Compliance Officer jobs at Credit Agricole CIB - 331 jobs

FuturePlan is the nation's largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds: high-touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined together to deliver unmatched levels of service, innovation and expertise to a fast-growing client base from coast to coast. The FuturePlan team includes more than 500 credentialed plan professionals, 60 actuaries, and one of the industry's largest in-house ERISA teams. Learn more at FuturePlan.com. Section 1: Position Summary Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. * We have several openings for this role.* Section 2: Job Functions, Essential Duties and Responsibilities * Ability to successfully complete and support the work outlined for the Compliance Associate roles * Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations. * Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information * Supports DOL, IRS, and Large plan audits * Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans * Is responsible for plan administration, compliance and testing for identified blocks of business * Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines * Prepares annual valuation and compliance reports for Clients * Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents * Supports and completes assigned quality assurance reviews * Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients. * Our I-Client service philosophy and our Core Values of People Matter, Quality First and Integrity Always should be visible in your actions on a day to day basis showing your support of our organizational culture. * Assist with other tasks and projects as assigned Section 3: Experience, Skills, Knowledge Requirements * Bachelor's degree preferred * 3 to 8+ years of hands-on Retirement plan testing experience will be considered * Experience doing Employer Calculations * Must have experience with 5500's and other relevant documents * Experience with cash basis and/or trust accounting * Strong Word, Excel, and Outlook skills * Strong written and oral communication skills * Strong analytical and problem-solving skills * Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters * Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements * QKA designation preferred but not required * Involvement or work towards associates QPA designation preferred * Prior experience with plan administration software, i.e. FT Williams or ASC preferred. The national average salary is $65,000 - $95,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis. Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits. We are proud to be an Equal Opportunity Employer Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate ****************** ****************** email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website. For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual work space and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 MBps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying. Ascensus provides equal employment opportunities to all associates and applicants for employment without regard to ancestry, race, color, religion, sex, (including pregnancy, childbirth, breastfeeding and/or related medical conditions), gender, gender identity, gender expression, national origin, age, physical or mental disability, medical condition (including cancer and genetic characteristics), marital status, military or veteran status, genetic information, sexual orientation, criminal conviction record or any other protected category in accordance with applicable federal, state, or local laws ("Protected Status").

FuturePlan is the nation's largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds: high-touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined together to deliver unmatched levels of service, innovation and expertise to a fast-growing client base from coast to coast. The FuturePlan team includes more than 500 credentialed plan professionals, 60 actuaries, and one of the industry's largest in-house ERISA teams. Learn more at FuturePlan.com. Section 1: Position Summary Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. * We have several openings for this role.* Section 2: Job Functions, Essential Duties and Responsibilities * Ability to successfully complete and support the work outlined for the Compliance Associate roles * Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations. * Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information * Supports DOL, IRS, and Large plan audits * Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans * Is responsible for plan administration, compliance and testing for identified blocks of business * Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines * Prepares annual valuation and compliance reports for Clients * Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents * Supports and completes assigned quality assurance reviews * Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients. * Our I-Client service philosophy and our Core Values of People Matter, Quality First and Integrity Always should be visible in your actions on a day to day basis showing your support of our organizational culture. * Assist with other tasks and projects as assigned Section 3: Experience, Skills, Knowledge Requirements * Bachelor's degree preferred * 3 to 8+ years of hands-on Retirement plan testing experience will be considered * Experience doing Employer Calculations * Must have experience with 5500's and other relevant documents * Experience with cash basis and/or trust accounting * Strong Word, Excel, and Outlook skills * Strong written and oral communication skills * Strong analytical and problem-solving skills * Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters * Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements * QKA designation preferred but not required * Involvement or work towards associates QPA designation preferred * Prior experience with plan administration software, i.e. FT Williams or ASC preferred. The national average salary is $65,000 - $95,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis. Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits. We are proud to be an Equal Opportunity Employer Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate ****************** ****************** email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website. For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual work space and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 MBps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying. Ascensus provides equal employment opportunities to all associates and applicants for employment without regard to ancestry, race, color, religion, sex, (including pregnancy, childbirth, breastfeeding and/or related medical conditions), gender, gender identity, gender expression, national origin, age, physical or mental disability, medical condition (including cancer and genetic characteristics), marital status, military or veteran status, genetic information, sexual orientation, criminal conviction record or any other protected category in accordance with applicable federal, state, or local laws ("Protected Status").

FuturePlan is the nation's largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds: high-touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined together to deliver unmatched levels of service, innovation and expertise to a fast-growing client base from coast to coast. The FuturePlan team includes more than 500 credentialed plan professionals, 60 actuaries, and one of the industry's largest in-house ERISA teams. Learn more at FuturePlan.com. Section 1: Position Summary Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. * We have several openings for this role.* Section 2: Job Functions, Essential Duties and Responsibilities * Ability to successfully complete and support the work outlined for the Compliance Associate roles * Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations. * Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information * Supports DOL, IRS, and Large plan audits * Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans * Is responsible for plan administration, compliance and testing for identified blocks of business * Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines * Prepares annual valuation and compliance reports for Clients * Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents * Supports and completes assigned quality assurance reviews * Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients. * Our I-Client service philosophy and our Core Values of People Matter, Quality First and Integrity Always should be visible in your actions on a day to day basis showing your support of our organizational culture. * Assist with other tasks and projects as assigned Section 3: Experience, Skills, Knowledge Requirements * Bachelor's degree preferred * 3 to 8+ years of hands-on Retirement plan testing experience will be considered * Experience doing Employer Calculations * Must have experience with 5500's and other relevant documents * Experience with cash basis and/or trust accounting * Strong Word, Excel, and Outlook skills * Strong written and oral communication skills * Strong analytical and problem-solving skills * Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters * Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements * QKA designation preferred but not required * Involvement or work towards associates QPA designation preferred * Prior experience with plan administration software, i.e. FT Williams or ASC preferred. The national average salary is $65,000 - $95,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis. Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits. We are proud to be an Equal Opportunity Employer Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate ****************** ****************** email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website. For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual work space and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 MBps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying. Ascensus provides equal employment opportunities to all associates and applicants for employment without regard to ancestry, race, color, religion, sex, (including pregnancy, childbirth, breastfeeding and/or related medical conditions), gender, gender identity, gender expression, national origin, age, physical or mental disability, medical condition (including cancer and genetic characteristics), marital status, military or veteran status, genetic information, sexual orientation, criminal conviction record or any other protected category in accordance with applicable federal, state, or local laws ("Protected Status").

FuturePlan is the nation's largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds: high-touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined together to deliver unmatched levels of service, innovation and expertise to a fast-growing client base from coast to coast. The FuturePlan team includes more than 500 credentialed plan professionals, 60 actuaries, and one of the industry's largest in-house ERISA teams. Learn more at FuturePlan.com. Section 1: Position Summary Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. * We have several openings for this role.* Section 2: Job Functions, Essential Duties and Responsibilities * Ability to successfully complete and support the work outlined for the Compliance Associate roles * Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations. * Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information * Supports DOL, IRS, and Large plan audits * Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans * Is responsible for plan administration, compliance and testing for identified blocks of business * Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines * Prepares annual valuation and compliance reports for Clients * Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents * Supports and completes assigned quality assurance reviews * Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients. * Our I-Client service philosophy and our Core Values of People Matter, Quality First and Integrity Always should be visible in your actions on a day to day basis showing your support of our organizational culture. * Assist with other tasks and projects as assigned Section 3: Experience, Skills, Knowledge Requirements * Bachelor's degree preferred * 3 to 8+ years of hands-on Retirement plan testing experience will be considered * Experience doing Employer Calculations * Must have experience with 5500's and other relevant documents * Experience with cash basis and/or trust accounting * Strong Word, Excel, and Outlook skills * Strong written and oral communication skills * Strong analytical and problem-solving skills * Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters * Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements * QKA designation preferred but not required * Involvement or work towards associates QPA designation preferred * Prior experience with plan administration software, i.e. FT Williams or ASC preferred. The national average salary is $65,000 - $95,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis. Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits. We are proud to be an Equal Opportunity Employer Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate ****************** ****************** email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website. For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual work space and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 MBps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying. Ascensus provides equal employment opportunities to all associates and applicants for employment without regard to ancestry, race, color, religion, sex, (including pregnancy, childbirth, breastfeeding and/or related medical conditions), gender, gender identity, gender expression, national origin, age, physical or mental disability, medical condition (including cancer and genetic characteristics), marital status, military or veteran status, genetic information, sexual orientation, criminal conviction record or any other protected category in accordance with applicable federal, state, or local laws ("Protected Status").

Job Classification: Corporate - Legal and Compliance Prudential Financial companies serve individual and institutional customers worldwide and include The Prudential Insurance Company of America, one of the largest life insurance companies in the United States. These companies offer a variety of products and services, including life insurance, mutual funds, annuities, pension and retirement-related services and administration, asset management, banking and trust services, real estate brokerage franchises, and relocation services. For more information, visit ******************* PGIM Global Marketing and Distribution Compliance is seeking an Analyst role to be in Newark, N.J. The analyst will work within the Compliance organization to support the global regulatory, contractual, and compliance requirements associated with the activities of the registered investment adviser. PGIM is the principal asset management business of Prudential Financial. The Analyst will support the compliance team to transform and evolve the existing compliance program through the on-going development of efficient, consistent and effective policies and programs. This includes but is not limited to the development of compliance culture, awareness, training, monitoring and testing, reporting and metrics, maintenance of books and records and documentation. The role will primarily focus on supporting the marketing and distribution activities for affiliated business teams with the review and approval of marketing materials and other advertising collateral promoting the PGIM business and developing enhanced processes within a centralized team. Additional focus will be to support and partner with sales and product management teams around sales practices to provide proactive regulatory guidance on initiatives, product development, fund launches and brand campaigns. The role also involves supporting strategic initiatives across PGIM, as well as broader corporate compliance mandates. The current EWA for this position is Hybrid or Remote and requires your on-site presence on a reoccurring basis as determined by your business. Your manager will provide additional details relative to the specific number of days you are expected to be on-site. What you can expect: The scope and responsibilities of this role will not be static. As business needs and compliance objectives change, the responsibilities of the position are expected to evolve to meet the changing regulatory landscape and departmental deliverables. Responsibilities include: • Support PGIM Global Marketing and Distribution Compliance in designing an effective compliance program to prevent, detect and mitigate violations of all applicable law, regulation, and Prudential policies: • Provide compliance support to global marketing and distribution activities. • Conduct thorough reviews of all marketing and advertising materials- including print, digital, social media, and presentations- to ensure compliance with SEC, FINRA, and other applicable regulatory requirements. • Coordinate with compliance, legal, and business partners to develop solutions and provide business teams guidance on regulatory best practices. • Proactively maintain up-to-date knowledge of relevant regulations, including SEC Rule 206(4)-1(Marketing Rule), FINRA Rule 2210(Communications with the Public), and other applicable rules and interpretive guidance. • Demonstrate a solution-oriented mindset, effectively collaborate with business partners and other teams, provide timely, quality work product, meet manager standards and deadlines; and assist in managing the department's deliverables. What you'll need: A successful candidate will have intellectual curiosity, business acumen, and be solutions oriented. The successful candidate also will possess an ownership mindset and is comfortable navigating uncertainty. Other required qualifications include: • Marketing and communication review experience required, particularly reviews of adviser and separate account materials. Prior experience with mutual funds, ETFs, non-registered products, CITs, UCITs, and private funds a plus. • Demonstrated understanding of the regulatory framework for the marketing and distribution of separate accounts and other investment products (e.g., mutual funds, ETFs, 3c7, collective funds). • FINRA Series 7 and 24 are preferred, but not mandatory for consideration. Candidates without these licenses will be given the opportunity to obtain. #LI-Remote What we offer you:Prudential is required by state specific laws to include the salary range for this role when hiring a resident in applicable locations. The salary range for this role is from $83,500.00 to $129,500.00. Specific pricing for the role may vary within the above range based on many factors including geographic location, candidate experience, and skills. Market competitive base salaries, with a yearly bonus potential at every level. Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, such as parental and military leave. 401(k) plan with company match (up to 4%). Company-funded pension plan. Wellness Programs including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs. Work/Life Resources to help support topics such as parenting, housing, senior care, finances, pets, legal matters, education, emotional and mental health, and career development. Education Benefit to help finance traditional college enrollment toward obtaining an approved degree and many accredited certificate programs. Employee Stock Purchase Plan: Shares can be purchased at 85% of the lower of two prices (Beginning or End of the purchase period), after one year of service. Eligibility to participate in a discretionary annual incentive program is subject to the rules governing the program, whereby an award, if any, depends on various factors including, without limitation, individual and organizational performance. To find out more about our Total Rewards package, visit Work Life Balance | Prudential Careers. Some of the above benefits may not apply to part-time employees scheduled to work less than 20 hours per week. Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom. Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status, medical condition or any other characteristic protected by law. If you need an accommodation to complete the application process, please email accommodations.hw@prudential.com. If you are experiencing a technical issue with your application or an assessment, please email *************************************** to request assistance.

Who We Are: Oppenheimer & Co. Inc. (Oppenheimer) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Job Description: Oppenheimer's is seeking a Surveillance Analyst that will support the daily functions of the Compliance department. The role is based in New York. Responsibilities: * Analyze current business processes and systems, define needs and document business change requirements * Monitor customer trading activity for suitability via surveillance alerts and reports * Review Financial Advisors, Branch Management and Branch Personnel to ensure they are following the policies and procedures of the Firm * Design, develop and test new monitoring reports * Regularly engage in verbal and written communications with business and support groups on compliance, sales practices, and best practices * Analyze problems and assisting with solving and good decision making * Collaborate with the other divisions within the Compliance Department on special projects * Understand and apply broker/dealer regulatory rules * Testing of 3130 Annual Certification of Compliance and Supervisory Processes Requirements: * Bachelors degree required; licenses a plus but not required * 1-2 years of relevant work experience * Strong analysis, problem solving and decision making skills * Excellent communication skills and attention to detail are a must * Ability to follow directions and procedures accurately and thoroughly * Intermediate computer skills including Microsoft Office Key criteria to have: * Being able to determine if a trade is in line (or not in line) with the new account form * Identifying suitability issues * KYC suitability reviews Compensation: For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $60,000.00 - $80,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Job Description: Oppenheimer's is seeking a Surveillance Analyst that will support the daily functions of the Compliance department. The role is based in New York. Responsibilities: Analyze current business processes and systems, define needs and document business change requirements Monitor customer trading activity for suitability via surveillance alerts and reports Review Financial Advisors, Branch Management and Branch Personnel to ensure they are following the policies and procedures of the Firm Design, develop and test new monitoring reports Regularly engage in verbal and written communications with business and support groups on compliance, sales practices, and best practices Analyze problems and assisting with solving and good decision making Collaborate with the other divisions within the Compliance Department on special projects Understand and apply broker/dealer regulatory rules Testing of 3130 Annual Certification of Compliance and Supervisory Processes Requirements: Bachelor's degree required; licenses a plus but not required 1-2 years of relevant work experience Strong analysis, problem solving and decision making skills Excellent communication skills and attention to detail are a must Ability to follow directions and procedures accurately and thoroughly Intermediate computer skills including Microsoft Office Key criteria to have: Being able to determine if a trade is in line (or not in line) with the new account form Identifying suitability issues KYC suitability reviews Compensation: For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $60,000.00 - $80,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

Who We Are: Oppenheimer & Co. Inc. ( Oppenheimer ) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Job Description: Oppenheimer's is seeking a Surveillance Analyst that will support the daily functions of the Compliance department. The role is based in New York. Responsibilities: Analyze current business processes and systems, define needs and document business change requirements Monitor customer trading activity for suitability via surveillance alerts and reports Review Financial Advisors, Branch Management and Branch Personnel to ensure they are following the policies and procedures of the Firm Design, develop and test new monitoring reports Regularly engage in verbal and written communications with business and support groups on compliance, sales practices, and best practices Analyze problems and assisting with solving and good decision making Collaborate with the other divisions within the Compliance Department on special projects Understand and apply broker/dealer regulatory rules Testing of 3130 Annual Certification of Compliance and Supervisory Processes Requirements: Bachelor s degree required; licenses a plus but not required 1-2 years of relevant work experience Strong analysis, problem solving and decision making skills Excellent communication skills and attention to detail are a must Ability to follow directions and procedures accurately and thoroughly Intermediate computer skills including Microsoft Office Key criteria to have: Being able to determine if a trade is in line (or not in line) with the new account form Identifying suitability issues KYC suitability reviews Compensation: For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $60,000.00 - $80,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

This role is located in New York City and will require a hybrid work schedule of at least 2 days in office per week. This role is for Assistant Officer level candidates. About the Bank Sumitomo Mitsui Trust Bank, Limited was established through the merger of The Sumitomo Trust and Banking Co., Ltd with Chuo Mitsui Trust and Banking, Ltd. on April 1, 2012. We are one of the largest asset managers in Asia and number one among Japanese financial institutions by AUM, with approximately $850 Billion USD in AUM. The Bank provides an assortment of financial solutions and manages a broad spectrum of financial products across its global branches.Department Overview: The Americas Division (“AD”) was established in the Sumitomo Mitsui Trust Bank, Limited, New York Branch) (“SMTBNY”) to perform corporate functions and supervise U.S. entities. Established under the AD are the “Global Banking Unit (“GBU”), Americas Division” and “Global Markets Unit (“GMU”), Americas Division” which performs business functions. The Regulatory Compliance Department (“RCD”) provides support to all departments of the New York Branch for regulatory compliance related advice, monitoring, self-testing, and reporting in order to reduce regulatory risk of Sumitomo Mitsui Trust Bank, Limited (“SMTB”). Your Role Overview: The Compliance Analyst is responsible for identifying and developing criteria and commentary on critical compliance issues across the Bank. Prepares and delivers Bank-wide and targeted training. Drafts new and existing policies and procedures to ensure that the Bank meets the requirement of various legal and regulatory agencies. Responsible for Know Your Customer due diligence, monitoring employee accounts, and Anti Money Laundering activities. Ensures ongoing improvement and evolution of governance programs and identifies risks and/or gaps in the system. Your Duties and Responsibilities Clears Prime System generated BSA related alerts and documents rationales. Performs various watch list related verifications and record-keeping (OFAC/ FinCEN 314a/Japan List). Performs BSA compliance Tests as well as Corporate Compliance Tests Performs Customer/Account Profile reviews via Surety software. Reconciles Employee Personal Trading Monitoring Program related documents. Updates various compliance related logs and keeps track of compliance related documents. Arrange meetings, take minutes. Assists and prepares compliance testing work papers for all the tests performed. Participates in periodic compliance related committees. Take minutes. Assists with preparation of Fed/State pre-planning and introduction letter/first day letter materials. Maintains files on appropriate regulatory compliance related issues. Prepares Compliance newsletter to be sent within the department weekly and Branch wide Compliance newsletter to be sent within the Branch monthly. Prepares various monthly reports. Assists with the Annual Risk Assessment of BSA and Corporate Compliance. Ensures that ethical practices are effectively communicated to all employees throughout SMTBNY and promotes adherence to all ethical practices by all employees. Performs other duties and responsibilities as assigned by management. Your Qualifications: Bachelor's degree or equivalent. Excellent computer skills in Microsoft Office (Excel, Word, and PowerPoint). Excellent interpersonal skills, good oral and written communication skills. Good detail orientation, organizational, and multitasking skills. Strong basic math skills required. Proficiency in Excel, Access, VBA script, preferred. Why you should join SuMi Trust:SuMi Trust embraces flexible ways of working when the business and role permits. We provide employees with a hybrid working model, allowing for in-office work and work from home. Our diverse and inclusive environment along with our global presence enables us to collaborate and communicate to meet our business needs. We believe that efficient teams need truth, loyalty, and a strong sense of purpose to balance risk and their targets. We make sustainable business decisions to improve our society and the world. We believe that each person brings a unique value that drives the business though their creativity and passion. The Employee Benefits package includes: Paid Time Off, medical, HSA, vision, dental, FSA, 401(k), profit sharing, legal plan, cancer indemnity plan, disability insurance, life insurance, employee assistance program, commuter benefits, business travel accident, paid volunteer day, paid memberships, paid seminars, and tuition assistance. We offer many socialization opportunities for wellness, financial wellbeing, runs/walks, team building, happy hours, and activities to support the Sustainable Developmental Goals. Check out our LinkedIn for our employee experience: *************************************** We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law. SuMi Trust provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application

This role is located in New York City and will require a hybrid work schedule of at least 2 days in office per week. This role is for Assistant Officer level candidates. About the Bank Sumitomo Mitsui Trust Bank, Limited was established through the merger of The Sumitomo Trust and Banking Co., Ltd with Chuo Mitsui Trust and Banking, Ltd. on April 1, 2012. We are one of the largest asset managers in Asia and number one among Japanese financial institutions by AUM, with approximately $850 Billion USD in AUM. The Bank provides an assortment of financial solutions and manages a broad spectrum of financial products across its global branches. Department Overview: The Americas Division (“AD”) was established in the Sumitomo Mitsui Trust Bank, Limited, New York Branch) (“SMTBNY”) to perform corporate functions and supervise U.S. entities. Established under the AD are the “Global Banking Unit (“GBU”), Americas Division” and “Global Markets Unit (“GMU”), Americas Division” which performs business functions. The Regulatory Compliance Department (“RCD”) provides support to all departments of the New York Branch for regulatory compliance related advice, monitoring, self-testing, and reporting in order to reduce regulatory risk of Sumitomo Mitsui Trust Bank, Limited (“SMTB”). Your Role Overview: The Compliance Analyst is responsible for identifying and developing criteria and commentary on critical compliance issues across the Bank. Prepares and delivers Bank-wide and targeted training. Drafts new and existing policies and procedures to ensure that the Bank meets the requirement of various legal and regulatory agencies. Responsible for Know Your Customer due diligence, monitoring employee accounts, and Anti Money Laundering activities. Ensures ongoing improvement and evolution of governance programs and identifies risks and/or gaps in the system. Your Duties and Responsibilities Clears Prime System generated BSA related alerts and documents rationales. Performs various watch list related verifications and record-keeping (OFAC/ FinCEN 314a/Japan List). Performs BSA compliance Tests as well as Corporate Compliance Tests Performs Customer/Account Profile reviews via Surety software. Reconciles Employee Personal Trading Monitoring Program related documents. Updates various compliance related logs and keeps track of compliance related documents. Arrange meetings, take minutes. Assists and prepares compliance testing work papers for all the tests performed. Participates in periodic compliance related committees. Take minutes. Assists with preparation of Fed/State pre-planning and introduction letter/first day letter materials. Maintains files on appropriate regulatory compliance related issues. Prepares Compliance newsletter to be sent within the department weekly and Branch wide Compliance newsletter to be sent within the Branch monthly. Prepares various monthly reports. Assists with the Annual Risk Assessment of BSA and Corporate Compliance. Ensures that ethical practices are effectively communicated to all employees throughout SMTBNY and promotes adherence to all ethical practices by all employees. Performs other duties and responsibilities as assigned by management. Your Qualifications: Bachelor's degree or equivalent. Excellent computer skills in Microsoft Office (Excel, Word, and PowerPoint). Excellent interpersonal skills, good oral and written communication skills. Good detail orientation, organizational, and multitasking skills. Strong basic math skills required. Proficiency in Excel, Access, VBA script, preferred. Why you should join SuMi Trust:SuMi Trust embraces flexible ways of working when the business and role permits. We provide employees with a hybrid working model, allowing for in-office work and work from home. Our diverse and inclusive environment along with our global presence enables us to collaborate and communicate to meet our business needs. We believe that efficient teams need truth, loyalty, and a strong sense of purpose to balance risk and their targets. We make sustainable business decisions to improve our society and the world. We believe that each person brings a unique value that drives the business though their creativity and passion. The Employee Benefits package includes: Paid Time Off, medical, HSA, vision, dental, FSA, 401(k), profit sharing, legal plan, cancer indemnity plan, disability insurance, life insurance, employee assistance program, commuter benefits, business travel accident, paid volunteer day, paid memberships, paid seminars, and tuition assistance. We offer many socialization opportunities for wellness, financial wellbeing, runs/walks, team building, happy hours, and activities to support the Sustainable Developmental Goals. Check out our LinkedIn for our employee experience: *************************************** We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law. SuMi Trust provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application

Job DescriptionThis role is located in New York City and will require a hybrid work schedule of at least 2 days in office per week. This role is for Assistant Officer level candidates. About the Bank Sumitomo Mitsui Trust Bank, Limited was established through the merger of The Sumitomo Trust and Banking Co., Ltd with Chuo Mitsui Trust and Banking, Ltd. on April 1, 2012. We are one of the largest asset managers in Asia and number one among Japanese financial institutions by AUM, with approximately $850 Billion USD in AUM. The Bank provides an assortment of financial solutions and manages a broad spectrum of financial products across its global branches. Department Overview: The Americas Division (“AD”) was established in the Sumitomo Mitsui Trust Bank, Limited, New York Branch) (“SMTBNY”) to perform corporate functions and supervise U.S. entities. Established under the AD are the “Global Banking Unit (“GBU”), Americas Division” and “Global Markets Unit (“GMU”), Americas Division” which performs business functions. The Regulatory Compliance Department (“RCD”) provides support to all departments of the New York Branch for regulatory compliance related advice, monitoring, self-testing, and reporting in order to reduce regulatory risk of Sumitomo Mitsui Trust Bank, Limited (“SMTB”). Your Role Overview: The Compliance Analyst is responsible for identifying and developing criteria and commentary on critical compliance issues across the Bank. Prepares and delivers Bank-wide and targeted training. Drafts new and existing policies and procedures to ensure that the Bank meets the requirement of various legal and regulatory agencies. Responsible for Know Your Customer due diligence, monitoring employee accounts, and Anti Money Laundering activities. Ensures ongoing improvement and evolution of governance programs and identifies risks and/or gaps in the system. Your Duties and Responsibilities Clears Prime System generated BSA related alerts and documents rationales. Performs various watch list related verifications and record-keeping (OFAC/ FinCEN 314a/Japan List). Performs BSA compliance Tests as well as Corporate Compliance Tests Performs Customer/Account Profile reviews via Surety software. Reconciles Employee Personal Trading Monitoring Program related documents. Updates various compliance related logs and keeps track of compliance related documents. Arrange meetings, take minutes. Assists and prepares compliance testing work papers for all the tests performed. Participates in periodic compliance related committees. Take minutes. Assists with preparation of Fed/State pre-planning and introduction letter/first day letter materials. Maintains files on appropriate regulatory compliance related issues. Prepares Compliance newsletter to be sent within the department weekly and Branch wide Compliance newsletter to be sent within the Branch monthly. Prepares various monthly reports. Assists with the Annual Risk Assessment of BSA and Corporate Compliance. Ensures that ethical practices are effectively communicated to all employees throughout SMTBNY and promotes adherence to all ethical practices by all employees. Performs other duties and responsibilities as assigned by management. Your Qualifications: Bachelor's degree or equivalent. Excellent computer skills in Microsoft Office (Excel, Word, and PowerPoint). Excellent interpersonal skills, good oral and written communication skills. Good detail orientation, organizational, and multitasking skills. Strong basic math skills required. Proficiency in Excel, Access, VBA script, preferred. Why you should join SuMi Trust:SuMi Trust embraces flexible ways of working when the business and role permits. We provide employees with a hybrid working model, allowing for in-office work and work from home. Our diverse and inclusive environment along with our global presence enables us to collaborate and communicate to meet our business needs. We believe that efficient teams need truth, loyalty, and a strong sense of purpose to balance risk and their targets. We make sustainable business decisions to improve our society and the world. We believe that each person brings a unique value that drives the business though their creativity and passion. The Employee Benefits package includes: Paid Time Off, medical, HSA, vision, dental, FSA, 401(k), profit sharing, legal plan, cancer indemnity plan, disability insurance, life insurance, employee assistance program, commuter benefits, business travel accident, paid volunteer day, paid memberships, paid seminars, and tuition assistance. We offer many socialization opportunities for wellness, financial wellbeing, runs/walks, team building, happy hours, and activities to support the Sustainable Developmental Goals. Check out our LinkedIn for our employee experience: *************************************** We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law. SuMi Trust provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application

Join the Governance, Risk, and Compliance (GRC) team, a dynamic, high-impact group committed to maintaining the integrity and stability of global financial markets. We are seeking a highly motivated and experienced Compliance professional to join us and support our critical Futures Commission Merchant (FCM) compliance activities, which will be operated within our Joint Venture with FanDuel. This role is for a self-starter who thrives in a fast-paced environment and is passionate about executing compliance strategies and protecting the firm and its clients. You will serve as a core implementer, translating complex regulatory requirements into clear, actionable measures. What You'll Get A supportive environment fostering, continuous learning, and an inclusive culture. Broad exposure to CME's diverse products, asset classes, and cross-functional teams. A competitive salary and comprehensive benefits package. What You'll Do As a Compliance Analyst, you will be a core implementer and resource for the team, executing key compliance functions. Assist in implementing practical regulatory guidance on issues related to futures and swaps trading, including retail customers, options, and margin requirements. Review transaction monitoring alerts and complete appropriate resolutions. Conduct ongoing monitoring of customer risk ratings and incoming customer complaints. Complete electronic communication reviews. Support the compliance aspects of developing and rolling out new trading products and services across the firm. Coordinate and prepare responses for regulatory inquiries, examinations, and investigations, as well as matters involving client arbitration and litigation. Maintain and update policies and procedures. Monitor new and amended industry rules, assess their immediate impact, and contribute to implementing necessary compliance changes. Participate in internal working groups and governance forums, providing necessary advice and documentary support. What You'll Bring The ideal candidate possesses a strong regulatory background, relevant industry experience, and proven execution skills. Bachelor's degree in Finance, Business, Law, or a related field; advanced degree or relevant certification is a plus. 1-3 years of regulatory or compliance experience focused on FCM regulation within a financial services firm, regulatory agency, or self-regulatory organization. Strong foundational knowledge of the Commodity Exchange Act, CFTC Regulations, and NFA/exchange rules. Developed written and oral communication skills, capable of summarizing complex regulatory issues concisely. Effective organizational and time management skills, including the ability to prioritize and work independently to meet deadlines. Strong interpersonal skills to foster teamwork and maintain effective relationships with colleagues, clients, and regulators. Ability to identify compliance issues and actively assist in the development of remedial enhancements to forms, policies, and control processes. #LI-DD1 CME Group is committed to offering a competitive total rewards package for our employees that recognizes their contributions to the business and reflects our long-term investment in their future. The pay range for this role is $71,300-$118,800. Actual salary offered will be dependent on a wide array of factors including but not limited to: relevant experience, skills, education and comparison to internal employees (where relevant). Our compensation program also includes an annual target bonus opportunity for all employees, as well as the opportunity to become an owner in the company through our broad-based equity program. Through our benefits program, we strive to offer flexibility, value and choice. From comprehensive health coverage, to a retirement package that includes both a 401(k) and an active pension plan, to highly competitive education reimbursement provisions, paid time off and a mental health benefit, CME Group offers a holistic benefits package for our team and their dependents. CME Group: Where Futures are Made CME Group is the world's leading derivatives marketplace. But who we are goes deeper than that. Here, you can impact markets worldwide. Transform industries. And build a career by shaping tomorrow. We invest in your success and you own it - all while working alongside a team of leading experts who inspire you in ways big and small. Problem solvers, difference makers, trailblazers. Those are our people. And we're looking for more. At CME Group, we embrace our employees' unique experiences and skills to ensure that everyone's perspectives are acknowledged and valued. As an equal-opportunity employer, we consider all potential employees without regard to any protected characteristic. Important Notice: Recruitment fraud is on the rise, with scammers using misleading promises of job offers and interviews to solicit money and personal information from job seekers. CME Group adheres to established procedures designed to maintain trust, confidence and security throughout our recruitment process. Learn more here.

Our Purpose Mastercard powers economies and empowers people in 200+ countries and territories worldwide. Together with our customers, we're helping build a sustainable economy where everyone can prosper. We support a wide range of digital payments choices, making transactions secure, simple, smart and accessible. Our technology and innovation, partnerships and networks combine to deliver a unique set of products and services that help people, businesses and governments realize their greatest potential. Title and Summary Director, Legal Compliance - Crypto Mastercard Transaction Services Overview At Mastercard, we are committed to protecting our network and solutions from being used to facilitate money laundering and terrorist financing. The Director, Legal Compliance-Crypto, MTS will report to the MTS US AML/CFT Officer, MTS. MTS is a strategic enterprise asset within Mastercard's Commercial and New Payment Flows organization. It provides compliance services across regulated and non-regulated payment flows, including crypto-related services. This role will closely collaborate with the Director, Digital Currency Enablement, MTS. The role is designed to develop and oversee MTS' Operations Team, with occasional involvement in MTS' FIU cryptocurrency alert investigations and regulatory reporting. The Role * Build and oversee MTS' Operations Team, which manages AML/Sanctions onboarding, due diligence, transaction monitoring, and investigations for Virtual Asset Service Providers (VASPs) and crypto-related programs, including: o Crypto card programs o Stablecoins (e.g., USDC, PYUSD) o Send Crypto programs o Crypto Credential * Design, implement, and maintain MTS' crypto compliance framework, including updates to policies and procedures and management information systems * Lead cross-functional efforts to onboard crypto partners, conduct risk assessments, and develop robust compliance controls. * Partner closely with Legal, Regulatory, Risk, Product, and Engineering teams to ensure seamless integration of crypto services. * Lead compliance discussions on initiatives such as stablecoin settlements and crypto card programs. * Assist with responding to regulatory exams, audits, and inquiries. * Oversee the tuning and optimization of blockchain analytics tools used across crypto services. * Oversee escalations from the Operations Team utilizing blockchain analytics and traditional compliance tools as needed * Manage and oversee training and guidance to internal teams on crypto compliance tools, risks and investigative techniques including on and off-chain due diligence, advanced on chain analytics. * Occasionally support the FIU Team in investigating and reporting crypto-related payments. * Maintain strong industry knowledge of regulatory developments, industry trends, and best practices in crypto compliance, and update internal policies and procedures accordingly. All About You * Bachelor's degree or equivalent experience in Manager-level crypto compliance or risk management within financial services or payments. * Minimum 7 years of progressive experience in cryptocurrency, stablecoins, and money transfer systems. * Strong understanding of crypto compliance (AML, KYC, Sanctions, transaction monitoring, investigations), ideally within a regulated fintech or crypto-native environment. * Strong understanding of card payments, digital commerce, blockchain analytics, and cross-border payment flows. * Minimum 3 years of experience delivering crypto compliance training and presenting case studies to global audiences. * Experience in process mapping and compliance framework development. * Proven ability to manage onboarding and risk assessments for crypto assets and VASPs. * Strong interpersonal skills with the ability to influence and drive results across teams. * Excellent attention to detail, problem-solving, and communication skills. * Deep knowledge of AML, BSA, USA PATRIOT Act, and OFAC requirements. * Preferred certifications: ACAMS, CFE, blockchain analytics (e.g., Elliptic, Crystal). * Advanced skills in cryptocurrency investigations, OSINT, and tracing techniques. * Digitally fluent with experience in process automation and scalable compliance solutions. * Proficient in MS Office tools (PowerPoint, Excel, Visio). Mastercard is a merit-based, inclusive, equal opportunity employer that considers applicants without regard to gender, gender identity, sexual orientation, race, ethnicity, disabled or veteran status, or any other characteristic protected by law. We hire the most qualified candidate for the role. In the US or Canada, if you require accommodations or assistance to complete the online application process or during the recruitment process, please contact reasonable_accommodation@mastercard.com and identify the type of accommodation or assistance you are requesting. Do not include any medical or health information in this email. The Reasonable Accommodations team will respond to your email promptly. Corporate Security Responsibility All activities involving access to Mastercard assets, information, and networks comes with an inherent risk to the organization and, therefore, it is expected that every person working for, or on behalf of, Mastercard is responsible for information security and must: * Abide by Mastercard's security policies and practices; * Ensure the confidentiality and integrity of the information being accessed; * Report any suspected information security violation or breach, and * Complete all periodic mandatory security trainings in accordance with Mastercard's guidelines. In line with Mastercard's total compensation philosophy and assuming that the job will be performed in the US, the successful candidate will be offered a competitive base salary and may be eligible for an annual bonus or commissions depending on the role. The base salary offered may vary depending on multiple factors, including but not limited to location, job-related knowledge, skills, and experience. Mastercard benefits for full time (and certain part time) employees generally include: insurance (including medical, prescription drug, dental, vision, disability, life insurance); flexible spending account and health savings account; paid leaves (including 16 weeks of new parent leave and up to 20 days of bereavement leave); 80 hours of Paid Sick and Safe Time, 25 days of vacation time and 5 personal days, pro-rated based on date of hire; 10 annual paid U.S. observed holidays; 401k with a best-in-class company match; deferred compensation for eligible roles; fitness reimbursement or on-site fitness facilities; eligibility for tuition reimbursement; and many more. Mastercard benefits for interns generally include: 56 hours of Paid Sick and Safe Time; jury duty leave; and on-site fitness facilities in some locations. Pay Ranges Purchase, New York: $177,000 - $283,000 USD

