Compliance Specialist jobs at Enterprise Bank - 208 jobs

Title: Policy Compliance Specialist Department: AE Wealth Management Compliance Reporting to: Policy and Training Manager Location: Lenexa, KS or Topeka, KS - or fully remote for qualified candidates Overview: As a Policy Compliance Specialist at Advisors Excel, you will be an integral part of our Compliance team, responsible for developing and maintaining our organization's compliance policies and procedures. This role ensures that our firm adheres to evolving regulatory requirements and industry standards, minimizing risk while promoting best practices. You will work closely with internal departments to assess and improve existing policies, ensuring they align with regulatory and business needs. If you have a passion for compliance, a proactive approach to problem-solving, and a desire to drive continuous improvement, this role is for you. Please note the company does not extend sponsorship opportunities at this time. What you'll do: Draft new and update existing written compliance policies and procedures pertaining to registered investment adviser and broker-dealer standards Stay up to date on federal and state statutes/regulations pertaining to the securities industry Take ownership of compliance-related projects, ensuring timely completion with or without direct supervision Collaborate with business partners to publish policy and procedure changes Create and maintain content for required compliance training courses, ensuring accuracy and clarity Manage the process to ensure all required individuals complete compliance training within set deadlines Respond to advisor inquiries with a focus on delivering excellent customer service while adhering to ethical and compliance standards Oversee the creation and content of the monthly compliance newsletter, ensuring timely and relevant updates Take a proactive approach to identifying opportunities for process improvements and implementing solutions to enhance compliance operations Experience you'll bring: 2-4 years of experience in the securities industry, with a background in compliance, and/or regulatory management Skilled in writing business procedures, policies, documentation, and/or developing training materials Experience writing internal communications for large audiences Strong organizational skills; ability to prioritize and work with a high degree of accuracy while handling multiple responsibilities Confident, professional, and articulate in written and verbal communication; ability to interact with all personality types and with all levels of staff Proactive and self-motivated; able to work independently and as a collaborative team member Demonstrates discretion and professionalism in handling sensitive and confidential information Bonus Points: Knowledge of FINRA, SEC, and various state rules/ regulations Securities Industry Essentials/SIE preferred or interested in obtaining in the future What you'll get: Amazing benefits, including medical, dental, vision, and 401k (with matching options) Generous PTO package from your start date Access to an on-site café, gym, and even an on-site primary care Continuous personal and professional development opportunities Recognition for hard work & exemplary performance Who We Are: Advisors Excel is a fast-paced, innovative company that seeks to service independent financial advisors in a multitude of areas within their business. From operational functions, to sales and marketing, our end goal is to help continually grow advisors' businesses nationwide. We thrive on watching them succeed. Not only does AE want to see the success of our advisors, but also our employees. We have high expectations from them to continually move our business forward. We are on the hunt for positive people who thrive on hard work and in a collaborative team environment. If this sounds like you, then what are you waiting for? We want you to join our team! Advisors Excel is an Equal Employment Opportunity Employer. Everyone is welcome here - as an inclusive workplace, our employees are always comfortable bringing their true selves to our offices daily. #LI-RH1

Compliance Specialist II - Complaints and Investigations Department: AE Wealth Management Compliance Reporting to: Compliance Director - Investigations Advisors Excel is seeking an experienced and motivated Compliance Specialist II specializing in Complaints and Investigations to join our compliance team. In this advanced role, you will play a pivotal role in upholding regulatory standards and driving process improvement across our organization. You will be responsible for investigating complaints, conducting thorough analysis, and implementing effective solutions to address compliance issues. By leveraging your analytical expertise, attention to detail, and industry experience, you will deliver effective solutions that enhance our reputation, ensure regulatory compliance, and maintain trust with our clients and partners. Please note the company does not extend sponsorship opportunities at this time. What you'll do: * Perform complex investigations, complaints, and quality service reviews by gathering and analyzing relevant documents and circumstances * Assist the Compliance Manager with training team members * Prepare comprehensive letters and memos pertaining to investigations and complaints, ensuring accuracy and clarity in communication * Maintain records and reports for investigations, complaints, and quality service reviews, adhering to established protocols * Collaborate closely with internal stakeholders across departments to facilitate the completion of investigations and related tasks * Efficiently track and manage multiple cases, prioritizing tasks to meet deadlines effectively * Take ownership of assigned projects, demonstrating accountability for timely completion with or without direct oversight Experience you'll bring: * 3-5 years of financial services industry experience * Active Series 7 license required * Exceptional written communication skills with the ability to convey information accurately and succinctly through factual reporting, ensuring compliance documentation meets regulatory standards * Strong problem-solving and analytical skills with the ability to interpret complex information and make sound judgments * Capable of engaging with individuals at all levels of the organization and across diverse personality types, fostering effective collaboration and communication * Strong organizational skills in managing a demanding workload and navigating competing priorities in a fast-paced environment, while maintaining a focus on achieving key objectives and deadlines Bonus Points: * Bachelor's degree in business administration, Finance, Legal Studies, or a related field * Relevant experience in audit, regulatory, risk or compliance environment * Interest in obtaining Series 24 license What you'll get: * Amazing benefits including medical, dental, vision and 401k (with matching options) * Generous PTO package from your start date * Access to an on-site café, gym and primary care * Continuous personal and professional development opportunities * Recognition for hard work & exemplary performance * Employee sponsored events…and more! Who We Are: Advisors Excel is a fast paced, innovative company that seeks to service independent financial advisors in a multitude of areas within their business. From operational functions to sales and marketing, our end goal is to help continually grow advisors' businesses nationwide. We thrive on watching them succeed. Not only does AE want to see the success of our advisors, but also our employees. We have high expectations from them to continually move our business forward. We are on the hunt for positive people who thrive on hard work and in a collaborative team environment. If this sounds like you, then what are you waiting for? We want you to join our team! Advisors Excel is an Equal Employment Opportunity Employer. Everyone is welcome here - as an inclusive workplace, our employees are always comfortable bringing their true selves to our offices daily. #LI-RH1

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").

Operations Compliance Specialist Department: Loan Operations Status: FT / Hourly Jump start your career at Equity Bank! We are currently hiring energetic, team oriented, and community focused individuals to join our team! Make a difference where it counts by joining the Equity Bank team. We're looking for the next generation of operations compliance specialists, those with a passion for people and creating a positive work environment in every interaction. At Equity Bank we'll help you invest in your community through volunteer opportunities which align with our company initiatives and core values. Summary This role supports the bank's regulatory and operational compliance functions across both loan and deposit areas. Key responsibilities include assisting with the implementation of laws and regulations, developing compliance‑related policies and procedures, and serving as a resource for operational compliance questions. The position conducts a variety of loan compliance reviews-such as investor reporting, HMDA data accuracy checks, flood documentation verification, and collateral reviews for FHLB. It also performs deposit compliance reviews, including oversight of Regulation CC holds and verification of deposit maintenance. The role requires strict adherence to bank policies, internal controls, and audit standards. Responsibilities and Expectations * Operational Compliance * Assist with the implementation of applicable laws and regulations. * Support the development and maintenance of deposit and loan policies and procedures related to regulatory compliance. * Serve as a resource for operational compliance questions from bank operations staff. * Assist with training and support during bank conversions as needed. * Loan Compliance Review * Complete monthly investor reporting for SBA 7(a), USDA, and FHLB MPF loans. * Conduct loan reviews for collateral pledging to the Federal Home Loan Bank. * Perform monthly scrubs on all HMDA-reportable loans to ensure accuracy of reporting fields. * Conduct flood compliance reviews to verify all required documentation is complete and accurate prior to loan closing. * Deposit Compliance Review * Review all Reg CC holds placed by frontline and back-office staff. * Complete verification on deposit-related maintenance activities. * Demonstrate Compliance with Applicable Laws and Regulations * Adhere to all Bank Policies, including but not limited to the Equity Bank Business Ethics and Conduct Policy and the Bank Secrecy Act. * Complete all required compliance coursework. * Ensure adherence to internal controls and audit requirements. * Additional Duties * Perform other duties as assigned or required. Required Skills & Education * High School Diploma or equivalent * 5+ years banking experience, preferable in compliance or risk management * Excellent interpersonal, verbal, and written communication skills * Ability to analyze, investigate, and achieve results * Computer proficiency in Windows-based systems * Ability to maintain a high degree of confidentiality * Strong attention to detail and organizational skills * Ability to multitask Who we are Equity Bank, a full-service, $7 billion community bank, is based in Wichita, Kansas, with 79 bank offices throughout Kansas, Missouri, Arkansas, and Oklahoma. At Equity Bank, you can find exciting opportunities to challenge you, expand your skills, and reward your contributions. Our employees receive competitive compensation and benefits, while working in an atmosphere that encourages personal and professional growth. We're searching for motivated individuals who are passionate about serving others, learning new technologies, and working as part of a team. Equity Bank offers a full range of financial solutions, including online and mobile banking, commercial loans, consumer banking, and mortgage loans, treasury management service, the best solutions for your business, and absolutely zero ATM fees, anywhere. What's in it for you? We believe your benefits are an important part of your overall compensation package. We work year-round to ensure that we provide our employees with the most up-to-date, competitive program. We thoroughly evaluate our benefit plans and strive to provide quality benefits that support the physical and financial well-being of our employees and their families. Benefits Available: * Health, Dental & Vision Insurance * Group Life & Long-Term Disability Insurance * Flexible Spending & Health Savings Accounts * Group Cancer Insurance * 401(K) Retirement Plan w/ Company Match * Generous Vacation & Sick Time * Employee Stock Purchase Plan (ESPP) * Pet Insurance * Retail Banking Benefits Find your future at Equity Bank! The above statements are intended to generally describe the nature and level of work to be performed by most people assigned to this job. It is not intended as an exhaustive list of all responsibilities, duties, and requirements. Physical Requirements This position requires standing, walking, bending, and squatting on a regular basis. May require the ability to stoop, kneel, crouch or reach with hands and arms. Requires the ability to carry, lift, move or push up to 25 pounds on an occasional basis. Must be able to talk and listen to others. Work Environment This position regularly works in an office setting. Most of the job duties require the employee to be working with computers and electronic media on a regular basis. Equity Bank is an equal opportunity employer and will not make employment decisions based on an applicant's race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

McKinley Youth Family and Community are what we are all about We offer a great working environment and benefits package McKinley encourages growth so that you can Be your Best HUMAN At McKinley employees share a set of guiding principles We embrace a culture that is Hopeful Understanding Moral Awesome Nurturing HUMAN The Company McKinley is a highly respected welfare organization with a comprehensive array of programs and services which touch nearly 1800 lives annually including short term residential treatment program STRTP Foster Care Adoptions Mental Health Services and Special Education McKinley has 5 locations throughout southern California with our main campus located in San Dimas We embrace a culture that is HUMAN Hopeful Understanding Moral Awesome Nurturing McKinley has created a Hopeful environment in which we choose optimism in finding the motivation to achieve our greatest dreams We are a team dedicated to Understanding individual needs and do so by listening and embracing each individuals stories We strongly embrace our agencys Morals by treating everyone with kindness and respect At McKinley we acknowledge our team members and clients Awesome qualities by celebrating what makes each individual unique We are dedicated to Nurturing a Trauma Informed Integrated Care approach that has created a unique culture within the organization We celebrate diversity by our commitment to cultivating an inclusive and affirming environment for all The Position The Billing Specialist is responsible for the review and content compliance of any and all documentation submitted to the client record This is to include day to day department functions tracking of billing and claim reconciliation and work in tandem with outside agencies to maintain current procedures involvement in audits performed by regulatory agencies conduct quality assurance activities and periodic record reviews of all active and discharged clients Compensation and Benefits The pay range were offering is 2000 2200 hourly depending Based on experience Our people are the heart of our organization which is why we offer robust benefits to support your health and wellness as well as your personal and financial well being Medical Dental and Vision Insurance we offer a company defined contribution of 620monthLife InsuranceFlexible Spending AccountPaid Time OffSick TimePaid Holidays403b retirement plan with company match up to 3Employee Assistance ProgramTuition ReimbursementEmployee Referral BonusCredit Union MembershipTraining Opportunities to Further Personal and Professional Growth Qualifications Bachelors Degree in Social Work Psychology Public Administration or in any other related discipline preferred Prior Quality Assurance Experience including knowledge of IBHIS and billing codes requirements or Case Management Experience Strongly PreferredWord Processing e mail internet ability to learn clinical software basic office skills ie typing telephone copier Microsoft Excel Power Bi and Adobe AcrobatMust pass pre employment physical exam TB and drug screening Ability to commute to various sites on and off campus Ability to work extended hours as needed Ability to physically restrain children if needed DOJ FBI Child Abuse IndexInsurability Under Corporate Automobile Insurance Key Responsibilities Tracking and Processing County and Department DocumentationReviewing documentation for compliance with regulatory and agency standards and to ensure they reflect a high level of care Monitor the accuracy of records documents and billing and complete reconciliation of services as needed Report any and all documentation deficiencies andor compliance concerns to the AVP of Contract Compliance Director of Compliance Department VPs and Directors in a timely manner Monitor track and correct billed claims in Electronic Health Record EHR on a weekly basis Enter Riverside and San Bernardino Billing into County SystemsProcess Denied Claims on a weekly basis Prepare Invoices for all county billings and monitor payment reports Maintain and run Claim Reconciliation ReportsProcess County Client AuthorizationsAudits client charts on a monthly basis Assist service delivery staff in completingcorrecting documentation Organize and prepare records for visits and audits Actively participate in the agencys Performance and Quality Improvement PQI PlanOther related duties as needed Why Should You Apply Our Mission work for an organization that makes a real difference in peoples lives Competitive pay Several benefit options Employee tuition reimbursement Great training for staff Join McKinley to Be Your Best HUMAN

Under the direction of the BSA Officer, the BSA Compliance Analyst assists in the implementation and administration of all aspects of compliance and assists with various assignments. ESSENTIAL FUNCTIONS Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The following statements are intended to describe the general nature and level of work being performed by this position. It is not intended to be an exhaustive list of all duties, responsibilities, and skills required of this position. Other duties may be assigned to meet business needs. Performs quality control reviews and monitoring pertaining to the Bank Secrecy Act, USA Patriot Act, Anti-Money Laundering Program, OFAC, and Member Identification Program compliance using industry standard and regulatory guidance to ensure CoastHills' compliance efforts are maintained daily. Monitors and analyzes developing trends and changes in regulatory compliance laws, rules, and regulations, and advises management of the operational impact. Assists in the development and implementation of appropriate policies, procedures, disclosures, notices, and forms to comply with legislative and regulatory changes or new requirements. Complies with currency transaction action reporting requirements by performing daily currency transaction (CTR) monitoring and, when appropriate, the preparation of Currency Transaction Reports. Conducts time-sensitive investigations of alerted and referred transactions and individuals for suspicious activity, utilizing several internal and external resources. Reviews simple and complex transactions, individuals and member situations and provides findings to management to evaluate potential risk to the Credit Union. Reviews internal suspicious incident reports and determines if Suspicious Activity Reports (SAR) are warranted and files SARs timely with FinCEN. Maintains current knowledge of the Bank Secrecy Act and all related anti-money laundering and OFAC regulations. Provides research and evaluation of anti-money laundering (AML) cases and accurately and sufficiently document analysis and findings in the Credit Union's case management system. Uploads various reports to the Credit Union's Financial Crime Risk Manager (FCRM) including but not limited to FinCEN 314(a), FinCEN Acknowledgments and SDN Watch List. Ensures effective communication with management and employees to complete suspicious activity investigations and reports. Immediately responds to employee requests for assistance regarding regulatory and procedural processes relating to BSA, OFAC, AML, and CIP. Pursues specialized Bank Secrecy Act training and re-certification to keep abreast of the constant changes in state and federal regulations. Maintains current job knowledge of Credit Union policies, procedures, and services. Regularly attends and participates in in-house training. Performs duties as assigned by management and may be assigned to work at any location. QUALIFICATIONS The qualifications listed below are representative of the knowledge, skill and/or ability required to perform the essential functions of this position. Education and Experience Five or more years increasingly responsible related experience within a financial institution. Knowledge of branch operational activities and a variety of federal and state laws and regulations. Certificates, Licenses and Registrations BSA Compliance Specialist certification, or successful completion of BSA Compliance School possession of certification within six months of hire. Knowledge Well-rounded background in all aspects of credit union department functions, policies, and procedures. Credit union laws and regulations. Advanced skills with MS Office Suite (Word, PowerPoint, Excel) required, as well as auditing software. Other Skills and Abilities Operates a variety of office equipment, machines, audio/visual equipment and aids, cameras, and other digital equipment. Travels, attends, and participates in meetings, seminars, and conferences held before and after normal business hours that may require unaccompanied long-distance travel and overnight lodging. Ability to work a variety of hours, including evenings and weekends.

McKinley: Youth, Family, and Community are what we are all about! We offer a great working environment and benefits package! McKinley encourages growth so that you can Be your Best H.U.M.A.N. At McKinley employees share a set of guiding principles: We embrace a culture that is Hopeful, Understanding, Moral, Awesome, Nurturing. - H.U.M.A.N. The Company: McKinley is a highly respected welfare organization with a comprehensive array of programs and services which touch nearly 1,800 lives annually including short term residential treatment program (STRTP), Foster Care, Adoptions, Mental Health Services, and Special Education. McKinley has 5 locations throughout southern California with our main campus located in San Dimas. We embrace a culture that is H.U.M.A.N.- Hopeful, Understanding, Moral, Awesome, Nurturing. McKinley has created a Hopeful environment, in which we choose optimism in finding the motivation to achieve our greatest dreams. We are a team dedicated to Understanding individual needs and do so by listening and embracing each individual s stories. We strongly embrace our agency s Morals by treating everyone with kindness and respect. At McKinley, we acknowledge our team member s and clients Awesome qualities by celebrating what makes each individual unique. We are dedicated to Nurturing a Trauma-Informed Integrated Care approach that has created a unique culture within the organization. We celebrate diversity by our commitment to cultivating an inclusive and affirming environment for all. The Position: The Billing Specialist is responsible for the review and content compliance of any and all documentation submitted to the client record. This is to include day to day department functions, tracking of billing and claim reconciliation and work in tandem with outside agencies to maintain current procedures, involvement in audits performed by regulatory agencies, conduct quality assurance activities and periodic record reviews of all active and discharged clients. Compensation and Benefits: The pay range we re offering is $20.00- $22.00 hourly, depending (Based) on experience. Our people are the heart of our organization, which is why we offer robust benefits to support your health and wellness as well as your personal and financial well-being. Medical, Dental, and Vision Insurance- we offer a company defined contribution of $620/month Life Insurance Flexible Spending Account Paid Time Off Sick Time Paid Holidays 403(b) retirement plan with company match up to 3% Employee Assistance Program Tuition Reimbursement Employee Referral Bonus Credit Union Membership Training Opportunities to Further Personal and Professional Growth Qualifications: Bachelor s Degree in Social Work, Psychology, Public Administration or in any other related discipline preferred Prior Quality Assurance Experience including knowledge of IBHIS and billing codes requirements or Case Management Experience Strongly Preferred Word Processing, e-mail, internet, ability to learn clinical software, basic office skills (i.e. typing, telephone, copier) Microsoft Excel, Power Bi and Adobe Acrobat Must pass pre-employment physical exam, TB and drug screening Ability to commute to various sites on and off campus Ability to work extended hours as needed Ability to physically restrain children (if needed) DOJ, FBI, Child Abuse Index Insurability Under Corporate Automobile Insurance Key Responsibilities: Tracking and Processing County and Department Documentation Reviewing documentation for compliance with regulatory and agency standards and to ensure they reflect a high level of care Monitor the accuracy of records, documents, and billing and complete reconciliation of services as needed Report any and all documentation deficiencies and/or compliance concerns to the AVP of Contract Compliance, Director of Compliance, Department VPs and Directors in a timely manner Monitor, track and correct billed claims in Electronic Health Record (EHR) on a weekly basis Enter Riverside and San Bernardino Billing into County Systems Process Denied Claims on a weekly basis Prepare Invoices for all county billings and monitor payment reports Maintain and run Claim Reconciliation Reports Process County Client Authorizations Audits client charts on a monthly basis Assist service delivery staff in completing/correcting documentation Organize and prepare records for visits and audits Actively participate in the agency s Performance and Quality Improvement (PQI) Plan Other related duties as needed Why Should You Apply? Our Mission- work for an organization that makes a real difference in people s lives Competitive pay Several benefit options Employee tuition reimbursement Great training for staff Join McKinley to Be Your Best H.U.M.A.N.

WHO WE LOOK FOR An SEI-er is a master communicator and active listener who understands how to navigate an audience. Self-aware, almost to a fault, SEI-ers keenly understand how to adjust their support and problem solving based on the situation. Following a logical, fact-based approach, SEI-ers possess the superior ability to see correlations others may not, ask the right questions and drive solutions. As super-connectors, they connect not only people, but data, trends and experiences. Mature, humble, and genuine, SEI-ers frequently go above and beyond for both their clients and their colleagues. SEI-ers are ethical and trustworthy individuals who consistently and repeatedly follow through, and hold true to their values in difficult situations. SEI-ers have an insatiable curiosity and love to learn. These individuals are commonly tech savvy and early adopters. Their passion for learning is infectious and excites others. As every project is different, an SEI-er must be adaptable and comfortable with unexpected situations. SEI-ers define ambition differently. They are authentic, low-maintenance individuals who truly enjoy one another- they like to hang out with colleagues outside of work, collaborate and hold one another accountable. SEI-ers enjoy working with genuine, thoughtful folks who want to steer clear of the traditional grind and share the joy of day-to-day life and activities with colleagues, friends, and family. WHAT WE DO Our Security, Risk and Compliance consultants work with clients at all levels of the organization, from the C-suite to the shop floor, helping them to deliver on their most strategic initiatives. We're known for making realistic, data-driven decisions that deliver value in tangible ways to our clients. Our clients ask for us on projects that require a superior combination of technical and business capabilities, people and management skills, and a collaborative mindset. We excel in understanding complex programs and strategic initiatives and breaking them into actionable pieces. We are actively looking for professionals in the following areas: Compliance Information Security Risk Management Data Privacy The ideal candidate's experience may include but is not limited to the following: Management or participation in Cybersecurity, Information Security, Risk, Compliance and/or Data Privacy Programs or Projects Sample projects/programs could include but are not limited to: Compliance framework mapping and implementation, Regulatory mapping and implementation Audit, risk or regulatory remediation management, Readiness for new laws and regulations, Risk, Compliance or Information Security risk reporting and monitoring Creation of roadmaps to mature or advance Risk, Compliance or Information Security Strategies/Programs/Controls Design and enablement of cyber controls functions and processes Change management related to regulatory adoption or compliance changes Audit or certification readiness Familiarity or direct experience with GRC/Cybersecurity solutions, tools and technologies Control design or maturation for high-demand technical areas such as ERP, Identity and Access Management, Business Continuity and Resiliency, Cloud Knowledge of and/or application of industry specific regulations, laws, and standards such as the EU-GDPR, CCPA/CPRA, HIPAA, PCI Knowledge of and/or application of compliance and security frameworks and standards such as COSO, NIST, ISO Management of regulatory, internal or external audits, or experience as an auditor Projects or roles requiring coordination across lines of defense working with technical, business, compliance, risk and audit teams to deliver solutions Work or projects with military or federal government agencies in Risk, Compliance or Information Security/Cyber Security sectors Certifications: CIPP, CRCM, CRM, ARM, CISSP, CISM QUALIFICATIONS Required- Alignment to our core values: Excellence, Participation, Integrity, and Collaboration Hungry, Humble, Smart Demonstrated business and technology acumen Strong written and verbal communication skills Understanding and experience solving real business problems Proven track record of delivering results Experience working with and/or leading a team Ability to work across industries, roles, functions & technologies Authorization for permanent employment in the United States (this position is not eligible for immigration sponsorship) Preferred- Bachelor's degree 8+ years professional experience Experience across our service offerings The Company collects and uses Personal Information for human resources, employment, benefits administration, and business-related purposes. To comply with our regulatory obligations under the California Consumer Privacy Act (“CCPA”), the Company is required to notify you of the Personal Information we collect. To access our CCPA Policy including the categories of Personal Information we collect and the purposes for which we intend to use this information, please visit SEI's Privacy Policy. Systems Evolution, Inc. (SEI) is an equal opportunity employer (EOE) and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law

Voleon is a technology company that applies state-of-the-art AI and machine learning techniques to real-world problems in finance. For nearly two decades, we have led our industry and worked at the frontier of applying AI/ML to investment management. We have become a multibillion-dollar asset manager, and we have ambitious goals for the future. Your colleagues will include internationally recognized experts in artificial intelligence and machine learning research as well as highly experienced finance and technology professionals. The people who shape our company come from other backgrounds, including concert music performances, humanitarian aid, opera singing, sports writing, and BMX racing. You will be part of a team that loves to succeed together. In addition to our enriching and collegial working environment, we offer highly competitive compensation and benefits packages, technology talks by our experts, a beautiful modern office, daily catered lunches, and more. As the Compliance Analyst II, you will work on the investment advisory compliance program for an SEC-registered investment adviser and NFA commodity pool operator. You will work directly with the CCO to help implement Voleon's compliance program as part of the Compliance department. You will have broad exposure to the firm's trading, operations, and research groups, handle issues related to the firm's investment products in a fast-paced, constantly evolving regulatory environment, and help to develop firm policies and procedures to manage and mitigate regulatory requirements. Responsibilities * Responsible for various regulatory filings (e.g., Form ADV, Forms 13H and 13F, CFTC and NFA filings, state "Blue Sky" filings and others) * Manage the firm's Proxy Voting processes * Review, revise, develop, and implement policies and procedures to address new business practices or regulatory changes (e.g., CTA, etc.) * Work closely with other members of the firm to analyze the compliance impact of investment strategy changes, and implement changes to the compliance program * Develop and test various compliance policies, procedures, and other controls * Review marketing materials and other communications for regulatory compliance. Requirements * 5+ years of experience at: (i) an investment adviser or commodity pool operator working with private investment funds or SMA investors; (ii) a securities compliance consulting firm; (iii) a law firm working on relevant matters; (iv) compliance division of a securities regulator (e.g., SEC, NFA, CFTC); (v) fund administrators; (vi) or other securities related business. * Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of compliance programs * Bachelor's degree, strong preference for finance or accounting * Authorization to work in the United States The base salary range for this position is $120,000 to $135,000 in the location(s) of this posting. Individual salaries are determined through a variety of factors, including, but not limited to, education, experience, knowledge, skills, and geography. Base salary does not include other forms of total compensation such as bonus compensation and other benefits. Our benefits package includes medical, dental and vision coverage, life and AD&D insurance, 20 days of paid time off, 9 sick days, and a 401(k) plan with a company match. "Friends of Voleon" Candidate Referral Program If you have a great candidate in mind for this role and would like to have the potential to earn $7,500 if your referred candidate is successfully hired and employed by The Voleon Group, please use this form to submit your referral. For more details regarding eligibility, terms and conditions please make sure to review the Voleon Referral Bonus Program. Equal Opportunity Employer The Voleon Group is an Equal Opportunity employer. Applicants are considered without regard to race, color, religion, creed, national origin, age, sex, gender, marital status, sexual orientation and identity, genetic information, veteran status, citizenship, or any other factors prohibited by local, state, or federal law. #LI-MB1 We may use artificial intelligence (AI) tools to support parts of the hiring process. These tools assist our recruitment team but do not replace human judgement. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.

Voleon is a technology company that applies state-of-the-art AI and machine learning techniques to real-world problems in finance. For nearly two decades, we have led our industry and worked at the frontier of applying AI/ML to investment management. We have become a multibillion-dollar asset manager, and we have ambitious goals for the future. Your colleagues will include internationally recognized experts in artificial intelligence and machine learning research as well as highly experienced finance and technology professionals. The people who shape our company come from other backgrounds, including concert music performances, humanitarian aid, opera singing, sports writing, and BMX racing. You will be part of a team that loves to succeed together. In addition to our enriching and collegial working environment, we offer highly competitive compensation and benefits packages, technology talks by our experts, a beautiful modern office, daily catered lunches, and more. As the Compliance Analyst II, you will work on the investment advisory compliance program for an SEC-registered investment adviser and NFA commodity pool operator. You will work directly with the CCO to help implement Voleon's compliance program as part of the Compliance department. You will have broad exposure to the firm's trading, operations, and research groups, handle issues related to the firm's investment products in a fast-paced, constantly evolving regulatory environment, and help to develop firm policies and procedures to manage and mitigate regulatory requirements.Responsibilities Responsible for various regulatory filings (e.g., Form ADV, Forms 13H and 13F, CFTC and NFA filings, state "Blue Sky" filings and others) Manage the firm's Proxy Voting processes Review, revise, develop, and implement policies and procedures to address new business practices or regulatory changes (e.g., CTA, etc.) Work closely with other members of the firm to analyze the compliance impact of investment strategy changes, and implement changes to the compliance program Develop and test various compliance policies, procedures, and other controls Review marketing materials and other communications for regulatory compliance. Requirements 5+ years of experience at: (i) an investment adviser or commodity pool operator working with private investment funds or SMA investors; (ii) a securities compliance consulting firm; (iii) a law firm working on relevant matters; (iv) compliance division of a securities regulator (e.g., SEC, NFA, CFTC); (v) fund administrators; (vi) or other securities related business. Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of compliance programs Bachelor's degree, strong preference for finance or accounting Authorization to work in the United States The base salary range for this position is $120,000 to $135,000 in the location(s) of this posting. Individual salaries are determined through a variety of factors, including, but not limited to, education, experience, knowledge, skills, and geography. Base salary does not include other forms of total compensation such as bonus compensation and other benefits. Our benefits package includes medical, dental and vision coverage, life and AD&D insurance, 20 days of paid time off, 9 sick days, and a 401(k) plan with a company match. “Friends of Voleon” Candidate Referral ProgramIf you have a great candidate in mind for this role and would like to have the potential to earn $7,500 if your referred candidate is successfully hired and employed by The Voleon Group, please use this form to submit your referral. For more details regarding eligibility, terms and conditions please make sure to review the Voleon Referral Bonus Program. Equal Opportunity EmployerThe Voleon Group is an Equal Opportunity employer. Applicants are considered without regard to race, color, religion, creed, national origin, age, sex, gender, marital status, sexual orientation and identity, genetic information, veteran status, citizenship, or any other factors prohibited by local, state, or federal law. #LI-MB1

Angel Oak Mortgage Solutions ("AOMS") is currently one of the top Non-QM lenders in the nation, offering specialized mortgage solutions for brokers and correspondents throughout the country. The TPO Compliance Specialist role acts a key point of contact for our broker and correspondent clients, facilitating both new application and/or renewal processes on behalf of AOMS. Principal Accountabilities: * Ensure thorough review of Client applications for new approvals and annual renewals based on the policies and requirements of each channel as designated by Angel Oak Mortgage Solutions. * Successfully manages multiple queues to include new submission packages, renewal packages and quarterly compensation updates for new and active clients; reviews and submits recommendations as needed for suspensions and/or terminations based upon company criteria. * Effectively communicate to internal and external client's current application or renewal status, along with any outstanding needs. * Maintain, update, and reconcile systems used to process, review and store Client records within required company timelines. * Maintains a high level of data integrity and documentation accuracy within key systems of records. * Respond timely and professionally to internal or external inquiries received through personal or company email distribution groups. * Engage with Department Manager and designated team members to appropriately escalate information discovered in review processes, which may impact client status and/or loans in process. * Work with Department Manager and Team Members to build and maintain a dependable and supportive work environment. * Project an attitude of client advocacy with internal departments, Clients, and team members at all times. * Accept and timely complete any additional tasks or projects as may be appropriately assigned by Department Manager.

Voleon is a technology company that applies state-of-the-art AI and machine learning techniques to real-world problems in finance. For nearly two decades, we have led our industry and worked at the frontier of applying AI/ML to investment management. We have become a multibillion-dollar asset manager, and we have ambitious goals for the future. Your colleagues will include internationally recognized experts in artificial intelligence and machine learning research as well as highly experienced finance and technology professionals. The people who shape our company come from other backgrounds, including concert music performances, humanitarian aid, opera singing, sports writing, and BMX racing. You will be part of a team that loves to succeed together. In addition to our enriching and collegial working environment, we offer highly competitive compensation and benefits packages, technology talks by our experts, a beautiful modern office, daily catered lunches, and more. As the Compliance Analyst I, you will work on the investment advisory compliance program for an SEC-registered investment adviser and NFA commodity pool operator. You will work directly with the CCO to help implement Voleon's compliance program as part of the Compliance department. You will have broad exposure to the firm's trading, operations, and research groups, handle issues related to the firm's investment products in a fast-paced, constantly evolving regulatory environment, and help to develop firm policies and procedures to manage and mitigate regulatory requirements.Responsibilities Manage the preparation of key regulatory filings (e.g., EU Short Reporting, Forms 13H and 13F, various CFTC and NFA filings, state "Blue Sky" filings and others). Review critical reports that would indicate the need to make a regulatory filing. Assist with the day-to-day administration of the firm's Code of Ethics software system for employee compliance, which includes personal trading by employees and other access persons, various periodic certifications by employees and other documentation, etc. Assist with compliance training Operate as secretary for various supervisory committees Requirements 2-5 years of experience with demonstrated talent in professional endeavors Prior experience in compliance, investment management (particularly work with registered investment advisers), or paralegal work is preferred Bachelor's degree, strong preference for finance or accounting Authorization to work in the United States The base salary range for this position is $100,000 to $110,000 in the location(s) of this posting. Individual salaries are determined through a variety of factors, including, but not limited to, education, experience, knowledge, skills, and geography. Base salary does not include other forms of total compensation such as bonus compensation and other benefits. Our benefits package includes medical, dental and vision coverage, life and AD&D insurance, 20 days of paid time off, 9 sick days, and a 401(k) plan with a company match. “Friends of Voleon” Candidate Referral ProgramIf you have a great candidate in mind for this role and would like to have the potential to earn $7,500 if your referred candidate is successfully hired and employed by The Voleon Group, please use this form to submit your referral. For more details regarding eligibility, terms and conditions please make sure to review the Voleon Referral Bonus Program. Equal Opportunity EmployerThe Voleon Group is an Equal Opportunity employer. Applicants are considered without regard to race, color, religion, creed, national origin, age, sex, gender, marital status, sexual orientation and identity, genetic information, veteran status, citizenship, or any other factors prohibited by local, state, or federal law. #LI-MB1

Westamerica is among the largest commercial banks headquartered in California. We are looking for outstanding people to join our winning team. We reached our current strength because our employees, customers, and shareholders believe in the same fundamental goals: Delivering a wide variety of financial services with a superior customer service guarantee. Weekly Working Hours: 40 The Compliance Analyst will support Westamerica Bank's Compliance Program through analyzing and testing compliance risk. They will assist in providing second-line independent oversight and guidance regarding business products, services, and processes. The Analyst will continuously drive a strong culture of compliance and demonstrate integrity and professional judgement. Key Responsibilities Assist with compliance monitoring, testing and reporting. Assist with quality control reviews of CRA and qualifying CRA community development activities. Assist with CRA/Compliance exam preparation, as needed. Assist with ensuring compliance exceptions noted in compliance monitoring reviews, audits and exams are successfully resolved. Assist in compliance training events. Exhibit superior time management skills, measured by deadlines and quality of progress and projects completed. Maintain confidentiality of information and protect Bank sensitive information and materials. Develop and maintain collaborative relationships with employees and management in order to effectively obtain and communicate information. Maintain proficient knowledge of pertinent laws and regulations. Other duties as assigned. Requirements Minimum Qualifications: 3 to 5 years of compliance experience in the banking financial services industry. Excellent oral and written communication skills, with the ability to effectively present information and respond to inquiries from managers and employees. Ability to write reports and business correspondence. Intermediate to advanced familiarity with the Microsoft Office suite, including Microsoft Excel, Word, Outlook and Power Point. Preferred Qualifications: Experience with CRA software. EOE Westamerica Bank's Privacy Policy may be found at: ********************************* Salary Description $68,640.00 - $73,861.96

Job Description About Figure Figure (NASDAQ: FIGR) is transforming capital markets through blockchain. We're proving that blockchain isn't just theory - it's powering real products used by hundreds of thousands of consumers and institutions. By combining blockchain's transparency and efficiency with AI-driven automation, we've reimagined how loans are originated, funded, and traded in secondary markets. From faster processing times to lower costs and reduced bias, our technology is helping borrowers, investors, and financial institutions achieve better outcomes. Together with our 170+ partners, we've originated over $17 billion in home equity loans (HELOCs) on our blockchain-native platform, making Figure the largest non-bank provider of home equity financing in the U.S. Figure's ecosystem also includes YLDS, an SEC-registered yield-bearing stablecoin that operates as a tokenized money market fund, and several other products and platforms that are reshaping consumer finance and capital markets. We're proud to be recognized as one of Forbes' Most Innovative Fintech Startups in 2025 and Fast Company's Most Innovative Companies in Finance and Personal Finance. About the Role This cyber compliance & risk management role protects the organization's digital assets and resilience by identifying, assessing, and mitigating cybersecurity risks while ensuring adherence to laws, regulations, and industry standards to protect business continuity. You'll champion security controls, policies, and reporting that align security practice with business needs. What You'll Do Align cybersecurity practices with external regulations (e.g., GDPR, HIPAA) and internal policies. Conduct risk assessments and threat/vulnerability analyses across systems and networks. Partner with SecOps to continuously monitor systems for threats and validate control effectiveness. Recommend, implement, and validate security controls and best practices to reduce risk. Develop, maintain, and socialize security policies, standards, and procedures. Contribute to incident response planning and post-incident reviews. Document findings, quantify risk, and present recommendations to technical and executive stakeholders. Track evolving threats, regulations, and industry trends to continuously improve the program. What We Look For Familiarity with enterprise IT, networks, common threats, and core security tools. Working knowledge of frameworks such as NIST and NICE for risk and capability mapping. Understanding of data privacy laws and industry-specific regulations. Ability to perform risk assessments, analyze data, and conduct threat modeling. Clear, concise communication of complex technical risk to both technical and executive audiences. Salary Compensation Range: $80,000 - $100,000/yr 25% annual bonus target, paid quarterly Equity RSU package This is the compensation range for the United States, actual compensation may vary based on individual candidate experience, location, or evolving business needs Benefits Comprehensive health, vision, and dental insurance with 100% employer-paid premiums for employees and their dependents on select plans Company HSA, FSA, Dependent Care, 401k, and commuter benefits Employer-funded life and disability insurance coverage 11 Observed Holidays & PTO plan Up to 12 weeks paid family leave Continuing education reimbursement Depending on your residential location certain laws might regulate the way Figure manages applicant data. California Residents, please review our California Employee and General Workforce Privacy Notice for further information. By submitting your application, you are agreeing and acknowledging that you have read and understand the above notice. Figure will not sponsor work visas for this position. In compliance with federal law, all persons hired will be required to verify identity and eligibility to work in the United States and to complete the required employment eligibility verification form upon hire. #LI-SB1 #LI-Hybrid

At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career. Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express. American Express's Global Financial Crimes Surveillance Unit (GFCSU) and the US Investigations Unit (USIU) are part of the broader Global Risk & Compliance organization, operating within Global Financial Crimes Compliance (GFCC). Together, they provide end-to-end oversight and support of global financial crimes investigations. In partnership with GFCC, GFCSU and USIU develop and implement transaction monitoring rules to detect potential criminal activity and manage risk through comprehensive Sanctions Screening. The primary function of the GFCSU RFI Desk is to manage Requests for Information (RFI's) for additional investigative data, (demographic data, merchant information, transactional data, etc.) which may stem from Sanctions Screening adjudication and Transaction Monitoring investigative inputs. The RFI Desk serves as an intermediary between Investigations and Lines of Business on all incoming and outgoing RFI requests. How will you make an impact in this role? * Coordinate RFIs for Sanctions Screening and Transaction Monitoring * Initiate RFI requests and oversee timely, accurate RFI responses * Manage RFI data within GAITS and Bridger case management tools and adjudicate alerts as necessary * Partner with Investigations, Lines of Business, and Global Sanctions on issue management * Communicate effectively with Senior Leadership * Analyze and assess business impacts of proposed or implemented changes to the GFCSU's alert adjudication process and AML investigations * Identify and recommend efficiencies and strategies to meet core requirements * Maintain RFI metrics and conduct analysis to identify trends * Prepare weekly, monthly, and quarterly performance snapshots Minimum Qualifications: * Familiarity with Amex Financial Crimes internal functions (AML, Screening, EDD, etc.) with a strong preference for Sanctions alert adjudication experience * Bridger, GAITS, and SharePoint experience strongly preferred * Excellent analytical skills and experience with Excel (pivots, macros, and basic functions like VLOOKUP, conditional formatting, data validation) and other data analysis tools * Superior organizational skills with attention to detail a must * Ability to work effectively within a team and build effective cross-team partnerships * Demonstrated ability to think critically, adapt quickly, and perform well under pressure. * Excellent written and oral communication skills * Demonstrated ability to influence senior management and achieve results through others Preferred Qualifications: * Bachelor's degree, or an equivalent combination of education and professional experience * Sanctions Screening alert adjudication experience Salary Range: $65,500.00 to $102,500.00 annually + bonus + benefits The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors. We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally: * Competitive base salaries * Bonus incentives * 6% Company Match on retirement savings plan * Free financial coaching and financial well-being support * Comprehensive medical, dental, vision, life insurance, and disability benefits * Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need * 20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy * Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) * Free and confidential counseling support through our Healthy Minds program * Career development and training opportunities For a full list of Team Amex benefits, visit our Colleague Benefits Site. American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions. We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually. US Job Seekers - Click to view the "Know Your Rights" poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: *************************** Employment eligibility to work with American Express in the United States is required as the company will not pursue visa sponsorship for these positions.

At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career. Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express. How will you make an impact in this role? American Express's Global Financial Crimes Surveillance Unit (GFCSU) and the US Investigations Unit (USIU) are part of the broader Global Risk & Compliance organization, operating within Global Financial Crimes Compliance (GFCC). Together, they provide end-to-end oversight and support of global financial crimes investigations. In partnership with GFCC, GFCSU and USIU develop and implement transaction monitoring rules, reports, and other tools to detect potential criminal activity. This Anti-Corruption Payments Monitoring analyst position will assist in the management of an effective global Anti-Corruption compliance program. Resolution of potential issues requires interaction with varied business colleagues located in the Americas and abroad. Resolution and documentation of both payments and ownership analyses requires attention to detail, ability to track multiple work-streams simultaneously, and use of Excel. This role will assist on any additional projects and responsibilities as needed. In particular, this analyst position will collect and analyze financial data for potential violations of payments controls, assist in the analysis of underlying issues arising from investigations into requirements, assist the project team in the completion of project-related documentation, work as part of a team on projects which are moderately complex, and review research performed regarding ownership and legal status of third-party entities using compliance tools and methods. Job Responsibilities: * Support enterprise Anti-Corruption due diligence, payments monitoring, compliance monitoring and testing, and reporting processes. * Support the resolution of Anti-Corruption related issues, enhancements to the compliance framework, and the review of business activities as appropriate. * Analyze and review data and reports as needed. * Analyze entities for government ownership as needed. * Demonstrate a keen attention to detail in investigation, analysis, and writing. * Collaborate proactively with colleagues in a hybrid work environment to work through roadblocks. * Assist the GFCSU in the implementation and maintenance of Global Anti-Corruption policies and guidelines. * Ensure Anti-Corruption policies, guidelines, and other program documents are regularly updated and maintained. * Assist with coordination and support for the Anti-Corruption training and communication plans. Minimum Qualifications: * 2+ years of experience in a compliance role or a related area * Must be self-motivated, dependable, adaptable, and detail-oriented with a proven ability to work independently and within a team environment * Ability to demonstrate excellent verbal and written communication skills * Strong interpersonal, organizational and time management skills * Strong collaborative skills and experience working with different stakeholders * Strong computer knowledge and excellent MS Word, Excel, Visio, and PowerPoint skills * Ability to multi-task effortlessly and manage competing priorities under demanding deadlines Preferred Qualifications: * Bachelor's degree preferred * One or more foreign language capability preferred * Experience in an Anti-Corruption or Anti-Money Laundering compliance role preferred * Experience delivering effective feedback to support process improvement(s) and/or enhanced proficiency * Project management skills a plus * Knowledge of American Express products and systems * CAMS and/or CFE certification is preferred Salary Range: $65,500.00 to $102,500.00 annually + bonus + benefits The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors. We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally: * Competitive base salaries * Bonus incentives * 6% Company Match on retirement savings plan * Free financial coaching and financial well-being support * Comprehensive medical, dental, vision, life insurance, and disability benefits * Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need * 20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy * Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) * Free and confidential counseling support through our Healthy Minds program * Career development and training opportunities For a full list of Team Amex benefits, visit our Colleague Benefits Site. American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions. We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually. US Job Seekers - Click to view the "Know Your Rights" poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: *************************** Employment eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions.

