Regulatory Compliance Specialist jobs at Moss Adams - 202 jobs

Job Description Exciting Opportunity at Orange County's Federal Credit Union Regulatory Compliance and BSA Supervisor CREDIT UNION'S PURPOSE: Simple Banking. For People, Not Profit. CREDIT UNION'S CORE VALUES: Integrity, Service Excellence, Growth & Development, High Performance, Mutual Respect, Community, and Fun Workplace Excellence. Through our associates' opinions and voices, Orange County's Federal Credit Union is a proud recipient of the Peter Barron Stark Best of the Best Award for highest associate satisfaction in the workplace! As a leading financial service provider with over 80 years of experience serving 123,000+ members, Orange County's Federal Credit Union is currently $2+ billion in assets & growing. Generous benefits include: Anthem HMO/PPO, Delta Dental, Unum options - from day one Life insurance at no cost to employees. 401(k) - We match up to 6% of the employee's contribution (dollar for dollar) Vacation hours - 13 days per year and rolls over year to year, and increases with tenure Sick hours - 7 days per year and paid holidays Annual performance merit increases Professional and personal development programs, including educational grants up to $1k per year, and step progression opportunities Annual discretionary bonus Professional, friendly work environment focused on achieving goals, recognizing successes, and excelling at member service. POSITION SUMMARY: Under general supervision, the Compliance and BSA Supervisor supports the development, implementation, and maintenance of the Credit Union's Compliance and Bank Secrecy Act (BSA)/Anti-Money Laundering (AML)/Office of Foreign Asset Control (OFAC) programs. This role ensures day-to-day compliance operations are executed effectively, supervises compliance and BSA staff, and assists in monitoring regulatory changes, conducting reviews, and preparing reports for management. This role additionally functions as a secondary support for fraud prevention operations. ESSENTIAL FUNCTIONS: Perform written performance evaluations of Compliance and BSA associates; evaluates work performance and regularly schedules reviews, recommend promotions, salary increases, and corrective action. Assist associates for growth potential through coaching, development planning, and training. Assists in key projects that drive internal and external process changes. Supervise daily operations of the Compliance and BSA/AML/OFAC programs. Serve as a working supervisor, performing all duties and tasks in a backup capacity. Relying on extensive experience and judgment to plan and accomplish goals; includes effective delegation to the associates. Assign duties and work schedules to ensure efficiency and proper coverage. Act as the escalation point of contact for Compliance and BSA issues, problems, and questions directly related to compliance and BSA. Assist members and staff with resolving difficult or complex issues with quick turnaround and accuracy. Perform routine service observations and provide feedback to staff members and update the department manager. Manage the department's presence in the intranet, On-Line Tools, and credit union website to ensure accuracy and relevance. Regularly communicate with front line associates and other departments about compliance and BSA procedures, changes or other kinds of relevant updates as this information allows them to serve the members better when they understand what they are and why. Monitor and review member transactions for suspicious activity and ensure timely filing of Suspicious Activity Reports (SARs). Assist in the development and maintenance of compliance policies, procedures, and risk assessments. Review disclosures, forms, marketing materials, and website content for regulatory compliance. Conduct internal compliance reviews and quality control; identify issues and recommend corrective actions. Maintain awareness of regulatory changes and assist in implementing necessary updates. Prepare and submit periodic reports to senior management and committees. Support vendor management activities related to compliance tools and services. Collaborate with auditors, examiners, and legal counsel during reviews and examinations. Promote a culture of compliance and risk awareness across the organization. Serve as secondary support for fraud prevention operations, which includes but is not limited to, reviewing reports, systems and correlating data to identify potentially fraudulent transactions, emerging threats and placing appropriate account restrictions or other to ensure the Credit Union's loss is minimized. Foster a collaborative and respectful team environment aligned with the Credit Union's values. Conducts special studies, collects a variety of data and information, analyzes and summarizes such information, makes recommendations and provides statistical reports. Acts as credit union liaison with members to respond and remedy issues (including contacting members to confirm the legitimacy of high-risk transactions); works cooperatively with other credit union departments to correct undesirable account conditions and assists in finding timely solutions to problems. Protects the confidentiality of all financial data relating to Credit Union operations and its members. ASSOCIATE EXPECTATIONS: Consistently practices the Service Philosophy of “Put People First” exercising the Connect, Discover, Deliver & Wow components in every encounter with internal and external members, creating extraordinary experiences. Exhibits the Leaders at All Levels concept of Leading Yourself, Leading Up, leading across Teams, and Leading the Team. Possesses strong knowledge of, and complies with, Regulations/Acts related to job functions, including but not limited to Bank Secrecy Act/Anti-Money Laundering/Countering the Financing of Terrorism/USA Patriot Act/Customer Identification Program/Office of Foreign Assets Control Policy, Regulations E, CC, GG, and V; the FCRA, FACT Act, NACHA and vendor Operating Rules. Specialization in credit union regulatory compliance and bank fraud prevention, detection, deterrence, and investigations. Strong understanding of financial transactions. Effectively conveys information. Communicate with immediate supervisor and the team keep others advised of progress and/or situations. Complies with all Orange County's Federal Credit Union policies, service standards, safety standards, procedural guidelines, and regulatory compliance, and completes all assigned training. LEADERSHIP: Undertakes continuous self-development of both functional and leadership skills. Focus and evidence of development in the following: Thinks strategically Execute for results Leads talent Develops personal proficiencies Fosters a shared equity of power Is self-regulating and has strong impulse control Exercises emotional intelligence Facilitates, not controls Inspires commitment Exhibits business financial acumen QUALIFICATIONS: Experience/ Training/ Education: College degree in business, management or finance; or equivalent preferred. More than five years' experience within Compliance, Risk Analysis and Risk Management tools required. Minimum three years of supervisory experience. BSA/OFAC/AML Certifications such as CAMS (Certified Anti-money Laundering Specialist) required. Strong knowledge of Verafin and Symitar Systems preferred. Knowledge/ Skills/ Abilities: Strong investigative and analytics skills. Knowledge of financial Institutions anti-fraud processes and experience. Knowledge of credit union applicable rules and regulations, policies, and procedures. Excellent communication/influence skills both verbally and in writing and excellent telephone manner, with strong presentation skills to be able to produce reports, conduct presentations and group facilitations. Must have personal computer skills and be proficient with Microsoft programs at an intermediate skill level. This position is currently hybrid-eligible, with the expectation of three days pre-assigned on-site attendance. This role requires California residency and living within a 50-mile commute of our headquarters in Santa Ana. The targeted annual salary range is $83,530.00 to $105,000.00. Final offer will be determined based on experience, education, training/certifications and specialized skills. We perform thorough background checks and credit checks. EOE

About Us: We started Novo to challenge the status quo- we're on a mission to build the operating system to destroy the back office, so small businesses (SMB's) can do more of what they love. Novo is flipping the script of the FinTech world, and we're excited to lead the small business FinTech revolution. Why Novo? Novo is a rapidly growing series B fintech startup with a mission-driven team that's passionate about helping every small business in America Positive, inclusive, supportive culture cheering you on your journey We work with very new technologies and architecture patterns We provide learning and development budgets to help you grow and bond with your team Able to work from the office 3+ days per week Offices in NYC, India, and Colombia We are looking for a Compliance Specialist that can engage in various areas of the risk and compliance team, who understands how to implement a risk-based approach to compliance processes, and how to effectively communicate across the organization and with external stakeholders to deliver. This role will focus more on business continuity and compliance testing. If you're passionate about finding the right balance of innovation and compliance for underserved markets, then we want to chat. Are you ready to revolutionize the small business banking industry with us? Are you ready to revolutionize the small business banking industry with us? Responsibilities of the Role: Establish and maintain business continuity oversight program and training in partnership with compliance leadership, business stakeholders and partner bank leadership Support the execution of the business impact assessment in partnership with business stakeholders Establish and enhance business continuity plan in consideration of critical business activities Monitor and facilitate the execution of business continuity testing and relative exercises with business stakeholders Coordinate with compliance and control partners to promote consistency in the application of the compliance program and best practices across the business Define test scope and scripts for assessment areas referenced within the annual testing schedule and business continuity plan, as applicable Perform control testing, document results and provide updates to the line of business, as necessary to ensure timely alignment with the annual testing schedule. Assist in managing issues identified within internal compliance testing and independent reviews that the business is subjected to Succinctly and clearly communicate complex fact patterns, underlying issues and recommended resolutions to others Execute necessary investigations and draft response for incoming complaints delivered through regulatory and BBB channels, as necessary Provide support for responding to regulatory inquiries and examinations Continuously determine and document risk exposure, mitigation and valuable controls related to new/ongoing processes, products/services and relative program documents/communications Other duties, as assigned Requirements for the Role: At least 5+ years of experience in audit, compliance, risk management or business continuity planning At least 5+ years of experience supporting, partnering and interacting with internal business stakeholders Experience translating complex ideas and data into clear, engaging narratives across multiple formats to key stakeholders Understanding of compliance or risk management principles and interest in strengthening subject matter expertise across multiple compliance areas. Ability to work independently on complex assignments with strong analytical skills, attention to detail, and the ability to interpret regulatory information Strong time management, organizational, and prioritization skills, with the ability to complete multiple concurrent tasks within close deadlines and a high degree of accuracy and detail Ability to navigate ambiguity in a fast-changing environment, being hands-on and going beyond direct job responsibilities to help achieve success Desire to be a reliable partner that collaborates with multiple business stakeholders across multiple lines of business Excellent research and communication skills Nice To Have, but Not Required: 2+ years of experience within Fintech Relevant coursework or certifications in compliance, risk management, or data analytics (e.g., CRCM Business Continuity Certifications, or similar compliance-related certifications). Experience working with data systems or reporting tools (scripting experience with SQL is a plus)

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Global Banking and Markets Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, operating globally for over 100 years. Scotiabank's strong U.S. presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world. Global Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & metals. We also cross-sell the full range of wholesale products and services offered by the Scotiabank Group. Be part of an innovative, Global Capital Markets and Investment Banking business with a unique geographic footprint that puts capital to work for our clients across industries! We work together to drive ambition for every future! Purpose In this role as a Manager, Regulatory Reporting, you will contribute to the overall success of the U.S. Finance Department, ensuring specific individual and departmental goals, plans, initiatives are executed and delivered in support of the team's business strategies and objectives within the U.S. and globally as part of Global Business Markets (GBM). The Manager, Regulatory Reporting must ensure all activities conducted are in compliance with governing regulations, internal policies and procedures for Houston Branch and Scotia Holding (USA), LLC. It includes preparation and review of regulatory reports, manages / coordinates the issues identified around AXIOM logic and data integrity / quality issues for the Dallas and Houston Branch's reporting perspective. What You'll Do Prepare regulatory reports in accordance with US GAAP and reporting instructions covering daily, weekly, monthly, quarterly, and annual reports (e.g., FR2900, FFIEC 002, Borrower-In-Custody (BIC), TIC reports). Perform thorough review of regulatory reports as assigned to ensure compliance with the regulatory reports' instruction and proper controls in places. Working knowledge of the reporting tool (Axiom) used by the department to produce the regulatory filings. Document and monitor issues related to system / data quality from regulatory reports. Continuously drive accountability for accuracy of Critical Data Elements (CDEs) used for Regulatory Reporting. Work with team members for initial root causes analysis and resolution channel. Collaborate with various stakeholders across business and functional areas of the Bank (i.e., AXIOM Project team, Data Governance, Operations, Treasury, Credit Risk, Product Control, IT, to interpret, operationalize and implement new reporting requirements and to resolve known and self-identified issues. Participate in end-to-end testing on all AXIOM BAU releases as applicable. Help prepare and coordinate requested information and answer questions from Internal Audit, Quality Assurance, and external Fed Exams. Implement improvements to process and controls based on testing results. Create/update Policies & Procedures and other documentations including process flows and risk control matrices. Assist in the data collection for regulatory reporting metrics for dashboards. Prepare presentation decks to internal stakeholders. Assist in the development and/or updating training material and conduct training, as necessary. Attends required Finance, U.S. GAAP/IFRS, Regulatory, and any mandatory Compliance training. Ability to respond promptly and sufficiently to ad-hoc regulatory requests while ensuring other deliverables are met. Demonstrate an ability to exercise a high degree of initiative, independent judgement, and self-direction in meeting objectives and solving problems while knowing when to reach out for clarification and/or assistance. Other Projects as assigned. Champion a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge. Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions, and conduct risk in accordance with Scotiabank's Values, its Code of Conduct. Contribute to a high-performance environment and contributes to an inclusive work environment. What You'll Bring Strong Accounting knowledge and comprehension of U.S. GAAP accounting rule / instructions 5+ years working experience in financial and regulatory reporting at a large and complex banking organization or consulting firm. Proficient PC Skills, especially in MS Office Suite. Intermediate to Advanced skill in Excel is a must. Experience with AXIOM or similar reporting tools is an asset. A good understanding of banking and capital markets business is a plus Strong work ethics with a proactive attitude and high level of accountability Quick learner with demonstrated curiosity and adaptability in a dynamic environment. Strong written and verbal communication skills including presentation skills to senior management. Bachelor of Science in Accounting, Finance or equivalent CPA preferred, MBA a plus. Interested? If your experience is closely related but doesn't align perfectly with every qualification, we do encourage you to apply - you might be the right candidate for this or other roles at Scotiabank! At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are and, embraced for their differences. That's why we work to grow and diversify talent and engage employees in a performance-oriented culture. What's in it for you? Scotiabank wants you to be able to bring your best self to work - and life, every day. With a focus on holistic well-being, our many flexible benefit programs are designed to help support your unique family, financial, physical, mental, and social health needs. Location(s): United States : Texas : Dallas Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets. At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance, please click here. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.

The Regulatory Risk Management team (RRM) within our Legal & Compliance department provides essential guidance and oversight to ensure that Jane Street maintains the highest standards of regulatory compliance. By joining our collaborative team, you'll gain broad exposure across multiple compliance domains while working with diverse stakeholders throughout the firm. We're looking for individuals who are excited to grow into this role-even if they don't have prior related experience. We can teach you what you need to know to make a meaningful impact on our firm's regulatory framework. As a member of the team, you will: Develop, draft, and implement robust policies and procedures to ensure compliance with regulatory requirements Research and analyze evolving regulatory frameworks to keep our processes aligned with current standards Serve as a subject matter expert on rules and regulations, providing critical support and documentation to teams across the firm Efficiently triage and address compliance-related questions and incidents Engage with outside counsel and regulators regarding our supervisory framework Lead cross-functional initiatives to implement and enhance supervisory controls Update team leads and other internal decision-makers on regulatory compliance developments About You Excellent written communication skills Ability to interact effectively across multiple teams Strong analytical thinking and systematic problem-solving skills Willingness to learn from mistakes and receptiveness to constructive feedback Proactive mindset, strong organizational skills, and attention to detail A proven ability to manage competing priorities in a challenging, fast-paced environment Experience with data analysis and/or familiarity with code is a plus, but not required If you're a recruiting agency and want to partner with us, please reach out to **********************************.

Marathon Asset Management is seeking a compliance professional to join our Institutional Infrastructure team and support the continued growth of our global credit investment platform. This individual will report directly to the Chief Compliance Officer (CCO) and play a key leadership role in managing, strengthening, and executing Marathon's compliance program. Marathon Asset Management is a leading global asset manager specializing in public and private credit with ~$23 billion in assets under management. Marathon is recognized as a distinguished leader with 27+ years of exceptional performance and partnership. Marathon's integrated global credit platform is driven by our specialized, highly experienced, and disciplined teams across Private Credit: Direct Lending, Asset Based Lending and Opportunistic Credit and Public Credit: High Yield, Leveraged Loans & CLOs, Emerging Markets, and Structured Credit. Marathon's mission is to build lasting partnerships with an unwavering commitment to delivering best-in-class performance, service, and reliability on behalf of our clients. Responsibilities Partner with the compliance team to enhance, implement, and oversee Marathon's comprehensive compliance program. Oversee aspects of compliance oversight for the firm's three registered investment advisers. Assist with the preparations of regulatory filings (Form ADV, Form D, 13G/F, etc.). Conduct periodic compliance reviews, testing, and ongoing surveillance activities; synthesize findings into actionable reports. Review and approve marketing materials, DDQs, investor communications, and other public-facing content. Oversee the monitoring of Code of Ethics processes, including personal trading, gifts and entertainment, outside business activities, and political contributions. Support insider trading compliance, including oversight of MNPI controls, restricted and watch lists, and employee training. Assist with the review and monitoring of electronic communications. Perform AML/KYC verifications and monitor counterparty relationships across multiple jurisdictions. Collaborate with legal, technology, portfolio management, operations, risk, accounting, and investor relations teams to advise on compliance matters. Stay current with regulatory developments from the SEC, CFTC/NFA, FCA, and AIFMD, and help update firm policies and procedures as needed. Assist the CCO in preparing documentation and responses for regulatory examinations Assist with the annual review of the compliance program under Rule 206(4)-7. Assist in developing and administering employee compliance training and certifications Qualifications Education: Bachelor's degree required Experience, Knowledge, Skills, and Abilities: 8-12 years of compliance experience at a registered investment adviser, asset manager, or other investment industry firm. Strong working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, and applicable SEC, and CFTC/NFA regulations; experience with MiFID II or AIFMD is a plus. Demonstrated success assisting the implementation and monitoring compliance programs. Familiarity with credit-oriented investment strategies is a plus. Strong project management skills and the ability to work independently while appropriately escalating issues. Excellent communication and interpersonal skills, with the ability to advise and influence senior business leaders. Experience managing regulatory examinations or inquiries. Strong proficiency with compliance systems, regulatory portals, the Microsoft Office Suite, and other common business technology platforms The expected base salary range for this role is $125,000-$175,000, exclusive of bonus or benefits. Base pay will be determined based on experience, skills, and qualifications. Marathon offers a comprehensive benefits package, including Medical/Pharmacy, Dental, Vision, HSA/FSA, STD/LTD, Life Insurance, generous PTO, commuter benefits, and company-provided lunches. Equal Opportunity Employer M/F/D/V No agencies, please.

Why Regulatory Compliance Examination Manager at GM Financial? The Regulatory Compliance Examination Manager role offers a unique opportunity to make a meaningful, enterprise wide impact. As the leader overseeing federal and state examination activities, this position plays a central role in shaping how the organization demonstrates compliance and manages regulatory risk. The work is highly visible and influential, involving regular collaboration with senior executives, Legal, Internal Audit, Analytics, and business partners across the enterprise. You will guide the full exam lifecycle, strengthen controls, and drive impactful process and system enhancements. This is an ideal role for a leader who wants to shape compliance strategy, enhance organizational readiness, and play a critical part in advancing the company's regulatory posture. At GM Financial, our team members define and shape our culture - an environment that welcomes innovative ideas, fosters integrity, and creates a sense of community and belonging. Here we do more than work - we thrive. Our Purpose: We pioneer the innovations that move and connect people to what matters. What Makes You a Dream Candidate? • Advanced knowledge of federal and state consumer financial laws and regulations (e.g., SCRA, FCRA, UDAAP, ECOA, Regulation Z, Regulation M). • Strong understanding of regulatory examination processes and best practices. • Knowledge of OFAC processes and sanctions compliance requirements. • Excellent written and verbal communication skills, including the ability to prepare and review formal reports and presentations. • Strong analytical, critical thinking, and problem-solving abilities. • Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, SharePoint). • Experience with compliance management systems and automation tools. • Ability to manage multiple projects and priorities in a fast-paced, deadline-driven environment. • High level of integrity, professionalism, and discretion. • Ability to foster a collaborative, inclusive, and high-performing team culture. Experience • Bachelor's degree in Business, Finance, Law, or related field required, or 8 additional years of related experience beyond the minimum required may be substituted in lieu of a degree. • Professional certification (e.g., CRCM, CCEP, CAMS) preferred. • 5-7 years of experience in regulatory compliance, legal, or audit roles within the financial services industry, with a focus on regulatory examination management. • 3+ years of supervisory or team leadership experience required. • Demonstrated experience interacting with state and federal regulators, auditors, and senior management. What We Offer: Generous benefits package available on day one to include: 401K matching, bonding leave for new parents (12 weeks, 100% paid), tuition assistance, training, GM employee auto discount, community service pay, and nine company holidays Our Culture: Our team members define and shape our culture - an environment that welcomes innovative ideas, fosters integrity, and creates a sense of community and belonging. Here we do more than work - we thrive Compensation: Competitive pay and bonus eligibility Work Life Balance: Flexible hybrid work environment, 2-days a week in office NOTE: We are unable to consider candidates who require visa sponsorship for this position About the Role: The Regulatory Compliance Examination Manager leads and supervises the compliance examination team in executing state and federal regulatory examinations, audits, and related compliance activities. This role ensures examination processes are efficient, accurate, and aligned with applicable laws, regulations, and company policies. The Manager serves as the primary escalation point for complex issues, oversees workflow and resource allocation, and drives continuous improvement. Reporting directly to the AVP State and Federal Examinations, this position collaborates closely with Legal, Internal Audit, Risk Management, business units, and external regulators to strengthen the organization's compliance posture and mitigate regulatory risk. In this role you will: • Supervise, coach, and develop a team of regulatory compliance specialists and senior specialists, including performance management and professional development. • Assess training needs and implement compliance education programs for team members and stakeholders. • Oversee end-to-end processes for state and federal regulatory examinations, ensuring timely and accurate responses to inquiries and audit requests. • Act as primary point of contact for regulators. • Review and approve substantive written responses to regulatory and audit requests for clarity, accuracy, and alignment with company standards. • Drive strategic initiatives to strengthen compliance posture and proactively mitigate regulatory risks. • Lead regulatory change impact assessments and implement necessary process updates. • Support AVP in strategic planning, risk assessment, and compliance initiatives. • Assign and prioritize team workload, monitor progress, and ensure deadlines are met. • Identify and implement process improvements to enhance efficiency and effectiveness of examination functions. • Champion system enhancements and automation initiatives to streamline workflows. • Track and report metrics related to examination outcomes, timeliness, and quality. • Develop dashboards for trend analysis and remediation progress reporting to senior leadership. • Foster open communication and collaboration within the team and across functions, including Legal, Internal Audit, Risk Management, and business units. • Participate in or lead special projects, system enhancements, or procedural changes related to regulatory compliance.

