviews and direction for new and expanding products.
· Participates in development of compliance sessions/presentations.
· Participates in internal Education sessions promoting compliance awareness.
· Provides updates for monthly internal and external compliance reports.
· Meets with application product compliance liaisons on a regular basis for status updates on compliance issues.
· Interfaces with legal counsel and federal, state, and local agencies, as needed to resolve regulatory issues.
· Participates in compliance core group committee as needed.
· Participates in annual IRS and year-end processing modification project.
· Monitors and ensures timeline check-points are met for compliance projects.
· Responds to customer-specific questions.
· Coordinates development of customer communications related to compliance issues.
· Assists in comment letters responding to Federal Agencies' regulatory issues.
· Participates with and/or leads customer focus and advisory groups.
· Directs and approves internal and customer communications covering compliance issues (bulletins,position statements, monthly reports, etc.).
General Knowledge, Skills &Abilities:
· Communicates ideas both verbally and in written form in a clear, concise, and professional manner including presentations to employees and clients at all levels
· Extensive knowledge of banking regulations
· Must possess excellent analytical skills
· Ability to understand technical documents and legal or regulatory reference materials
· Ability to understand and apply learned concepts
· Demonstrated ability to plan and complete work within tight time limitations
· Ability to apply creative problem solving techniques and tools to compliance issues
· Ability to follow and conduct an audit program
Qualifications
Experience in one of the following:
· Performing loan-level mortgage servicing processes
· Managing a Mortgage Loan servicing process
· Working in a MortgageLoan Servicing Compliance role
Additional Information
To know more on this position or to schedule an interview please contact;
Jeff Demaala
************
$64k-88k yearly est. 60d+ ago
Compliance Analyst
Continental Finance Company
Compliance specialist job in Wilmington, DE
Come join a growing financial technology company that's leading the marketplace in both the marketing and servicing of credit cards! Continental Finance Company specializes in credit card options for those consumers with less than perfect credit. We are seeking a Compliance Analyst to support our Compliance team.
The Compliance Analyst is responsible for supporting the Compliance Management System (CMS) program for credit cards to ensure compliance in various aspects of the business with federal, state, and local regulations, and partner relationships.
Essential Functions:
Provide comprehensive support to all aspects of the Company's CMS Program.
Assist with the planning, preparation, execution and reporting of audits, monitoring, and testing in all aspects of the Company's CMS Program.
Prepare deliverables for audits, review testing findings, and make recommendations for improvements.
Review suspicious transactions and support the QAR filing process with bank partners.
Assist in the implementation of new-compliance related processes and subsequent business line integration.
Effectively plan and function as audit lead for scheduled audits of various areas (compliance, operational, systems-oriented) subject to audit within the Company, assigning personnel to specific audit activities and reviewing audit deliverables for adequacy of coverage and content to support audit requests and findings.
Develop, review, and analyze the ongoing effectiveness of all audit programs, recommending changes and improvements as appropriate, to the Audit Manager.
Assist with maintaining the Company's KYC/CIP and AML/BSA/OFAC Programs.
Develop and implement effective audit techniques and procedures and utilize documentation skills which adequately support audit requests and findings within a timely manner.
Evaluate and analyze the effectiveness of more complex procedures and internal controls within the assigned corporate or compliance area, using appropriate audit skills, techniques, and judgment.
Assist the Compliance Manager, VP of Compliance, and Chief Compliance Officer with other ad hoc projects.
The ideal candidate will have the following:
Minimum 1-3 years of relevant consumer lending analytical compliance experience.
Minimum of 1-2 years of BSA/AML experience.
Bachelor's degree required. Other compliance certification or designation is a plus.
Strong knowledge of laws, regulations, and requirements applicable to consumer lending and credit cards including TILA, FCRA, UDAAP, FDCPA, ECOA, Fair Lending, E-SIGN, MLA, SCRA, EFTA, SCRA, GBLA, BSA/AML and OFAC.
Experience with performing compliance risk assessments, audits, and/or monitoring and testing.
Experience with review of suspicious transactions/SAR filing.
Proactive, self-starter, capable of productive work both independently and as part of the team, with a desire to learn quickly and take ownership.
Exemplary organizational skills
Strong track record in working collaboratively.
Ability to multi-task in a fast-paced environment is essential, with prior experience working for a fintech, regulator, bank, or consumer finance business.
Why Continental Finance?
Continental Finance Company (the “CFC”) is one of America's leading marketers and servicers of credit cards for consumers with less-than-perfect credit. Since our founding in 2005, we have prided ourselves on corporate responsibility to customers in terms of a strong customer support program and fair treatment. With our success, we have also grown into an innovative financial tech company! With a state-of-the-art consumer marketing and servicing platform, we provide a variety of services to consumers when other financial institutions will not accommodate them. With more than 2.6 million credit cards managed and serviced since our founding, we pride ourselves on putting the customer first. We are not a chartered banking financial institution, nor are we a debt originator or a credit card issuer.
CFC is an equal opportunity employer that is committed to inclusion and diversity. Our company provides equal employment opportunity (EEO) regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity, or veteran status.
CFC is seeking bright, energetic individuals that will help us grow and develop together! We uphold a promise to treat our employees with the same care and concern as we do our customers. We offer all employees competitive compensation and benefits in an exciting, fast-paced business casual environment. Join our growing team and apply online today!
CFC offers a hybrid work schedule which includes three (3) core days in the office (Tuesday, Wednesday, and Thursday) and two (2) remote workdays (Monday and Friday)
#LI-HYBRID
How much does a compliance specialist earn in Upper Darby, PA?
The average compliance specialist in Upper Darby, PA earns between $41,000 and $93,000 annually. This compares to the national average compliance specialist range of $38,000 to $85,000.
Average compliance specialist salary in Upper Darby, PA
$62,000
What are the biggest employers of Compliance Specialists in Upper Darby, PA?
The biggest employers of Compliance Specialists in Upper Darby, PA are: