Compliance Officer jobs at Credit Agricole CIB

*WHAT IS THE OPPORTUNITY?* The Compliance Analyst will be responsible for monitoring, oversight and independent review and assessment of the Compliance framework for the Division. Ensure processes are in place for the appropriate oversight, tracking and reporting of compliance program risks that includes an internal control structure, new products, training, regulatory change management, risk assessments, issues management, and monitoring and reporting. *Compliance Risk Management Division* This is a great opportunity to grow your career with a stable and expanding organization as a member of City National's Compliance Risk Management team. The focus is on ensuring business activities remain safe, compliant and well-positioned for future opportunity and sustainable growth. *What you will do* * Assist in the development, administration, and monitoring of programs that ensure the bank's compliance with laws, regulations, and rules * Evaluate the effectiveness of existing processes and recommend new processes that most effectively anticipate, manage, and reduce risk to the business. * Assist in Risk Assessment to identify compliance risk exposure and help the organization prioritize compliance risks. * Supports the timely and effective resolution of complex issues identified through monitoring and testing. * Develop and communicate recommendations that support adherence to regulations, industry best practices and internal risk programs * Partners with other business units on complex compliance matters. * Maintain subject matter expertise and understanding of the laws, rules and regulations with which the business must comply and an awareness of issues of recent regulatory focus. * Escalate and measure compliance risk issues to leadership and the lines of business, as well as the 1st and 2nd Lines of Defense, as necessary. * Assess compliance issues presented through complex new/revised product and service offerings and work closely with senior leaders of business units to plan a response. * Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory standards and policies. * Maintain CNB internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable. *Must-Have** * Bachelor's Degree or equivalent experience * Minimum 4 years of banking experience * Minimum 3 years of risk management or compliance experience * Minimum 3 years of Advanced level experience in Microsoft Office skills, including Word, Excel, Access and PowerPoint *Skills and Knowledge* * Knowledge of 12 CFR 9 and Delaware Title 12 is highly desirable * Demonstrated experience with regulations impacting consumer banking and/or business unit functions preferred. * Demonstrated strong and sound decision making abilities about compliance risks and recommended corrective action. * Ability to work well in a time-sensitive environment and handle a variety of matters or projects simultaneously. * Proficiency in analyzing diverse business functions and processes to identify key risks and demonstrated success with implementing control improvement recommendations. * Ability to interact with federal regulatory agencies. * Proficiency of Microsoft Office applications such as Excel, Access, Word and PowerPoint. Tableau experience preferred * Excellent organizational and analytical skills. * Ability to communicate clearly and professionally with all levels of an organization. * Excellent written and verbal communications skills. * Effective interpersonal skills. * Proficiency in multi-tasking and prioritizing projects. * Excellent time management skills and be accustomed to working with deadlines. * Experience communicating and interacting with regulatory agencies, including exam management and other regulatory affairs. * For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM). * For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser. * For Wealth Management Compliance roles, experience working within a Compliance Investment Management role. *Compensation* Starting base salary: $70,000 - $120,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions. **To be considered for this position you must meet at least these basic qualifications* The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. *Benefits and Perks* At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our **************************************************************************************************** *INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENT* City National Bank is an equal opportunity employer committed to diversity and inclusion. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by law.' *ABOUT CITY NATIONAL* We start with a basic premise: Business is personal. Since day one we've always gone further than the competition to help our clients, colleagues and community flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues to be at the heart of our company today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job. \#LI-JR1 \#CR-JR

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").

Playing an essential role in the U.S. economy, Fannie Mae is foundational to housing finance. Here, your expertise can help fuel purpose-driven innovation that expands access to homeownership and affordable rental housing across the country. Join Fannie Mae to grow your career and help people find a place to call home. Job Description In this strategic leadership role, you will oversee credit underwriting and loan quality teams, ensuring compliance, accuracy, and operational excellence across teams, including outsourced vendor partners. You will lead efforts to drive performance, accountability, and transformation initiatives to modernize loan quality practices. This position requires a visionary leader who can manage production goals, optimize workflows, and foster a culture of continuous improvement while collaborating with senior stakeholders. This position is located in the Fannie Mae Plano, TX office, this is an in-office position, there isn't any option to work remote. You will manage reviews of credit files and related documentation to ensure compliance with eligibility requirements and underwriting standards. The Director will lead transformation initiatives focused on automation, efficiency, productivity, and scalability within loan quality operations, while also overseeing the resolution of complex repurchase or make-whole requests, including lender negotiations and rebuttal evaluations. Additionally, this position is responsible for developing and monitoring key performance indicators for production teams and vendors, ensuring alignment with organizational objectives and driving innovation and best practices across the credit underwriting function. Minimum Required Experiences 8 years Desired Experiences Proven success managing production teams and multi-tier leadership structures in a high-volume, deadline-driven environment. Deep knowledge of credit underwriting, loan quality, and compliance standards within financial services. Demonstrated ability to lead organizational change, implement automation, and optimize processes for efficiency and scalability. Strong background in goal setting, performance management, and operational metrics. Exceptional ability to influence and collaborate with senior stakeholders. Experience overseeing outsourced operations, including performance governance and contractual compliance. Bachelor's degree or equivalent; Master's degree preferred Qualifications Change Strategy, Decision Making, Influential Leadership, Leadership, Leading Groups, Loan Origination, People Leadership, Problem Resolution, Problem Solving, Relationship Management Education: Bachelor's Level Degree (Required), Master's Level Degree The future is what you make it to be. Discover compelling opportunities at Fanniemae.com/careers. For most roles, employees are expected to work onsite on a regular basis at their designated office location. In-office work cadence is determined by your manager. Proximity within a reasonable commute to your designated office location is preferred unless the job is noted as open to remote. Fannie Mae is an equal opportunity employer and considers qualified applicants for employment without regard to race, color, religion, sex, national origin, disability, age, sexual orientation, gender identity/gender expression, marital or parental status, or any other protected factor. Fannie Mae is committed to providing reasonable accommodations to qualified individuals with disabilities who are employees or applicants for employment, unless to do so would cause undue hardship to the company. If you need assistance using our online system and/or you need a reasonable accommodation related to the hiring/application process, please complete this form. The hiring range for this role is set forth below. Final salaries will generally vary within that range based on factors that include but are not limited to, skill set, depth of experience, certifications, and other relevant qualifications. This position is eligible to participate in a Fannie Mae incentive program (subject to the terms of the program). As part of our comprehensive benefits package, Fannie Mae offers a broad range of Health, Life, Voluntary Lifestyle, and other benefits and perks that enhance an employee's physical, mental, emotional, and financial well-being. See more here. Requisition compensation: 152000 to 205000

With a company culture rooted in collaboration, expertise and innovation, we aim to promote progress and inspire our clients, employees, investors and communities to achieve their greatest potential. Our work is the catalyst that helps others achieve their goals. In short, We Enable Possibility℠. Position Overview The Shared Services Team is seeking a new team member who thrives in a highly collaborative team-oriented environment. The Claims Compliance Analyst will report directly the Vice President of Claims Compliance. The Claims Compliance Analyst position requires supporting the Claims organization with all facets of general compliance requirements, including reconciling, regulatory reporting and responding to compliance related inquiries. Responsibilities: Audit Coordination * Serve as an initial contact and assist with the coordination of Claims Audits that are conducted by the various State DOIs. Will serve as primary intermediary between the business, handling entity, and the State Departments. * Receive and interpret preliminary audit requests by the State Departments. Analyze and assess audit reports that are issued by the State Departments to identify performance issues. Communicate the results to Arch Claims Senior Leadership TPA Corporate Contacts (if applicable). * Assist with the review of state report cards and metrics on claims processing and reporting and work with TPAs and Arch staff to remediate any issues. Regulatory Reporting * Gather data from TPAs and/or Arch data reports to prepare Compliance managed regulatory reports and data calls. Timely submit state specific annual/quarterly reports where required. * Review and analyze Claims Bulletins related to Regulatory Reports, communicate internally and/or to the TPAs as needed, and monitor implementation of new requirements where appropriate * Assist with Electronic Data Interchange (EDI) reporting Other Compliance Activities * Support maintenance of compliance library and claims correspondence * Provide compliance support for Medicare Reporting * Assist with internal audit and regulatory reviews * Other ad hoc compliance related tasks, as needed. Experience and Required Skills: * General P&C claims knowledge, adjusting experience preferred * Efficient organization and project management skills * Familiarity with the suite of Microsoft products such as Excel, Word, PowerPoint, etc. * Ability to effectively communicate ideas, issues and solutions. Education * Bachelor's degree required * 2 + years Commercial Lines Claims Experience * Ability to communicate effectively with internal and external business partners as well as state regulatory authorities * Familiarity with Medicare Secondary Payer (MSP) and Section 111 Reporting #LI-SW1 #LI-HYBRID For individuals assigned or hired to work in the location(s) indicated below, the base salary range is provided. Range is as of the time of posting. Position is incentive eligible. $71,900 - $97,110/year * Total individual compensation (base salary, short & long-term incentives) offered will take into account a number of factors including but not limited to geographic location, scope & responsibilities of the role, qualifications, talent availability & specialization as well as business needs. The above pay range may be modified in the future. * Arch is committed to helping employees succeed through our comprehensive benefits package that includes multiple medical plans plus dental, vision and prescription drug coverage; a competitive 401k with generous matching; PTO beginning at 20 days per year; up to 12 paid company holidays per year plus 2 paid days of Volunteer Time Offer; basic Life and AD&D Insurance as well as Short and Long-Term Disability; Paid Parental Leave of up to 10 weeks; Student Loan Assistance and Tuition Reimbursement, Backup Child and Elder Care; and more. Click here to learn more on available benefits. Do you like solving complex business problems, working with talented colleagues and have an innovative mindset? Arch may be a great fit for you. If this job isn't the right fit but you're interested in working for Arch, create a job alert! Simply create an account and opt in to receive emails when we have job openings that meet your criteria. Join our talent community to share your preferences directly with Arch's Talent Acquisition team. For Colorado Applicants - The deadline to submit your application is: November 25, 2025 14400 Arch Insurance Group Inc.

Texas Capital is built to help businesses and their leaders. Our depth of knowledge and expertise allows us to bring the best of the big firms at a scale that works for our clients, with highly experienced bankers who truly invest in people's success - today and tomorrow. While we are rooted in core financial products, we are differentiated by our approach. Our bankers are seasoned financial experts who possess deep experience across a multitude of industries. Equally important, they bring commitment - investing the time and resources to understand our clients' immediate needs, identify market opportunities and meet long-term objectives. At Texas Capital, we do more than build business success. We build long-lasting relationships. Texas Capital provides a variety of benefits to colleagues, including health insurance coverage, wellness program, fertility and family building aids, life and disability insurance, retirement savings plans with a generous 401K match, paid leave programs, paid holidays, and paid time off (PTO). Headquartered in Dallas with offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, Texas Capital was recently named Best Regional Bank in 2024 by Bankrate and was named to The Dallas Morning News ' Dallas-Fort Worth metroplex Top Workplaces 2023 and GoBankingRate's 2023 list of Best Regional Banks. For more information about joining our team, please visit us at ************************* Brief Overview of Position The Risk Management function is the Bank's 2LOD (second line of defense) is responsible for identifying, assessing, and mitigating risk for the entirety of the firm through the evaluation and establishment of risk management procedures and policies. This department works directly with all business units to develop a strong and robust risk mitigation environment to aid in the growth processes to ensure adherence to policies. The Risk and Compliance Analyst evaluates and ensures that an organization's operations and procedures meet compliance standards. Responsibilities This job works collaboratively to support of all risk and compliance assessment activities of Texas Capital across a broad range of frameworks. Partner with the organizational risk and business partners, the technology organization, and frontline teams to meet the mission requirements in a manner consistent with the enterprise risk appetite. Develop governance and oversight to maintain the data integrity for core risk reference data, such as Business Hierarchy, Products and Services inventory, Business Processes inventory, Risk Taxonomy, Control Taxonomy, and other risk drivers such as third parties and technology applications. Coordinate with the Risk leadership teams to complete the required business unit analytics, reporting and business management deliverables. Create effective management reporting and support ad hoc analytics requests relating to risk/ compliance data and assessments. Use data analytics, machine learning, and/or process automation to improve the efficiency and/or effectiveness of risk Governance, Risk & Compliance (GRC) tool. Develop dashboards to enhance analysis and reporting related to workload, assessments, and tuning/validation processes. Partners closely with Project Management/ Technology teams to ensure timely delivery of business unit related projects/programs. Perform other duties or projects as assigned. Qualifications Bachelor's degree (preferred in Finance, Accounting, Business, or Analytics, Computer Science); or equivalent combination of education, training, experience Minimum 5 years of work experience in financial services or a related field Strong technical proficiency in the use of MS Office products for reporting, data analytics, and presentations Advance ability to synthesize data and identify areas for improvement, challenge, recommend and drive actions. 2+ years or experience in analytical field 2+ years' experience in SQL Experience with Tableau Development experience in a scripting language e.g., Python, Perl, etc. Knowledge of risk management frameworks and corporate governance, identify potential risks and raise to appropriate levels Advanced ability to interact, negotiate and influence at all levels throughout the organization Proactive planning skills with meticulous attention to detail, follow up, and execution. Ability to maintain confidentiality and instill trust within the organization Knowledge of financial rules and regulations Ability to self-direct and manage competing priorities on concurrent large, complex projects, initiatives and deliverables The duties listed above are the essential functions, or fundamental duties within the job classification. The essential functions of individual positions within the classification may differ. Texas Capital Bank may assign reasonably related additional duties to individual employees consistent with standard departmental policy.Texas Capital is an Equal Opportunity Employer.

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment. IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology. This is a hybrid role (3 days in office / 2 days remote) Interactive Brokers is looking for an experienced Data Analyst with data analysis experience, preferably in the commodities or securities industry. This position is responsible for handling compliance supervision over reporting to various non-financial systems. Prior experience working with order audit trail reporting systems, order handling or trading systems, or client data is highly desired but not required. Responsibilities: This position is focused on the Consolidated Audit Trail ("CAT") reporting systems and compliance supervision to ensure that the firm has complied with the rules. This is an operational and oversight function that requires the ability to read regulations, research and analyze data, understand technical implementations of systems, and devise control procedures to test compliance. Experience in researching transactional reporting issues to form evidence-based conclusions is a necessary skill. Experience in data analysis and/or system development or improvement is strongly preferred. While preference will be given to individuals with financial services industry experience, similar compliance experience in another industry will also be considered. Specific Job Responsibilities: 1-2 years of experience as a Data Analyst/Data Scientist Reviewing regulatory data to identify root causes and necessary remediation for errors Using UNIX command tools to make corrections to records as needed Developing surveillance for regulatory reporting and operational data Automating the CAT Feedback system Following up with software developers and/or management on any errors or exceptions that arise Gathering facts to assist the firm in responding to examinations and formal inquiries Proposing improvements to, or additional controls over, regulatory reporting Qualifications: Bachelor's degree required, preferably in a quantitative or analytical field Experience in an analytical role, preferably in the financial industry Strong data analysis, investigatory, and problem-solving skills The ideal candidate would have some degree of self-sufficiency in performing data analysis using common programming languages (e.g., Python, Perl) and database queries (e.g., SQL) Regulatory research and interpretation skills Strong written and verbal communication skills, including the ability to discuss and write about complex topics in a manner that is both precise and persuasive Familiarity with, or the ability to learn, advanced Excel skills is required (e.g., pivot tables, macros) Familiarity with the following is a plus: FINRA Consolidated Audit Trail ("CAT") / Order Audit Trail ("OATS") systems FIX protocol Technological orientation is required, with the following specific skills highly valued: UNIX knowledge is part of this job and must be learned on the job, but prior experience is preferred Programming skills in Python, Perl, or Go are highly desirable Experience using Atlassian systems (e.g., Confluence and JIRA) is a plus To be successful in this position, you will have the following: Self-motivated and able to handle tasks with minimal supervision Superb analytical and problem-solving skills Excellent collaboration and communication (verbal and written) skills Outstanding organizational and time management skills Company Benefits & Perks Competitive salary, annual performance-based bonus, and stock grant Retirement plan 401(k) with competitive company match Excellent health and wellness benefits, including medical, dental, and vision coverage; company-paid healthcare premium Wellness screenings and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP) Paid time off and a generous parental leave policy Daily company lunch allowance and a fully stocked kitchen with healthy options for breakfast and snacks Corporate events, including team outings, dinners, volunteer activities, and company sports teams Education reimbursement and learning opportunities Modern offices with multi-monitor setups