Job Purpose Statement The Global Trade Compliance Analyst is responsible for supporting Global import and export regulatory compliance processes and procedures which align with The Carlstar Group, LLC (CSG) Global regulatory compliance program. Essential Duties and Responsibilities: Performs monthly internal reviews (audits) for US and CA import declarations as they relate to organizational obligations in various Customs programs. Develop and lead CSG collaborative interdepartmental compliance and reporting of regulatory programs such as conflict minerals, Prop 65, RoHS, and other programs as they arise. Perform origin content and FTA qualification review of CSG products. Generate and distribute certificates to customer and suppliers as required. Manage CSG customs brokers for US and Canada import operations Develop and lead CSG in-house training programs as they pertain to various regulatory compliance initiatives for import and export operations. Provide HTS and Schedule B guidance for import and export activities of CSG business units. Performs Monthly internal reviews (audits) for US, CA and EU import declarations as they relate to organizational obligations in various Customs programs. Supports the development of internal controls for deficiencies identified during ISA internal reviews. Reviews DC receiving reports in the US and CA for overage/shortage deficiencies for entry adjustment obligations to CBP and CBSA. Supports global compliance record keeping obligations as it relates to import and export activities. Tracks and interprets international laws or regulations impacting the business, including those impacting marketing, imports/exports and offers suggestions to functional managers seeking to ensure compliance Conducts periodic tests and audits of organizational operations. Conducts initial reviews of alleged compliance violations and escalates to executive leadership as needed. Handles complex issues and problems, and refers only the most complex issues to Trade Compliance Department Manager. Performs denied/restricted export screening operations for products shipped from the US to global customer base (EAR, BIS, DOC DDTC, and DOS). Works closely with the department analyst and Trade Compliance Department Manager to maintain and support CSG C-TPAT security program initiatives Perform ISF daily compliance review and management of vendor and service provider performance Prepares all post summary corrections for US, CA and EU entry deficiencies and supports internal controls development to address declaration deficiencies. Ability to travel 15% (domestic and international) Qualifications Required Education and Experience: Bachelor's degree required or equivalent, required Minimum 4 years of Global Regulatory Compliance or related experience Customs Brokers License, preferred Exceptional Problem solving and computer/skillsets Demonstrated self-starter with leadership qualities

At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career. Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express. How will you make an impact in this role? American Express's US Investigations Unit (USIU) is part of the broader Global Risk & Compliance organization, operating within Global Financial Crimes Compliance (GFCC). USIU provides oversight and support for global financial crimes investigations. In partnership with teams across the financial crimes' organization, USIU develops and implements transaction monitoring rules, reports, and other tools to detect potential criminal activity. They investigate suspicious financial behavior and, when necessary, file Suspicious Activity Reports (SARs) with the Financial Crimes Enforcement Network (FinCEN) or refer cases to internal compliance partners for global reporting. USIU plays a vital role in ensuring compliance with key regulations, including the Bank Secrecy Act (BSA) and the USA PATRIOT Act. They also support law enforcement by providing critical information to combat money laundering, terrorist financing, credit card fraud, identity theft, and other financial crimes. The Major Case Investigations Analyst will be responsible for conducting complex financial investigations involving matters such as Human Trafficking, Arms Proliferation, Trade Based Money laundering, Wildlife Trafficking, Terrorist Financing, and Public Corruption. In addition, they will partner closely with other financial institutions and law enforcement to share knowledge, trends and typologies that assist law enforcement and mitigate financial crime risks. The successful candidate must have excellent investigative, communication, and time management skills, the ability to effectively manage change and collaborate with internal and external stakeholders. Responsibilities: * Conduct time-sensitive, meticulous investigations, analyzing each instance of potential money laundering activity and/or suspicious financial activity across multiple jurisdictions and countries, utilizing a wide variety of research and analytical tools. * Produce well-written reports detailing and analyzing potentially suspicious activity and file Suspicious Activity Reports (SARs) with FinCEN as appropriate. * Build strong relationships with strategic partners across the unit and public-private partnerships to ensure effective coordination of significant investigations. * Demonstrate a keen attention to detail in investigation, analysis, and writing. * Collaborate proactively with colleagues in a hybrid work environment to work through investigative roadblocks. * Support coaching colleagues through peer reviews and quality evaluations of casework as appropriate based on individual capabilities and expertise. Minimum Qualifications: * A minimum of three years of experience in BSA-AML compliance, investigations, law enforcement, the legal field, audit, or in the broader financial industry or Bachelor's degree in one of the following fields of study: Justice Studies, English, Journalism, Finance, Accounting, Statistics, or other fields involving intensive research, writing, or data analysis. * Experience in conducting financial crime investigations. * Understanding of criminal typologies associated with a wide array of financial products and services. * Knowledge of global AML/CTF/ABC Regulations (BSA, US PATRIOT Act). * Proven ability to analyze large amounts of data from various sources and make logical and well-supported decisions to report critical information. * Proficiency in researching information via the internet and using Open Source Intelligence techniques. * Strong oral communication skills and ability to produce written summaries which clearly consolidate recommendations and conclusions. * Proficient in Microsoft Excel and Microsoft Word, with demonstrated ability to learn new technologies quickly. * Ability to handle sensitive information in a confidential and professional manner. Preferred Qualifications: * High level of professionalism, self-motivation and sense of urgency. * Demonstrated ability to work with leaders, team members, and strategic partners at all levels and across functional lines. * Knowledge of American Express products and systems. * Ability to leverage data to make effective business decisions. * Experience delivering effective feedback to support process improvement(s) and/or enhanced proficiency * Master's Degree or other advanced degree * Experience in SQL and statistical programming (SAS, Python or R) is a plus * CAMS and/or CFE certified or equivalent Salary Range: $65,500.00 to $102,500.00 annually + bonus + benefits The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors. We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally: * Competitive base salaries * Bonus incentives * 6% Company Match on retirement savings plan * Free financial coaching and financial well-being support * Comprehensive medical, dental, vision, life insurance, and disability benefits * Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need * 20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy * Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) * Free and confidential counseling support through our Healthy Minds program * Career development and training opportunities For a full list of Team Amex benefits, visit our Colleague Benefits Site. American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions. We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually. US Job Seekers - Click to view the "Know Your Rights" poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: *************************** Employment eligibility to work with American Express in the United States is required as the company will not pursue visa sponsorship for these positions.