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

At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career. Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express. **How will you make an impact in this role?** The Global Anti-Corruption (GAC) team is responsible for the day-to-day management of the Company's Anti-Corruption Program, providing support to leadership and colleagues and issuing guidelines on topics such as meals, gifts, and entertainment; anti-corruption third party due diligence; monitoring of external incentive programs; hiring; and payments monitoring. Specific responsibilities for analysts include writing, editing, and updating procedures; collecting and analyzing data for risk assessments; conducting entity analysis to determine state ownership; responding to questions directed to the GAC mailbox; providing specialized trainings to line of business and compliance staff; conducting ad hoc and programmatic reviews; and developing and enhancing processes for compliance controls, testing, and reporting. **Minimum Qualifications** + Bachelor's degree and/or relevant professional qualification preferred (Law Degree, Compliance/AML Diploma, CAMS Certification with a Legal/Compliance/Control/Auditing background) + Strong computer knowledge; excellent MS Word, Excel, Visio, and PowerPoint skills + Must be self-motivated, dependable, adaptable, and detail-oriented with a proven ability to work independently or within a team environment + Ability to manage competing priorities under demanding deadlines + Demonstrate excellent verbal and written communication skills **Preferred Qualifications** + 1-3 years of Anti-Corruption, Sanctions, or AML experience + Analytical skills, attention to detail and ability to review data and report. + Expert-level Excel skills (e.g. complex calculations, pivot tables creation / manipulation, macros). + Proven ability to develop presentation materials with clear and concise messaging Guardian **Qualifications** Salary Range: $65,500.00 to $102,500.00 annually bonus benefits The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors. We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally: + Competitive base salaries + Bonus incentives + 6% Company Match on retirement savings plan + Free financial coaching and financial well-being support + Comprehensive medical, dental, vision, life insurance, and disability benefits + Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need + 20 weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy + Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) + Free and confidential counseling support through our Healthy Minds program + Career development and training opportunities For a full list of Team Amex benefits, visit our Colleague Benefits Site . American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions. We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually. US Job Seekers - Click to view the " Know Your Rights " poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: *************************** Employment eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions. **Job:** Compliance **Primary Location:** US-Arizona-Phoenix **Other Locations:** US-Utah-Sandy, US-Florida-Sunrise **Schedule** Full-time **Tags** 2LOD_Financial Crimes **Req ID:** 25021106

At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career. Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express. **How will you make an impact in this role?** American Express's Global Financial Crimes Surveillance Unit (GFCSU) and the US Investigations Unit (USIU) are part of the broader Global Risk & Compliance organization, operating within Global Financial Crimes Compliance (GFCC). Together, they provide end-to-end oversight and support of global financial crimes investigations. In partnership with GFCC, GFCSU and USIU develop and implement transaction monitoring rules, reports, and other tools to detect potential criminal activity. This Anti-Corruption Payments Monitoring analyst position will assist in the management of an effective global Anti-Corruption compliance program. Resolution of potential issues requires interaction with varied business colleagues located in the Americas and abroad. Resolution and documentation of both payments and ownership analyses requires attention to detail, ability to track multiple work-streams simultaneously, and use of Excel. This role will assist on any additional projects and responsibilities as needed. In particular, this analyst position will collect and analyze financial data for potential violations of payments controls, assist in the analysis of underlying issues arising from investigations into requirements, assist the project team in the completion of project-related documentation, work as part of a team on projects which are moderately complex, and review research performed regarding ownership and legal status of third-party entities using compliance tools and methods. **Job Responsibilities:** + Support enterprise Anti-Corruption due diligence, payments monitoring, compliance monitoring and testing, and reporting processes. + Support the resolution of Anti-Corruption related issues, enhancements to the compliance framework, and the review of business activities as appropriate. + Analyze and review data and reports as needed. + Analyze entities for government ownership as needed. + Demonstrate a keen attention to detail in investigation, analysis, and writing. + Collaborate proactively with colleagues in a hybrid work environment to work through roadblocks. + Assist the GFCSU in the implementation and maintenance of Global Anti-Corruption policies and guidelines. + Ensure Anti-Corruption policies, guidelines, and other program documents are regularly updated and maintained. + Assist with coordination and support for the Anti-Corruption training and communication plans. **Minimum Qualifications:** + 2 years of experience in a compliance role or a related area + Must be self-motivated, dependable, adaptable, and detail-oriented with a proven ability to work independently and within a team environment + Ability to demonstrate excellent verbal and written communication skills + Strong interpersonal, organizational and time management skills + Strong collaborative skills and experience working with different stakeholders + Strong computer knowledge and excellent MS Word, Excel, Visio, and PowerPoint skills + Ability to multi-task effortlessly and manage competing priorities under demanding deadlines **Preferred Qualifications:** + Bachelor's degree preferred + One or more foreign language capability preferred + Experience in an Anti-Corruption or Anti-Money Laundering compliance role preferred + Experience delivering effective feedback to support process improvement(s) and/or enhanced proficiency + Project management skills a plus + Knowledge of American Express products and systems + CAMS and/or CFE certification is preferred **Qualifications** Salary Range: $65,500.00 to $102,500.00 annually bonus benefits The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors. We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally: + Competitive base salaries + Bonus incentives + 6% Company Match on retirement savings plan + Free financial coaching and financial well-being support + Comprehensive medical, dental, vision, life insurance, and disability benefits + Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need + 20 weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy + Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) + Free and confidential counseling support through our Healthy Minds program + Career development and training opportunities For a full list of Team Amex benefits, visit our Colleague Benefits Site . American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions. We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually. US Job Seekers - Click to view the " Know Your Rights " poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: *************************** Employment eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions. **Job:** Compliance **Primary Location:** US-Arizona-Phoenix **Other Locations:** US-Utah-Sandy, US-Florida-Sunrise **Schedule** Full-time **Req ID:** 25023471