Virtus is dedicated to the success of employees and helping everyone on our team achieve their goals. We are a dynamic, fast-growing organization with the resources of a large firm and the innovative environment of an entrepreneurial company that promotes collaboration and employee engagement. Every member of our team is empowered to make a tangible impact in offering clients high-quality investment strategies to meet their financial needs and delivering value for our shareholders. We are an organization where employees can thrive personally and professionally. Professional development opportunities help employees enhance their skills and grow in their careers. Meaningful financial rewards and a comprehensive package of benefits support employees at every stage of life and encourage work-life balance, and physical, emotional and mental well-being. We believe in the value of a diverse, inclusive, and respectful work environment and are committed to making a positive impact in the communities where we live and work. Job Description This position leads the team responsible for all matters related to the implementation of the Virtus Code of Conduct and Adviser Code of Ethics, as well as the Gifts, Entertainment and Inducements, Outside Activities, Political and PAC Contributions, and other related policies and procedures (collectively, the “Policies”). The role involves managing the administration team, contributing to policy administration, recommending policy enhancements, and overseeing the design, implementation, and monitoring of compliance protocols. Additionally, the position manages special projects, including system implementations and upgrades of the STARCompliance system, and the integration of new investment managers. Primary Job Responsibilities: Manages compliance staff responsible for administering the Policies and contributes individually as needed. Interprets, advises, administers, and monitors the Policies; conducts inquiries and reviews, and maintains supporting files. Reviews and analyzes personal employee trading and exception reports to identify violations, warnings, or patterns. Demonstrates thorough knowledge of applicable regulations in interpreting fact patterns and identifying potential violations. Administers employee reporting processes, including analysis, follow-up, and compilation of results. Ensures that the Policies are designed to prevent and identify violations of securities laws and are fully implemented and operating effectively. Ensures that forensic testing protocols are functioning properly in compliance monitoring systems and manual calculations as required. Ensure that data feeds and reports to/from the STARCompliance system are complete and accurate. Ensures a robust system of internal controls, including data completeness and accuracy, audit trails, protection of sensitive employee information, and documentation of procedures related to Policy administration. Lead subject matter expert in administering the Policies, demonstrating expertise in regulations and industry developments related to the Policies. Propose necessary Policy amendments and system enhancements. Ideal Qualifications Bachelor's degree, preferably with business focus in accounting/finance. FINRA Series 7 or 24, a plus. Minimum of 5-10 years of progressive experience at investment advisory firms. Must have experience with the design and administration of advisers, mutual fund and broker-dealer codes of ethics, personal trading, and related policies, as well as working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940. 3-5 years of previous experience managing people. Strong communication skills, both written and verbal, are critical as this role requires enterprise-wide visibility. Intermediate knowledge of MS Excel, MS Word and managing large amounts of numeric data. Expertise in employee compliance systems, including STARCompliance, is strongly preferred. Experience in portfolio guidelines systems (Charles River, Bloomberg, BNY DRAS, etc.) a plus. Strong analytical, problem-solving skills, comfortable analyzing large volumes of data, and attention to detail. Ability to influence others to successfully implement compliance initiatives. Ability to prioritize multiple tasks and work under pressure while maintaining attention to detail and collaborate with fellow team members to achieve objectives within the project timeline. The salary range for this position is $113,000 to $138,000. The starting salary offer will vary based on the applicant's education, experience, skills, abilities, geographic location, internal equity, and alignment with market data. This position is also eligible to participate in the annual incentive plan.

As the world works and lives faster, FIS is leading the way. Our fintech solutions touch nearly every market, company and person on the planet. Our teams are inclusive and diverse. Our colleagues work together and celebrate together. If you want to advance the world of fintech, we'd like to ask you: Are you FIS? About the role: The Firm is a registered broker-dealer providing electronic network broker-dealer services to institutional clients. A unique business model that includes technology services in a regulated environment. As a Compliance Analyst I who supports the broker-dealer business, you will be responsible for conducting compliance monitoring, assisting in the preparation of regulatory reports and delivering regular reports on a wide variety of compliance and regulatory matters, and helping develop compliance policies and procedures. About the team: The regulatory compliance team is responsible for managing compliance obligations for a US FINRA member broker-dealer firm and a UK FCA authorized firm. The compliance department works closely with the business to ensure compliant operations and provide guidance as needed to ensure that the firms operate within their regulatory framework. What you will be doing: In this role you will track, review and communicate pending and passed regulations, agency guidelines or directives to impacted lines of business and assist in setting priorities for regulatory issues that must be addressed by the business. Support and assist in regulatory filing requirements for associated persons including, but not limited to SEC, FINRA and the registration and maintenance of such requirements Assist with securities registration/licensing and continuing education tracking Conduct reviews of data for suspicious activity or unusual patterns Review ongoing activity against the relevant regulations including the Bank Secrecy Act Conduct reviews of communications and activities of associated persons for compliance with applicable laws and regulations Contribute to the analysis, identification and evaluation of risks, industry initiatives, industry best practices and surveillance of client activity Research and liaise with the compliance team regarding the regulatory impact of rule proposals and final rules and regulations Assist in the administration and implementation of policies and procedures to ensure compliance with all applicable laws and regulations Assist in internal and external examinations including, but not limited to, FINRA, SEC and on-site internal and external audits What you will need: 2-4 years of financial services compliance experience at a broker-dealer or similar financial institution is required Knowledge of US regulatory requirements; an understanding of brokerage operations and compliance Ability to effectively provide information to internal and external audiences while exhibiting an unwavering commitment to the confidentiality of all matters that are sensitive in nature Exceptional research and analytical skills Ability to diagnose problems quickly and have the foresight into potential issues and risk aversion Requires self-direction and a proven capability to work in a fast-paced environment with a high level of accuracy and attention to detail Requires expert communication skills, both written and verbal Ability to multi-task, plan, collaborate, problem-solve and complete work within tight time limitations Requires superior organizational, time management and prioritization skills Requires the ability to establish and maintain effective working relationships with all levels of management, employees and clients Some travel may be required Bachelor's degree or the equivalent combination of education, training or work experience. Securities Industry Essentials (SIE) Exam, Series 7 and 63 will be required This is for our Bolingbrook/Chicago, IL office What we offer you: At FIS, you can learn, grow and make an impact in your career. Our benefits include: Flexible and creative work environment Diverse and collaborative atmosphere Professional and personal development resources Opportunities to volunteer and support charities Competitive salary and benefits FIS is committed to providing its employees with an exciting career opportunity and competitive compensation. The pay range for this full-time position is $59,270.00 - $96,620.00 and reflects the minimum and maximum target for new hire salaries for this position based on the posted role, level, and location. Within the range, actual individual starting pay is determined by additional factors, including job-related skills, experience, and relevant education or training. Any changes in work location will also impact actual individual starting pay. Please consult with your recruiter about the specific salary range for your preferred location during the hiring process. Privacy Statement FIS is committed to protecting the privacy and security of all personal information that we process in order to provide services to our clients. For specific information on how FIS protects personal information online, please see the Online Privacy Notice. EEOC Statement FIS is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, marital status, genetic information, national origin, disability, veteran status, and other protected characteristics. The EEO is the Law poster is available here supplement document available here For positions located in the US, the following conditions apply. If you are made a conditional offer of employment, you will be required to undergo a drug test. ADA Disclaimer: In developing this job description care was taken to include all competencies needed to successfully perform in this position. However, for Americans with Disabilities Act (ADA) purposes, the essential functions of the job may or may not have been described for purposes of ADA reasonable accommodation. All reasonable accommodation requests will be reviewed and evaluated on a case-by-case basis. Sourcing Model Recruitment at FIS works primarily on a direct sourcing model; a relatively small portion of our hiring is through recruitment agencies. FIS does not accept resumes from recruitment agencies which are not on the preferred supplier list and is not responsible for any related fees for resumes submitted to job postings, our employees, or any other part of our company. #pridepass

About Beacon Financial Corporation Beacon Financial Corporation (NYSE: BBT) is the holding Company for Beacon Bank & Trust, commonly known as Beacon Bank, a full-service regional bank serving the Northeast that was created on September 1, 2025 through the merger of equals between Berkshire Hills Bancorp and Brookline Bancorp. Headquartered in Boston, Massachusetts, the Company has $24 billion in assets and more than 145 branches throughout New England and New York. Beacon Bank offers a full suite of tailored banking solutions including commercial, cash management, asset-based lending, retail, consumer and residential products and services. The Bank operates through its banking divisions - Berkshire Bank, Brookline Bank, BankRI and PCSB Bank. The Company also provides equipment financing through its Eastern Funding subsidiary, SBA lending through its 44 Business Capital division and private wealth services through Clarendon Private. Learn more at BeaconFinancialCorporation.com. NOTE: THIS POSITION CAN BE BASED OUT OF LINCOLN, RI, BOSTON, MA OR YORKTOWN HEIGHTS, NY PRIMARY FUNCTION Assists in managing the compliance program for Brookline Bancorp's subsidiary companies by assisting the Chief Compliance Officer and Compliance Managers in administering the overall compliance program for Brookline Bancorp. Specific responsibilities will include: Maintains a thorough knowledge of federal and state laws and regulations pertinent to the area of specialty, and ensure that employees are made aware of current requirements that impact their position. Specialty laws and regulations include, but are not limited to the following: * Truth in Lending * Real Estate Settlement Procedures * Flood Insurance * Truth in Savings * Reserve Requirements (Regulation D) * Electronic Funds Transfer * Funds Availability * Homeowners Protection Act * Homeowners Equity Protection Act * Related MA and RI laws and regulations * SAFE Act PRIMARY DUTIES * Assists in regulatory examinations, independent audits or management self-monitoring reports; * Assists in preparing, distributing and following up on management monitoring reports for business units throughout the company; * Participates in federal regulatory examinations for compliance; * Assists the Complaint Officer with the monitoring resolution of consumer complaints; * Assists the SAFE Act Officer / Compliance contact for SAFE act and work with applicable business units and Human Resources to ensure SAFE Act compliance and training * Assists in successfully managing the on-going implementation of the Compliance Program at each bank by focusing on loan and deposit disclosure and other requirements related to offered products and services. * Assists in developing and delivering supplemental compliance training programs as required, and prepares written communications of regulatory changes pertaining to areas of specialty to ensure employee understanding. * Assists management on a day to day basis by answering questions and conducting necessary research pertaining to areas of specialty. * Assists business line management in the proper resolution of any noted deficiencies in audits as well as from regulatory examinations and monitoring. * Assists the Chief Compliance Officer during regulatory examinations and assist the Internal Auditor with compliance related internal audits as necessary. * Maintains knowledge of applicable laws and regulations as well as internal controls at each entity necessary to satisfy requirements and work with the business units and Management as necessary to prepare for changes in regulations, guidance, and requirements. REQUIREMENTS Education and Experience: * CRCM (will be required within 1-2 years) * 2 - 3 years of Banking and/or Compliance experience * Knowledge of Banking regulations including deposits, loans, servicing, CRA * Excellent written and oral communication skills * Thorough knowledge of MS Word and Excel required * Power Point knowledge would be a plus In addition to great career opportunities we offer competitive compensation along with a comprehensive benefit plan.

Job Details Franklin TN - Franklin, TN Full Time 4 Year Degree $66000.00 - $75000.00 Salary Day Shift FinanceDescription 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: 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). Assist Trade Compliance Department Manager with 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

The Credit Compliance Analyst works closely with the Manager, Credit Portfolio to ensure Commercial Lending, Loan Operations, Finance, Credit Risk, and other Credit Administration employees receive reports needed for tracking trends/changes in the Commercial Loan portfolio, evaluating compliance of loan policy exceptions tracking, monitoring, extracting, and verifying data conclusions. * Maintains the Relationship Report which consists of relationships with aggregate debt over a certain amount according to Loan Policy to proved to Lenders * Prepares, validates, and tracks the Financial Covenant tests and Borrowing Base Calculations for the Commercial Lending Portfolio * Provides the portfolio monitoring reports for awareness of credit compliance * Performs qualitative reviews of credit approval documents to gauge the degree of policy compliance * Assists with implementing and updating loan procedures and policies and in the training and counsel of credit underwriters/lending personnel on the proper identification , disclosures, tracking and clearing of credit and policy exceptions * Assists with developing and maintaining reports that track pertinent portfolio trends. Maintains the integrity of these reports through interactions with other bank departments as necessary. Documents that data gathering techniques used to generate reports * Assist in preparing portfolio analysis reports for use by Senior Management, the Board and regulatory agencies; including but not limited to, concentration analysis, board reports, and Federal Reserve Surveys. Certain reports are required at regular intervals and others are produced upon request. Qualifications: * Associates degree, or some college in related field or equivalent work experience * 3-5 years relevant banking experience, preferable in commercial banking/credit administration capacity in finance/ accounting or in management information systems * Preferred: Excel skills with a focus on data extraction. manipulations and reports creation; working knowledge of other Microsoft Office programs; preferred knowledge of bank lending to include loan policy and procedures, loan accounting issues, loan structuring techniques, management information systems (Alteryx, nCino), regulatory matters and internal control/risk management issues; Strong analytical, organizations, problem solving, project management and communication (both written and oral) skills. Skills: * Intermediate / Advanced knowledge of Microsoft Excel and MS Word; basic keyboarding and calculator sills; must be able to perform advanced math and carry out complex instructions * Work occasionally requires more than 40 hours per week to perform the essential functions of the position * Lifting in an office setting may be required up to 30lbs. ANBTX strongly encourages candidates that are fluent in English and Spanish to apply. Jobs that specifically require candidates to be bilingual will be posted as a requirement

With a company culture rooted in collaboration, expertise and innovation, we aim to promote progress and inspire our clients, employees, investors and communities to achieve their greatest potential. Our work is the catalyst that helps others achieve their goals. In short, We Enable Possibility℠. Position Overview The Shared Services Team is seeking a new team member who thrives in a highly collaborative team-oriented environment. The Claims Compliance Analyst will report directly the Vice President of Claims Compliance. The Claims Compliance Analyst position requires supporting the Claims organization with all facets of general compliance requirements, including reconciling, regulatory reporting and responding to compliance related inquiries. Responsibilities: Audit Coordination * Serve as an initial contact and assist with the coordination of Claims Audits that are conducted by the various State DOIs. Will serve as primary intermediary between the business, handling entity, and the State Departments. * Receive and interpret preliminary audit requests by the State Departments. Analyze and assess audit reports that are issued by the State Departments to identify performance issues. Communicate the results to Arch Claims Senior Leadership TPA Corporate Contacts (if applicable). * Assist with the review of state report cards and metrics on claims processing and reporting and work with TPAs and Arch staff to remediate any issues. Regulatory Reporting * Gather data from TPAs and/or Arch data reports to prepare Compliance managed regulatory reports and data calls. Timely submit state specific annual/quarterly reports where required. * Review and analyze Claims Bulletins related to Regulatory Reports, communicate internally and/or to the TPAs as needed, and monitor implementation of new requirements where appropriate * Assist with Electronic Data Interchange (EDI) reporting Other Compliance Activities * Support maintenance of compliance library and claims correspondence * Provide compliance support for Medicare Reporting * Assist with internal audit and regulatory reviews * Other ad hoc compliance related tasks, as needed. Experience and Required Skills: * General P&C claims knowledge, adjusting experience preferred * Efficient organization and project management skills * Familiarity with the suite of Microsoft products such as Excel, Word, PowerPoint, etc. * Ability to effectively communicate ideas, issues and solutions. Education * Bachelor's degree required * 2 + years Commercial Lines Claims Experience * Ability to communicate effectively with internal and external business partners as well as state regulatory authorities * Familiarity with Medicare Secondary Payer (MSP) and Section 111 Reporting #LI-SW1 #LI-HYBRID For individuals assigned or hired to work in the location(s) indicated below, the base salary range is provided. Range is as of the time of posting. Position is incentive eligible. $71,900 - $97,110/year * Total individual compensation (base salary, short & long-term incentives) offered will take into account a number of factors including but not limited to geographic location, scope & responsibilities of the role, qualifications, talent availability & specialization as well as business needs. The above pay range may be modified in the future. * Arch is committed to helping employees succeed through our comprehensive benefits package that includes multiple medical plans plus dental, vision and prescription drug coverage; a competitive 401k with generous matching; PTO beginning at 20 days per year; up to 12 paid company holidays per year plus 2 paid days of Volunteer Time Offer; basic Life and AD&D Insurance as well as Short and Long-Term Disability; Paid Parental Leave of up to 10 weeks; Student Loan Assistance and Tuition Reimbursement, Backup Child and Elder Care; and more. Click here to learn more on available benefits. Do you like solving complex business problems, working with talented colleagues and have an innovative mindset? Arch may be a great fit for you. If this job isn't the right fit but you're interested in working for Arch, create a job alert! Simply create an account and opt in to receive emails when we have job openings that meet your criteria. Join our talent community to share your preferences directly with Arch's Talent Acquisition team. For Colorado Applicants - The deadline to submit your application is: November 25, 2025 14400 Arch Insurance Group Inc.

We are looking for a Compliance Analyst to support the day-to-day operations of our Legal & Compliance team and drive a variety of projects. In this role, you'll work alongside seasoned colleagues to maintain the documentation, controls, and processes that keep our surveillance workflows running smoothly. You'll also serve as a key liaison between our team and the rest of the firm, often acting as a first point of contact for traders, technologists, and other colleagues. Additional responsibilities of the role will include: Maintaining and updating market maker lists, including registrations and ongoing changes Updating restricted and sanctions lists, ensuring accuracy and timely distribution Performing information barrier checks, verifying that client order permissions are set appropriately for traders Disclosing new accounts to exchanges and track submissions through completion Reviewing options market maker report cards from exchanges, summarizing findings, and helping to follow up on any required actions Gathering and organizing information needed for securities class action claims About You 1-3 years of experience in a legal & compliance environment; no specific regulatory or policy exposure required Proactive self-starter with excellent attention to detail, organization, and follow-through Discrete and trustworthy; able to use good judgment to make real-time decisions Clear, concise communicator with colleagues and external partners Comfortable asking questions, surfacing issues early, and owning mistakes Reliable and flexible team player with a positive attitude and learns quickly from feedback Able to work independently, escalate when necessary and proactively drive tasks and projects to completion If you're a recruiting agency and want to partner with us, please reach out to ********************************** .

Responsible for leading the originations and systems compliance team and serve as the Company's mortgage originations compliance subject matter expert, including TRID, Qualified Mortgage Rule, state compliance and federal/state disclosure compliance requirements. Oversees the company's compliance inbox and serve as the originations compliance escalation point for Sales and Operations leadership. Prepares originations compliance reporting and provide originations compliance support for examinations and GSE/investor reviews. Provides compliance guidance for new product and product enhancement launches, including oversight of compliance user acceptance testing of systems, disclosures and other requirements. Responsibilities: * Oversees the Company's mortgage originations and system compliance testing team. * Serves as the Company's mortgage originations compliance subject matter expert and advise sales and originations on compliance requirements, including TRID, Qualified Mortgage rule, state high-cost requirements and fee requirements. * Manages the team that provides compliance guidance to loan officers on curing regulatory compliance failures. * Serves as the escalation point for Sales and Operations leadership to resolve complex originations compliance issues, including disclosure timing issues. * Ensures the company's compliance engines are configured appropriately when there are system changes or new legal and regulatory requirements. * Provides compliance guidance for the deployment and expansion of mortgage products. * Provides originations compliance support for regulatory examinations and GSE/Investor reviews including, but not limited to, drafting responses to exam requests. * Utilizes knowledge of investor/agency and compliance guidelines for government and agency loans to ensure standards are consistently met. * Prepares compliance report relating to originations compliance and the compliance inbox statistics. * Provides specialized compliance guidance tailored to the business channels (Retail, Direct, Joint Venture or Wholesale). * Completes compliance risk assessment sections relating to mortgage originations * Performs other duties and projects assigned. Requirements: * Bachelor's Degree required, and a minimum of ten (10) + years' mortgage originations compliance experience required. * Minimum seven (7) + years of compliance management experience required. * Thorough knowledge of loan origination systems (LOS), including Empower. * Extensive experience configuring originations compliance engines, including Mavent and ComplianceEase. * Strong expertise in TRID, Qualified Mortgage rule and state high-cost compliance. * Experience leading the deployment of new regulatory change requirements impacting systems and operations (in partnership with legal, business and IT counterparts). Why work for #teamloan Depot: * Aggressive compensation package based on experience and skill set. * Inclusive, diverse, and collaborative culture where people from all backgrounds can thrive. * Work with other passionate, purposeful, and customer-centric people. * Extensive internal growth and professional development opportunities including tuition reimbursement. * Comprehensive benefits package including Medical/Dental/Vision. * Wellness program to support both mental and physical health. * Generous paid time off for both exempt and non-exempt positions. About loan Depot: loan Depot (NYSE: LDI) is a digital commerce company committed to serving its customers throughout the home ownership journey. Since its launch in 2010, loan Depot has revolutionized the mortgage industry with a digital-first approach that makes it easier, faster, and less stressful to purchase or refinance a home. Today, loan Depot enables customers to achieve the American dream of homeownership through a broad suite of lending and real estate services that simplify one of life's most complex transactions. With headquarters in Southern California and offices nationwide, loan Depot is committed to serving the communities in which its team lives and works through a variety of local, regional, and national philanthropic efforts. Base pay is one part of our total compensation package and is determined within a range. This provides the opportunity to progress as you grow and develop within a role. The base pay for this role is between $124,000 and $170,500. Your base pay will depend on multiple individualized factors, including your job-related knowledge/skills, qualifications, experience, and market location. We are an equal opportunity employer and value diversity in our company. We do not discriminate based on race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Portland, Maine, United States of America **Hours:** 40 **Pay Details:** $28.25 - $42.50 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. **Line of Business:** Human Resources **Job Description:** The Payroll Compliance & Projects Analyst plays a key role in supporting the governance, control, and compliance strategy for the North American Payroll function, partnering with HR 1B and Payroll leadership to align with enterprise best practices and broader business objectives. This role leads and supports complex, high-risk initiatives, ensuring successful project execution and process optimization. Acting as a subject matter expert, the Analyst provides guidance across the function, manages regulatory change, and oversees the development and implementation of policies and procedures. They serve as a primary contact for audit and compliance requests, maintain an integrated view of business risks and controls, and contribute to long-range planning and strategic decision-making. The Analyst also ensures accurate administration and control activities, drives operational efficiencies, and supports cross-functional alignment through the design, and implementation of payroll solutions. HR Operations Analyst II - Provides a range of analytical, program and/or operational process support within a defined functional area. **Depth & Scope:** + Advanced knowledge and understanding of the operating environment, business processes and procedures, and transaction lifecycle for own area + Identifies and investigates non-standard operational / reporting / process issues + Provides recommendations or escalates issues to appropriate area + Provides regular analysis and/or reporting to support business partners, functional areas or centres of expertise + Requires working professional level knowledge of the functional area and/or business areas supported + Moderate level of complexity in operational / reporting / process and/or analysis function requiring a short to medium term focus + May represents the group as a project lead on projects / initiatives and/or at meetings across the organization + Provides training to others on best practices, processes, etc. as well as guide junior staff for the completion of business as usual functions **Education & Experience:** + Undergraduate degree required + 3+ years relevant experience required + Advanced knowledge and understanding of the operating environment, business processes and procedures, and transaction lifecycle for own area + Requires working professional level knowledge of the functional area and/or business areas supported + Organized self-starter with excellent analytical, problem-solving and time management skills + Detail oriented, high level of accuracy and ability to work independently + Excellent communication skills, both oral and written + Excellent PC skills including Microsoft Office, Excel, Access and PowerPoint + Excellent customer orientation, interpersonal and communication skills to deal effectively with all levels of staff **Preferred Qualifications:** + 3-5 years of payroll experience. + Deep industry and business knowledge and expertise on risk and control functions + Ability to work successfully as a member of a team and independently + Ability to exercise sound judgement in making decisions + Knowledge of governance, risk and control procedures, strategies & tactics + Knowledge of risk management environment, standards, regulations, and mitigation + Knowledge of current and emerging trends + Advanced ability to lead, plan, implement and evaluate program/project activities to ensure completion. **Customer Accountabilities:** + Acts as a key resource / specialist for an HR area /program(s) by providing subject matter expertise / analysis or complex operational process support + Manages assigned programs, ensuring coordination of changes, and timely and accurate transaction processing + Provides optimal employee and partner service, including expert guidance and advice on policies, programs and procedures, while adhering to customer service standards and Customer Experience + Model Identifies, documenta, investigates processes / exceptions arising from transactions / processes beyond 1st level operations service delivery and resolve escalated matters and refer complex issues / situations beyond own level of expertise + Develops and executes on reporting functions and/or produce consolidated or aggregated reporting as appropriate + Manages relationships with internal and external partners + Provides accurate and thorough analysis of key process drivers, root or systemic causes of cross functional operational issues, interprets findings and makes recommendations for improvement + Contributes to the identification, development and implementation of new operating workflows, additional services / applications or operational efficiencies for HR Operations + May lead work streams by acting as a project lead / subject matter expert for small-scale projects / initiatives in accordance with project management methodologies **Shareholder** **Accountabilities:** + Prioritizes and manages own workload to meet SLA requirements for service and productivity + May interface with regulators, external groups (legal firms, vendors, etc.), on operating and service delivery issues relative to the specific area of functional expertise as authorized by the manager + Acquires and applies expertise in the discipline + Provides guidance, assistance and direction to others in HR and other internal partners + Identifies, recommends and effectively executes standard practices applicable to the discipline + Analyzes service delivery issues and identify potential solutions that enhance the customer experience and support HR business objectives + Protects the interests of the organization identify and manage risks and escalate non-standard, high risk transactions or other activities as appropriate + Completes business process reviews as required and contribute to the creation of new processes + May manage or support change management projects or programs that impact the business, functions or processes and ensure clear communication and documentation of new processes + Accountable for cross-functional initiatives to deliver value add internally or to partner groups + Ensures compliance with applicable internal and external audit and regulatory requirements, providing recommendations and guidance as required **Employee/Team** **Accountabilities:** + Participates fully as a member of the team, promote team effectiveness and contribute to a positive work environment + Supports the team by continuously developing knowledge in own area. + Provides training, coaching and/or guidance to others as appropriate/required + Participates in personal performance management and development activities + Ensures the timely communication of issues that are relevant to the team and encourage a good working relationship with other departments + Participates in a fair, positive and equitable environment that supports a diverse workforce + Contributes to the success of the team by willingly assisting others in the completion and performance of additional duties as assigned + Acts as a brand champion for the business area/function and the bank, both internally and/or externally **Physical Requirements:** Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% + Domestic Travel - Occasional + International Travel - Never + Performing sedentary work - Continuous + Performing multiple tasks - Continuous + Operating standard office equipment - Continuous + Responding quickly to sounds - Occasional + Sitting - Continuous + Standing - Occasional + Walking - Occasional + Moving safely in confined spaces - Occasional + Lifting/Carrying (under 25 lbs.) - Occasional + Lifting/Carrying (over 25 lbs.) - Never + Squatting - Occasional + Bending - Occasional + Kneeling - Never + Crawling - Never + Climbing - Never + Reaching overhead - Never + Reaching forward - Occasional + Pushing - Never + Pulling - Never + Twisting - Never + Concentrating for long periods of time - Continuous + Applying common sense to deal with problems involving standardized situations - Continuous + Reading, writing and comprehending instructions - Continuous + Adding, subtracting, multiplying and dividing - Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes. **Who We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. **Our Total Rewards Package** Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more (*************************************** **Additional Information:** We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. **Colleague Development** If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. **Training & Onboarding** We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. **Interview Process** We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. **Accommodation** TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at *************** . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process. Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

Hours: 40 Pay Details: $28.25 - $42.50 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: Human Resources Job Description: The Payroll Compliance & Projects Analyst plays a key role in supporting the governance, control, and compliance strategy for the North American Payroll function, partnering with HR 1B and Payroll leadership to align with enterprise best practices and broader business objectives. This role leads and supports complex, high-risk initiatives, ensuring successful project execution and process optimization. Acting as a subject matter expert, the Analyst provides guidance across the function, manages regulatory change, and oversees the development and implementation of policies and procedures. They serve as a primary contact for audit and compliance requests, maintain an integrated view of business risks and controls, and contribute to long-range planning and strategic decision-making. The Analyst also ensures accurate administration and control activities, drives operational efficiencies, and supports cross-functional alignment through the design, and implementation of payroll solutions. HR Operations Analyst II - Provides a range of analytical, program and/or operational process support within a defined functional area. Depth & Scope: * Advanced knowledge and understanding of the operating environment, business processes and procedures, and transaction lifecycle for own area * Identifies and investigates non-standard operational / reporting / process issues * Provides recommendations or escalates issues to appropriate area * Provides regular analysis and/or reporting to support business partners, functional areas or centres of expertise * Requires working professional level knowledge of the functional area and/or business areas supported * Moderate level of complexity in operational / reporting / process and/or analysis function requiring a short to medium term focus * May represents the group as a project lead on projects / initiatives and/or at meetings across the organization * Provides training to others on best practices, processes, etc. as well as guide junior staff for the completion of business as usual functions Education & Experience: * Undergraduate degree required * 3+ years relevant experience required * Advanced knowledge and understanding of the operating environment, business processes and procedures, and transaction lifecycle for own area * Requires working professional level knowledge of the functional area and/or business areas supported * Organized self-starter with excellent analytical, problem-solving and time management skills * Detail oriented, high level of accuracy and ability to work independently * Excellent communication skills, both oral and written * Excellent PC skills including Microsoft Office, Excel, Access and PowerPoint * Excellent customer orientation, interpersonal and communication skills to deal effectively with all levels of staff Preferred Qualifications: * 3-5 years of payroll experience. * Deep industry and business knowledge and expertise on risk and control functions * Ability to work successfully as a member of a team and independently * Ability to exercise sound judgement in making decisions * Knowledge of governance, risk and control procedures, strategies & tactics * Knowledge of risk management environment, standards, regulations, and mitigation * Knowledge of current and emerging trends * Advanced ability to lead, plan, implement and evaluate program/project activities to ensure completion. Customer Accountabilities: * Acts as a key resource / specialist for an HR area /program(s) by providing subject matter expertise / analysis or complex operational process support * Manages assigned programs, ensuring coordination of changes, and timely and accurate transaction processing * Provides optimal employee and partner service, including expert guidance and advice on policies, programs and procedures, while adhering to customer service standards and Customer Experience * Model Identifies, documenta, investigates processes / exceptions arising from transactions / processes beyond 1st level operations service delivery and resolve escalated matters and refer complex issues / situations beyond own level of expertise * Develops and executes on reporting functions and/or produce consolidated or aggregated reporting as appropriate * Manages relationships with internal and external partners * Provides accurate and thorough analysis of key process drivers, root or systemic causes of cross functional operational issues, interprets findings and makes recommendations for improvement * Contributes to the identification, development and implementation of new operating workflows, additional services / applications or operational efficiencies for HR Operations * May lead work streams by acting as a project lead / subject matter expert for small-scale projects / initiatives in accordance with project management methodologies Shareholder Accountabilities: * Prioritizes and manages own workload to meet SLA requirements for service and productivity * May interface with regulators, external groups (legal firms, vendors, etc.), on operating and service delivery issues relative to the specific area of functional expertise as authorized by the manager * Acquires and applies expertise in the discipline * Provides guidance, assistance and direction to others in HR and other internal partners * Identifies, recommends and effectively executes standard practices applicable to the discipline * Analyzes service delivery issues and identify potential solutions that enhance the customer experience and support HR business objectives * Protects the interests of the organization identify and manage risks and escalate non-standard, high risk transactions or other activities as appropriate * Completes business process reviews as required and contribute to the creation of new processes * May manage or support change management projects or programs that impact the business, functions or processes and ensure clear communication and documentation of new processes * Accountable for cross-functional initiatives to deliver value add internally or to partner groups * Ensures compliance with applicable internal and external audit and regulatory requirements, providing recommendations and guidance as required Employee/Team Accountabilities: * Participates fully as a member of the team, promote team effectiveness and contribute to a positive work environment * Supports the team by continuously developing knowledge in own area. * Provides training, coaching and/or guidance to others as appropriate/required * Participates in personal performance management and development activities * Ensures the timely communication of issues that are relevant to the team and encourage a good working relationship with other departments * Participates in a fair, positive and equitable environment that supports a diverse workforce * Contributes to the success of the team by willingly assisting others in the completion and performance of additional duties as assigned * Acts as a brand champion for the business area/function and the bank, both internally and/or externally Physical Requirements: Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% * Domestic Travel - Occasional * International Travel - Never * Performing sedentary work - Continuous * Performing multiple tasks - Continuous * Operating standard office equipment - Continuous * Responding quickly to sounds - Occasional * Sitting - Continuous * Standing - Occasional * Walking - Occasional * Moving safely in confined spaces - Occasional * Lifting/Carrying (under 25 lbs.) - Occasional * Lifting/Carrying (over 25 lbs.) - Never * Squatting - Occasional * Bending - Occasional * Kneeling - Never * Crawling - Never * Climbing - Never * Reaching overhead - Never * Reaching forward - Occasional * Pushing - Never * Pulling - Never * Twisting - Never * Concentrating for long periods of time - Continuous * Applying common sense to deal with problems involving standardized situations - Continuous * Reading, writing and comprehending instructions - Continuous * Adding, subtracting, multiplying and dividing - Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes. Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals. Training & Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at ***************. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.

Job Description Title: Director of Compliance Salary: $160,000/yr. - $180,000/yr. Commensurate with experience About Grameen America: Grameen America is a nonprofit microfinance organization dedicated to helping low-income women entrepreneurs build businesses to enable upward financial mobility. We envision an inclusive society in which all entrepreneurs, regardless of gender, race or income, have access to fair and affordable financial services. We provide affordable capital, credit- and asset-building, education and peer support to enable our members to boost their business income, create jobs and transform communities. Founded by Nobel Peace Prize laureate Muhammad Yunus in 2008, Grameen America is now the fastest growing nonprofit microfinance organization in the U.S., having achieved tremendous milestones in its first 16 years of operations, investing in 220,000 low-income women entrepreneurs while demonstrating measurable impact. Our members have repaid their loans at a rate of over 99% and have become economic drivers in their communities. For more information, please visit grameenamerica.org Position Summary: The Director of Compliance will lead the development, implementation, and oversight of Grameen America's comprehensive compliance program. The compliance professional will ensure the organization's adherence to all relevant financial regulations, state and federal, and ethical standards, particularly those governing microfinance lending, savings programs, and credit reporting. The Director will provide guidance to General Counsel and senior management, address all exams and regulatory inquiries, conduct internal audits to ensure KYC and AML compliance, support the training of employees, and maintain a robust compliance infrastructure that aligns with Grameen America's mission of empowering financially underserved women. Essential duties and responsibilities: Compliance Program Management: Develop, implement, and maintain a comprehensive, risk-based compliance program that addresses all federal, state, and local regulations relevant to microfinance and nonprofit operations, including a compliance manual. Oversee the continuous refinement of compliance policies, procedures, and internal controls for lending, savings, and credit reporting activities. Ensure compliance with specific consumer protection statutes, including the Equal Credit Opportunity Act (ECOA), relevant sections of TILA, and state-specific lending laws. Oversee compliance with NMLS directives and filings. Implement appropriate compliance and operational risk controls, policies and procedures utilizing knowledge of existing regulatory framework, emerging risks and industry best practices. Regulatory Oversight and Risk Assessment: Monitor emerging regulatory and legal changes affecting the financial services and nonprofit sectors, communicating risks and necessary changes to leadership. Manage and/or conduct regular internal audits and compliance risk assessments of KYC/AML process branch operations to ensure adherence to policies and regulatory standards. Lead investigations into operational and member-related issues Partner with operational teams to implement effective risk mitigation strategies and corrective action plans. Maintain a tracker of regulatory requests. Address and monitor all organizational-wide NMLS reporting requirements, including those in support of branch openings. Training and Education: Develop and deliver regular compliance training programs for employees, including new hires, to build and sustain a strong culture of compliance. Educate employees on best practices related to data privacy, fraud prevention, fair lending, and ethical conduct. Reporting and Collaboration: Prepare and present regular, comprehensive compliance reports to the General Counsel. Serve as the primary liaison with regulatory agencies and external auditors during examinations and inquiries. Investigate potential compliance incidents and breaches and coordinate with internal and external counsel on resolution. Identify, report and escalate risks, issues and control enhancements to operations leadership. Address inquiries, exams and audits (by regulators, and internal groups). Mission Integration: Ensure that compliance initiatives support, rather than hinder, Grameen America's mission to serve low-income women entrepreneurs. Work with program teams to ensure that program design, including savings programs and loan disbursement, adheres to all regulations while remaining accessible and affordable for members. Required skills and qualifications: Education: Juris Doctor (JD). License: Admitted to practice law in any of the states of the U.S.; in good standing. Experience: 5+ years of compliance experience in financial services, with a preference for experience in microfinance, community development finance, or nonprofit banking. Regulatory Knowledge: Deep expertise in relevant federal and state financial regulations, such as ECOA, TILA, and fair lending laws as well as CDFI regulations. Analytical Skills: Exceptional analytical and problem-solving abilities to identify potential risks and develop effective solutions. Leadership: Proven experience in a managerial or leadership role, with the ability to influence and guide teams toward a shared vision of compliance. Communication: Excellent written and verbal communication skills, with the ability to translate complex regulations into clear guidance for all employees and report effectively to General Counsel and other members of the senior leadership team. Mission Alignment: A strong commitment to Grameen America's mission of empowering low-income entrepreneurs. In Person/Travel Requirements: Attend In-person quarterly staff meetings in New York City required. Hybrid remote/onsite schedule with required visits to NYC offices and other branches outside of NYC, based on business needs. What We Offer You: Medical, dental, and vision insurance plans Paid Holidays, vacation and sick time 401K retirement savings plans Flexible Spending Account (FSA) Wellness program with two free coaching sessions per month Opportunity for advancement And more! Grameen America is an Equal Opportunity Employer (EEO) committed to diversity and inclusion in its workplace. Grameen America employment decisions are based on job requirements and individual skills and qualifications without regard to the applicant's race, ethnicity, color, religion, sex, gender, gender identity, sexual orientation, national origin, disability, veteran status, or any other characteristic protected by applicable federal, state, or local law. Grameen America, Inc. participates in the E-Verify program. Must be able to legally work in the U.S.