Solutions for Today's Challenges. Vision for Tomorrow's Opportunities. Join William Blair, the Premier Global Partnership. Core Compliance Analyst William Blair and Company, L.L.C. is seeking a highly motivated Compliance Analyst with 1-3 years of experience to join our Core Compliance team. This role supports Code of Ethics administration covering Personal Account Dealings, Compliance Certifications (annual, quarterly, periodic), Outside Business Activities, Private Investments, Compliance Training and Policy Management. The analyst will play a key role in executing and enhancing the firm's various compliance programs supporting William Blair Investment Management, LLC, the institutional asset management business of William Blair. The position offers an opportunity to gain broad exposure to compliance functions while building expertise in regulatory compliance. Key Responsibilities: Code of Ethics Administration Administer the company's technology solution (MyComplianceOffice) to monitor personal trade surveillance across William Blair's various business units Communicate the company's Code of Ethics to employees and review disclosures under the Code of Ethics Analyze underlying personal trade data for unusual behavior to identify conflicts of interest and other risks Work with other stakeholders in testing updates to the firm's technology solution to monitor employee activities Develop relationships with employees and management to advise on and encourage adherence with compliance policies Generate and deliver reports to legal personnel, human resources and management Manage day-to-day Compliance New Hire, Quarterly and Annual Attestation assignments Issue Quarterly Compliance certifications, handle responses that require review and escalation Oversee and assign the Compliance requirements in MCO to ensure that employees consultants receive the proper requisite compliance training and certification assignments (New Hire and Ongoing) Compliance Reviews and Reporting Assist with e-communications surveillance and eDiscovery related to regulatory and legal matters Manage monitoring of Code of Ethics and Policy infractions, including issuance of policy reminders and discipline Prepare and provide monthly/quarterly reporting and statistics to Compliance leadership to be used in internal governance committees, Board and Client Reporting Work in conjunction with other members of the Legal & Compliance team in testing and updating the firm's policies and procedures covering all core compliance areas Establish routine testing schedule and oversee reviews (i.e., routinely spot check OBAs disclosed versus Form U4 updates, Attestation and Training assignments, Regulatory Element CE) Collaborate with business units on AML/KYC reviews and assist with management of the AML Program Assist with gathering of information in response to Internal Audit and Regulatory exam requests as needed Registration & Licensing Assist with U.S. Individual and Entity Registration filings (Forms U4 / U5, Form BR, BD, ADV) Create and publish management reports to Business Heads and Compliance Advisory Partners Other Assist in the development and delivery of conflicts management tools and reports in support of global compliance needs Stay informed on regulatory changes and industry best practices; contribute to enhancing internal policies and procedures Participate in the development and execution of compliance training programs to raise awareness of regulatory obligations Continuously review and improve internal controls, policies, and procedures to ensure they meet evolving regulatory and operational requirements Qualifications: Bachelor's degree in finance, business, economics, or related field 1-3 years of compliance experience, preferably in an asset management firm/registered investment advisor administering Code of Ethics Strong analytical and problem-solving skills; ability to identify and escalate issues effectively Excellent written and verbal communication skills Strong Excel skills, including pivot tables and lookups, with an interest in developing more advanced analytics capabilities Familiarity with Power BI and other data visualization/reporting tools working with large data sets Demonstrated ability to learn new systems and translate data into practical insights for decision-making Detail-oriented with strong organizational skills and ability to manage multiple tasks Ethical mindset and commitment to maintaining the highest standards of compliance and integrity Collaborative team player who can work effectively across business lines Curious and proactive, with a willingness to learn and take ownership of assignments Ability to work independently in a fast-paced, dynamic environment This role may require occasional travel for regulatory meetings, internal training sessions, or industry conferences Flexibility in working hours may be required to manage urgent compliance matters Other projects or responsibilities as may be requested from time to time Expected to work in the Chicago office 3 days per week #LI-CH #LI-Hybrid A reasonable estimate of the current base salary range at time of posting is below. Base salary does not include other forms of compensation or benefits. Actual base salary within the specified range is based on several factors, including but not limited to applicant's skills, prior relevant experience, specific degrees and certifications, job responsibilities, market considerations and, if applicable, the location of the position. This role is eligible for either a discretionary annual bonus (based on company, business unit and individual performance) and/or commission-based incentives. Our featured benefit offerings include medical, dental and vision coverage, employer paid short & long-term disability and life insurance, 401(k), profit sharing, paid time off, Maven family & fertility benefit, parental leave (including adoption, surrogacy, and foster placement), as well as other voluntary benefits. Salary Range$80,000-$95,000 USD About Our Firm William Blair strives to attract qualified candidates who specialize in investment banking, investment management, private wealth management, and other strategic resource groups. We are committed to empowering our colleagues to deliver client success and engage in our communities. Our firm has delivered trusted advice for nine decades, continuing to deepen our expertise and relationships across asset classes and markets throughout North America, Europe, Asia, and Australia. We provide advisory services, strategies, and solutions to meet clients' evolving needs amid dynamic market conditions and varying industries. What sets us apart is that we are an independent partnership, with colleagues who have unique experiences, perspectives, and backgrounds. We empower our people to bring their best thinking so we can deliver the tailored, thoughtful work and problem-solving abilities that our clients expect. We invite you to learn more about us by visiting williamblair.com. William Blair is an equal opportunity employer. It complies with all laws and regulations that prohibit discrimination in employment practice because of race, color, religion, creed, ancestry, marital status, gender, age, national origin, sexual orientation, unfavorable discharge from the military service or on the basis of a physical or mental disability that is unrelated to the employee's ability to perform the duties of the job applied for. EOE m/f/d/v Be aware of hiring scams: William Blair has clear processes and guidelines with regards to recruiting. We do not request personal financial information in connection with an employment application nor does William Blair extend any employment offers without first conducting an interview through one of its registered offices. William Blair does not use instant messaging services such as WhatsApp, Telegram, or iMessage as part of the recruiting or interviewing process. Note to External Recruiters / Search Firms: William Blair does not accept unsolicited resumes and will not pay for any placement resulting from the receipt of an unsolicited resume. Any unsolicited resumes received will not be considered as a valid submission. Download William Blair's privacy policies for job applicants: California Consumer Privacy Act Privacy Notice (CCPA) General Data Protection Regulation Privacy Notice (GDPR) Contact us should you have any questions or concerns.

Position: Compliance Manager Location: Austin, TX (In-Office) Schedule: Full-Time, Monday-Friday Compensation: $90,000 annually + benefits Relocation Assistance: Available Our client is seeking an experienced Compliance Manager to lead and oversee the compliance management system within a residential mortgage environment. This role is responsible for ensuring adherence to federal, state, and investor regulations while serving as the primary compliance resource to leadership and operational teams. This is a fully in-office role and plays a critical role in safeguarding company operations through proactive risk identification, regulatory oversight, and clear internal guidance. Key Responsibilities Regulatory Oversight & Monitoring • Interpret and monitor federal and state mortgage regulations (CFPB, FHA, VA, Fannie Mae, Freddie Mac, state agencies) • Maintain a compliance calendar and implement regulatory changes • Serve as primary contact for regulators, auditors, and investors Policy Development & Implementation • Develop, update, and enforce compliance policies and procedures • Ensure Loan Officer Compensation plans comply with CFPB and state requirements • Oversee RESPA/TILA, HMDA, ECOA, Fair Lending, AML, advertising, and record retention Training & Communication • Design and deliver compliance training across the organization • Provide ongoing compliance guidance to leadership and staff • Communicate regulatory updates clearly and practically Auditing & Risk Management • Conduct internal audits and QC reviews • Oversee responses to investor and agency audits • Maintain corrective action plans and track resolution Licensing & Corporate Compliance • Manage company and branch licensing and renewals • Oversee MLO licensing tracking and compliance • Maintain corporate compliance records • Prepare and oversee MCR reports Qualifications • Bachelor's degree in business, finance, law, or related field • 5+ years of mortgage compliance experience • Strong knowledge of federal and state mortgage regulations • Experience managing audits, licensing, and CMS • Ability to work in-office Monday-FridayThank you for your interest! If your background aligns with our clients needs, one of our Recruiters will reach out. Please Check your spam folder and voicemail for messages from our recruiters. Unfortunately due to high volumes of applicants, we may not be able to respond to those who are not a fit. If you do not hear from us regarding this application, please know we do appreciate your interest and encourage you to continue to keep an eye on our website for new opportunities.