Title: Director of Compliance Salary: $160,000/yr. - $180,000/yr. Commensurate with experience About Grameen America: Grameen America is a nonprofit microfinance organization dedicated to helping low-income women entrepreneurs build businesses to enable upward financial mobility. We envision an inclusive society in which all entrepreneurs, regardless of gender, race or income, have access to fair and affordable financial services. We provide affordable capital, credit- and asset-building, education and peer support to enable our members to boost their business income, create jobs and transform communities. Founded by Nobel Peace Prize laureate Muhammad Yunus in 2008, Grameen America is now the fastest growing nonprofit microfinance organization in the U.S., having achieved tremendous milestones in its first 16 years of operations, investing in 220,000 low-income women entrepreneurs while demonstrating measurable impact. Our members have repaid their loans at a rate of over 99% and have become economic drivers in their communities. For more information, please visit grameenamerica.org Position Summary: The Director of Compliance will lead the development, implementation, and oversight of Grameen America's comprehensive compliance program. The compliance professional will ensure the organization's adherence to all relevant financial regulations, state and federal, and ethical standards, particularly those governing microfinance lending, savings programs, and credit reporting. The Director will provide guidance to General Counsel and senior management, address all exams and regulatory inquiries, conduct internal audits to ensure KYC and AML compliance, support the training of employees, and maintain a robust compliance infrastructure that aligns with Grameen America's mission of empowering financially underserved women. Essential duties and responsibilities: Compliance Program Management: Develop, implement, and maintain a comprehensive, risk-based compliance program that addresses all federal, state, and local regulations relevant to microfinance and nonprofit operations, including a compliance manual. Oversee the continuous refinement of compliance policies, procedures, and internal controls for lending, savings, and credit reporting activities. Ensure compliance with specific consumer protection statutes, including the Equal Credit Opportunity Act (ECOA), relevant sections of TILA, and state-specific lending laws. Oversee compliance with NMLS directives and filings. Implement appropriate compliance and operational risk controls, policies and procedures utilizing knowledge of existing regulatory framework, emerging risks and industry best practices. Regulatory Oversight and Risk Assessment: Monitor emerging regulatory and legal changes affecting the financial services and nonprofit sectors, communicating risks and necessary changes to leadership. Manage and/or conduct regular internal audits and compliance risk assessments of KYC/AML process branch operations to ensure adherence to policies and regulatory standards. Lead investigations into operational and member-related issues Partner with operational teams to implement effective risk mitigation strategies and corrective action plans. Maintain a tracker of regulatory requests. Address and monitor all organizational-wide NMLS reporting requirements, including those in support of branch openings. Training and Education: Develop and deliver regular compliance training programs for employees, including new hires, to build and sustain a strong culture of compliance. Educate employees on best practices related to data privacy, fraud prevention, fair lending, and ethical conduct. Reporting and Collaboration: Prepare and present regular, comprehensive compliance reports to the General Counsel. Serve as the primary liaison with regulatory agencies and external auditors during examinations and inquiries. Investigate potential compliance incidents and breaches and coordinate with internal and external counsel on resolution. Identify, report and escalate risks, issues and control enhancements to operations leadership. Address inquiries, exams and audits (by regulators, and internal groups). Mission Integration: Ensure that compliance initiatives support, rather than hinder, Grameen America's mission to serve low-income women entrepreneurs. Work with program teams to ensure that program design, including savings programs and loan disbursement, adheres to all regulations while remaining accessible and affordable for members. Required skills and qualifications: Education: Juris Doctor (JD). License: Admitted to practice law in any of the states of the U.S.; in good standing. Experience: 5+ years of compliance experience in financial services, with a preference for experience in microfinance, community development finance, or nonprofit banking. Regulatory Knowledge: Deep expertise in relevant federal and state financial regulations, such as ECOA, TILA, and fair lending laws as well as CDFI regulations. Analytical Skills: Exceptional analytical and problem-solving abilities to identify potential risks and develop effective solutions. Leadership: Proven experience in a managerial or leadership role, with the ability to influence and guide teams toward a shared vision of compliance. Communication: Excellent written and verbal communication skills, with the ability to translate complex regulations into clear guidance for all employees and report effectively to General Counsel and other members of the senior leadership team. Mission Alignment: A strong commitment to Grameen America's mission of empowering low-income entrepreneurs. In Person/Travel Requirements: Attend In-person quarterly staff meetings in New York City required. Hybrid remote/onsite schedule with required visits to NYC offices and other branches outside of NYC, based on business needs. What We Offer You: Medical, dental, and vision insurance plans Paid Holidays, vacation and sick time 401K retirement savings plans Flexible Spending Account (FSA) Wellness program with two free coaching sessions per month Opportunity for advancement And more! Grameen America is an Equal Opportunity Employer (EEO) committed to diversity and inclusion in its workplace. Grameen America employment decisions are based on job requirements and individual skills and qualifications without regard to the applicant's race, ethnicity, color, religion, sex, gender, gender identity, sexual orientation, national origin, disability, veteran status, or any other characteristic protected by applicable federal, state, or local law. Grameen America, Inc. participates in the E-Verify program. Must be able to legally work in the U.S.

Title: Director of Compliance Salary: $160,000/yr. - $180,000/yr. Commensurate with experience About Grameen America: Grameen America is a nonprofit microfinance organization dedicated to helping low-income women entrepreneurs build businesses to enable upward financial mobility. We envision an inclusive society in which all entrepreneurs, regardless of gender, race or income, have access to fair and affordable financial services. We provide affordable capital, credit- and asset-building, education and peer support to enable our members to boost their business income, create jobs and transform communities. Founded by Nobel Peace Prize laureate Muhammad Yunus in 2008, Grameen America is now the fastest growing nonprofit microfinance organization in the U.S., having achieved tremendous milestones in its first 16 years of operations, investing in 220,000 low-income women entrepreneurs while demonstrating measurable impact. Our members have repaid their loans at a rate of over 99% and have become economic drivers in their communities. For more information, please visit grameenamerica.org Position Summary: The Director of Compliance will lead the development, implementation, and oversight of Grameen America's comprehensive compliance program. The compliance professional will ensure the organization's adherence to all relevant financial regulations, state and federal, and ethical standards, particularly those governing microfinance lending, savings programs, and credit reporting. The Director will provide guidance to General Counsel and senior management, address all exams and regulatory inquiries, conduct internal audits to ensure KYC and AML compliance, support the training of employees, and maintain a robust compliance infrastructure that aligns with Grameen America's mission of empowering financially underserved women. Essential duties and responsibilities: Compliance Program Management: Develop, implement, and maintain a comprehensive, risk-based compliance program that addresses all federal, state, and local regulations relevant to microfinance and nonprofit operations, including a compliance manual. Oversee the continuous refinement of compliance policies, procedures, and internal controls for lending, savings, and credit reporting activities. Ensure compliance with specific consumer protection statutes, including the Equal Credit Opportunity Act (ECOA), relevant sections of TILA, and state-specific lending laws. Oversee compliance with NMLS directives and filings. Implement appropriate compliance and operational risk controls, policies and procedures utilizing knowledge of existing regulatory framework, emerging risks and industry best practices. Regulatory Oversight and Risk Assessment: Monitor emerging regulatory and legal changes affecting the financial services and nonprofit sectors, communicating risks and necessary changes to leadership. Manage and/or conduct regular internal audits and compliance risk assessments of KYC/AML process branch operations to ensure adherence to policies and regulatory standards. Lead investigations into operational and member-related issues Partner with operational teams to implement effective risk mitigation strategies and corrective action plans. Maintain a tracker of regulatory requests. Address and monitor all organizational-wide NMLS reporting requirements, including those in support of branch openings. Training and Education: Develop and deliver regular compliance training programs for employees, including new hires, to build and sustain a strong culture of compliance. Educate employees on best practices related to data privacy, fraud prevention, fair lending, and ethical conduct. Reporting and Collaboration: Prepare and present regular, comprehensive compliance reports to the General Counsel. Serve as the primary liaison with regulatory agencies and external auditors during examinations and inquiries. Investigate potential compliance incidents and breaches and coordinate with internal and external counsel on resolution. Identify, report and escalate risks, issues and control enhancements to operations leadership. Address inquiries, exams and audits (by regulators, and internal groups). Mission Integration: Ensure that compliance initiatives support, rather than hinder, Grameen America's mission to serve low-income women entrepreneurs. Work with program teams to ensure that program design, including savings programs and loan disbursement, adheres to all regulations while remaining accessible and affordable for members. Required skills and qualifications: Education: Juris Doctor (JD). License: Admitted to practice law in any of the states of the U.S.; in good standing. Experience: 5+ years of compliance experience in financial services, with a preference for experience in microfinance, community development finance, or nonprofit banking. Regulatory Knowledge: Deep expertise in relevant federal and state financial regulations, such as ECOA, TILA, and fair lending laws as well as CDFI regulations. Analytical Skills: Exceptional analytical and problem-solving abilities to identify potential risks and develop effective solutions. Leadership: Proven experience in a managerial or leadership role, with the ability to influence and guide teams toward a shared vision of compliance. Communication: Excellent written and verbal communication skills, with the ability to translate complex regulations into clear guidance for all employees and report effectively to General Counsel and other members of the senior leadership team. Mission Alignment: A strong commitment to Grameen America's mission of empowering low-income entrepreneurs. In Person/ Travel Requirements: Attend In-person quarterly staff meetings in New York City required. Hybrid remote/onsite schedule with required visits to NYC offices and other branches outside of NYC, based on business needs. What We Offer You: Medical, dental, and vision insurance plans Paid Holidays, vacation and sick time 401K retirement savings plans Flexible Spending Account (FSA) Wellness program with two free coaching sessions per month Opportunity for advancement And more! Grameen America is an Equal Opportunity Employer (EEO) committed to diversity and inclusion in its workplace. Grameen America employment decisions are based on job requirements and individual skills and qualifications without regard to the applicant's race, ethnicity, color, religion, sex, gender, gender identity, sexual orientation, national origin, disability, veteran status, or any other characteristic protected by applicable federal, state, or local law. Grameen America, Inc. participates in the E-Verify program. Must be able to legally work in the U.S.