We improve lives IDB Invest is the private sector arm of the IDB Group and an international financial institution committed to addressing the development needs of Latin America and the Caribbean. Our mission is to support sustainable enterprises and projects that deliver financial results while maximizing social and environmental impact in the region. IDB Invest operates in 26 countries, structured across four geographic regions and three industry verticals: Infrastructure and Energy, Financial Intermediaries, and Corporates. In support of a new transformative business model "Originate to Share" our shareholders recently approved a $3.5 billion capitalization. This will allow IDB Invest to significantly scale up its investments, nearly doubling annual financing from approximately $8 billion to $19 billion, and unlocking greater private sector participation to drive development and climate impact across the region. About this position We are searching for a senior attorney and compliance professional for the position of Compliance Director, leading the IDB Invest Compliance functions in the Legal Department, focusing on the substantive areas referenced below. Our Legal Department advises Management, the Board of Executive Directors and the Board of Governors on all legal matters relating to IDB Invest. As part of its functions, the Legal Department provides a full range of legal support on non-sovereign guaranteed operations throughout the entire transaction cycle, including origination, portfolio management, and workouts, and the development of new products. Also, we provide legal advice on all institutional and financial matters for IDB Invest, including governance, financial management, institutional integrity and administration of human resources. The Compliance Director leads IDB Invest's enterprise-wide compliance function in relation to the non-financial risks referenced below, safeguarding institutional integrity across operations and corporate activities while enabling responsible business outcomes in Latin America and the Caribbean. The role sets strategy, standards, and controls; provides high-level advisory; and partners with business, legal, risk, corporate governance, and integrity functions to prevent and mitigate compliance risks in line with international best practices and IDB Invest's values. The Compliance Director reports to the General Counsel, with functional reporting to the Managing Director for the Institutional and Corporate Affairs Legal Team. What you'll do As Compliance Director, the following will be your key responsibilities to: * Lead, manage, mentor and assess a highly skilled, interdisciplinary and multi-cultural group of attorneys and compliance professionals in the delivery of the services described herein ensuring consistent compliance advice to client areas, fostering a culture of innovation, accountability, and regional impact, and setting work expectations and goals, and providing timely feedback on performance. * Serve as a strategic advisor on compliance matters, providing expert guidance to senior management and cross-functional teams to inform decision-making and organizational direction providing support regarding a wide range of legal, regulatory, policy, procedures, administrative and institutional matters related to non-financial risks in private sector and non-sovereign guaranteed operations. * Oversee IDB Invest's operational conflicts of interest framework, advising on the identification and management of, and development of solutions to mitigate, conflicts of interest in IDB Invest operations and in relation to IDB Group operations, acting as the designated Conflicts Office for IDB Invest. * Oversee IDB Invest's Anti-Money Laundering and Counter-Financing of Terrorism (AML/CFT) framework, providing strategic guidance to senior management and internal teams on AML/CFT and economic sanctions risks. * Design, implement, and oversee IDB Invest's framework for the management of Material Non-Public Information (MNPI) to ensure compliance with applicable laws, regulations, and internal policies. * Advise senior management and internal teams on nominee directorship program of IDB Invest, in collaboration with the Corporate Governance and the Equity & Mezzanine teams. * Coordinate closely with legal, corporate governance, and the Office of Institutional Integrity to ensure alignment between compliance and institutional requirements, legal frameworks, and integrity and reputational safeguards. * Mobilize and coordinate technical support for advisory services, oversee the drafting, review, and quality assurance of key deliverables, leading the execution of the compliance related technical cooperation facilities. * Support supervision teams to guarantee the effective implementation of mitigation measures and value-added solutions in projects and programs of significant scope. * Share knowledge within and outside the Legal Department, including through the design and implementation of a risk-based compliance training program to support the prevention and management of non-financial risks and foster the application of best practices. * Keep abreast of trends in legal and compliance issues and precedents across IDB Invest member countries and make recommendations for standardized approaches and updated strategies. * Serve as IDB Invest's liaison with the Office of Institutional Integrity and the Office of Ethics, including by acting as a focal point for the definition and implementation of the services described in the respective SLAs. * Represent the Legal Department in management committees, meetings of the Board of Executive Directors and institutional initiatives. * Liaise and benchmark with other multilateral development institutions in relation to the non-financial risks described herein, representing IDB Invest in high-level forums, committees, and strategy meetings. * In coordination with the ICL Managing Director, manage relationships with external legal counsel; supervise the selection and activities of external legal counsel retained to support compliance matters in a cost-effective manner. * Support the ICL Managing Director in the annual resources planning for ICL, including budget, and ensure an appropriate execution throughout the year, in alignment with IDB Invest's business plan and strategies. What you'll need * Education: An advanced Law degree (Juris Doctor, LL.M. or equivalent) from an accredited law school in an IDB Group (IDBG) member country, and admission to practice law in at least one jurisdiction in an IDBG member country. * Experience: At least 10 years of experience as senior attorney and compliance professional, preferably 15 years of relevant and progressive substantive experience working in international law firm, regulated financial institution, or International Financial Institution (IFI), covering cross-border securities/financial regulation; conflicts of interest; AML/CFT; fraud/corruption; and compliance program design/implementation. Experience in financial markets and/or emerging markets is a plus. Must possess a strong understanding of client needs and challenges as well as deep knowledge of the legal and compliance environments within each of the different countries where IDB Invest conducts business. Prior experience acting in a similar role in a development bank, and an understanding of the operational frameworks of public sector and/or multilateral institutions (including their special governance, mandates, safeguards, and oversight mechanisms and administrative sanctions procedures) is highly desirable. * Language Skills: Excellent oral and written professional proficiency in English and Spanish is required. Knowledge of Portuguese and/or French is a plus. Requirements * Citizenship: There are no requirements. * Consanguinity: You have no family members (up to the fourth degree of consanguinity and second degree of affinity, including spouse) working at the IDB, IDB Invest, or IDB Lab. Type of contract and duration * International staff contract, 36 months initially, renewable upon mutual agreement. What we offer The IDB Group provides benefits that respond to the different needs and moments of an employee's life. These benefits include: * A competitive compensation package, including an annual base salary expressed on a net-of-tax basis. * Leaves and vacations: 24 days of paid time off + 8 personal days + sick leave + gender-neutral parental leave. * Health Insurance: IDB Group provides employees and eligible dependents with a robust medical benefits program that covers medical, dental, vision, preventive care, and prescription drugs. * Pension plan: defined benefit pension plan that provides financial security and support employees in planning for their future. * We offer assistance with relocation and visa applications for you and your family when it applies. * Hybrid and flexible work schedules. * Health and well-being: Access to our Health Services Center that provides preventive care and health education for employees. * Development support: We offer tools to boost your professional profile, such as mentoring, 1:1 professional counseling, training and learning opportunities, language classes, mobility options, among others. * Other perks: Lactation Room, Daycare Center, Gym, Bike Racks, Parking, Spouse Career Program, and others. Our culture At the IDB Group, we work so everyone brings their best and authentic selves to work while finding their purpose. Our people consistently strive for excellence, and we recognize and celebrate the impact of their contributions. In our efforts to drive innovation, we intentionally include all voices, cultivate a sense of belonging and champion fairness. We welcome individuals from underrepresented groups to join us and share their unique perspectives. We ensure that individuals with disabilities are provided reasonable accommodations to participate in the job interview process. If you require an accommodation to complete this application, please email us at accommodations@iadb.org. #IDBInvest

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Role Overview The Marketing Compliance Analyst will be a key member of PIMCO's Legal and Compliance Department, based in our Austin, TX office. This role supports the Compliance Marketing Review team, ensuring that all marketing and advertising materials-including social media-meet regulatory requirements and internal standards. The position offers early-career exposure to diverse investment products and global compliance initiatives, providing an excellent opportunity to develop expertise in marketing compliance within a leading investment management firm. Key Responsibilities Social media monitoring: Surveil social media activity for compliance with applicable regional regulations and firm policy. Disclosure governance: Develop, socialize and incorporate global marketing disclaimer. Develop and enhance technology processes: Partner with team members to develop and/or enhance technology processes for compliance testing of marketing materials. Marketing Material Review: Evaluate and monitor marketing and advertising content for compliance with regulatory requirements and firm policies. Compliance Implementation: Assist in applying compliance requirements across investment advisory and distribution activities. Project Participation: Contribute to compliance initiatives and projects aimed at enhancing programs and processes. Cross-Functional Collaboration: Partner with global teams, including marketing, product management, and operations, to deliver practical compliance solutions. Advisory Support: Provide timely, accurate, and actionable compliance advice in a fast-paced environment. Relationship Building: Foster strong partnerships within Legal & Compliance and across business units. Requirements Education: Bachelor's Degree or International Degree equivalent. Licensing: FINRA Series 7 and 24 (firm-sponsored; study time supported). Prior marketing compliance experience in investment management or financial services is a plus. Knowledge of diverse investment products and strategies (mutual funds, ETFs, private funds, fixed income, equities, alternatives) is advantageous. Strong organizational and multitasking abilities. Excellent written and verbal communication skills. Ability to work independently while collaborating effectively within a team. High sense of accountability, urgency, and adaptability. PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance. Salary Range: $ 75,000.00 - $ 81,000.00 Equal Employment Opportunity and Affirmative Action Statement PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws. Applicants with Disabilities PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at ************ and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.