Why Regulatory Compliance Examination Manager at GM Financial? The Regulatory Compliance Examination Manager role offers a unique opportunity to make a meaningful, enterprise wide impact. As the leader overseeing federal and state examination activities, this position plays a central role in shaping how the organization demonstrates compliance and manages regulatory risk. The work is highly visible and influential, involving regular collaboration with senior executives, Legal, Internal Audit, Analytics, and business partners across the enterprise. You will guide the full exam lifecycle, strengthen controls, and drive impactful process and system enhancements. This is an ideal role for a leader who wants to shape compliance strategy, enhance organizational readiness, and play a critical part in advancing the company's regulatory posture. At GM Financial, our team members define and shape our culture - an environment that welcomes innovative ideas, fosters integrity, and creates a sense of community and belonging. Here we do more than work - we thrive. Our Purpose: We pioneer the innovations that move and connect people to what matters. About the Role: The Regulatory Compliance Examination Manager leads and supervises the compliance examination team in executing state and federal regulatory examinations, audits, and related compliance activities. This role ensures examination processes are efficient, accurate, and aligned with applicable laws, regulations, and company policies. The Manager serves as the primary escalation point for complex issues, oversees workflow and resource allocation, and drives continuous improvement. Reporting directly to the AVP State and Federal Examinations, this position collaborates closely with Legal, Internal Audit, Risk Management, business units, and external regulators to strengthen the organization's compliance posture and mitigate regulatory risk. In this role you will: * Supervise, coach, and develop a team of regulatory compliance specialists and senior specialists, including performance management and professional development. * Assess training needs and implement compliance education programs for team members and stakeholders. * Oversee end-to-end processes for state and federal regulatory examinations, ensuring timely and accurate responses to inquiries and audit requests. * Act as primary point of contact for regulators. * Review and approve substantive written responses to regulatory and audit requests for clarity, accuracy, and alignment with company standards. * Drive strategic initiatives to strengthen compliance posture and proactively mitigate regulatory risks. * Lead regulatory change impact assessments and implement necessary process updates. * Support AVP in strategic planning, risk assessment, and compliance initiatives. * Assign and prioritize team workload, monitor progress, and ensure deadlines are met. * Identify and implement process improvements to enhance efficiency and effectiveness of examination functions. * Champion system enhancements and automation initiatives to streamline workflows. * Track and report metrics related to examination outcomes, timeliness, and quality. * Develop dashboards for trend analysis and remediation progress reporting to senior leadership. * Foster open communication and collaboration within the team and across functions, including Legal, Internal Audit, Risk Management, and business units. * Participate in or lead special projects, system enhancements, or procedural changes related to regulatory compliance. What makes you an ideal candidate? * Advanced knowledge of federal and state consumer financial laws and regulations (e.g., SCRA, FCRA, UDAAP, ECOA, Regulation Z, Regulation M). * Strong understanding of regulatory examination processes and best practices. * Knowledge of OFAC processes and sanctions compliance requirements. * Excellent written and verbal communication skills, including the ability to prepare and review formal reports and presentations. * Strong analytical, critical thinking, and problem-solving abilities. * Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, SharePoint). * Experience with compliance management systems and automation tools. * Ability to manage multiple projects and priorities in a fast-paced, deadline-driven environment. * High level of integrity, professionalism, and discretion. * Ability to foster a collaborative, inclusive, and high-performing team culture. Experience * Bachelor's degree in Business, Finance, Law, or related field required, or 8 additional years of related experience beyond the minimum required may be substituted in lieu of a degree. * Professional certification (e.g., CRCM, CCEP, CAMS) preferred. * 5-7 years of experience in regulatory compliance, legal, or audit roles within the financial services industry, with a focus on regulatory examination management. * 3+ years of supervisory or team leadership experience required. * Demonstrated experience interacting with state and federal regulators, auditors, and senior management. What We Offer: Generous benefits package available on day one to include: 401K matching, bonding leave for new parents (12 weeks, 100% paid), tuition assistance, training, GM employee auto discount, community service pay, and nine company holidays Our Culture: Our team members define and shape our culture - an environment that welcomes innovative ideas, fosters integrity, and creates a sense of community and belonging. Here we do more than work - we thrive Compensation: Competitive pay and bonus eligibility Work Life Balance: Flexible hybrid work environment, 2-days a week in office NOTE: We are unable to consider candidates who require visa sponsorship for this position

Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across the globe, we're 150,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world. With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career. Join MUFG, where being inspired is expected and making a meaningful impact is rewarded. The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details. This Associate Vice President (AVP) role in the Global Financial Crimes Division (“GFCD”) and Americas Compliance function of MUFG Bank, Ltd. will report to the Vice President, Americas Issues Management Regulatory & Audit Reporting Coordination (“VP”) in the Issues Management Operations Team. The role will support the VP in leading the coordination and delivery of Americas core compliance and financial crimes compliance issues data and information for regulatory and Internal Audit engagement requests including: Identification of responsive issues management data and information; Research and coordination with appropriate stakeholders to provide the most accurate information possible in support of these engagements; and Development of data, analyses, and presentation materials. The candidate must have excellent data processing and communication skills and be able to contribute to the overall advancement and integration of core program objectives across the global and Americas Issues Management Department. The candidate must: demonstrate advanced proficiency in Excel, PowerPoint, and Word; provide thought and project leadership; possess excellent information generation / presentation skills; demonstrated project delivery; and communicate and collaborate effectively with senior management, colleagues, and teammates in all three lines of defense. Major Responsibilities: Gain familiarity with the MUFG financial crimes compliance framework, including the roles of Internal Audit and Compliance Testing. Develop an understanding of global Anti-Money Laundering (“AML”), Sanctions, and Anti-Bribery & Corruption (“ABC”) regulatory regimes. Work with the VP and appropriate stakeholders across all three of the MUFG lines of defense, including second-line Compliance programs, Review Functions, Examination & Audit Management, and Regulatory Exam Management to set and manage expectations for the delivery of regulatory and Internal Audit data request engagements. Work with the VP to develop repeatable, standardized, and sustainable processes that can be leveraged across various regulatory and Internal Audit data request engagements. Create/ maintain detailed process documentation for Americas IM Regulatory & Audit Reporting processes. Assist in the identification of responsive data working with the VP and stakeholders, as appropriate. Support the VP to provide the most accurate information possible in support of these engagements, including the development of data, analyses, and presentation materials. Analyze issues data and provide actionable insights that lead to program enhancement opportunities in Americas IM Regulatory & Audit Reporting processes. Develop subject matter expertise regarding Issues Management policy, standard, and procedures. Support the Director, GFCD and Americas Compliance Issues Management and the Director of IM Operations in program development and execution, working with other members of the Issues Management team on strategic and operational enhancement. Lead or support IM Data Management Operations, Analysis, and Reporting activities, including special projects and ad hoc duties as assigned. Qualifications: 3-5 years of experience in Financial Services, preferably in Compliance, Risk Management or related areas. Excellent written and verbal communication skills. Experience in creating high-quality presentations, reports, and process documentation. Experience performing analysis with demonstrated advanced proficiency in Excel, Word, and PowerPoint. Familiarity with other data management or data visualization tools is preferred. Track record in program management and coordination / integration efforts across multiple groups. Strong ability to drive complex discussions with senior management and stakeholders. Excellent problem solving and interpersonal communication skills, takes initiative proactively. Team player with willingness to learn, take initiative, and work hard. Ability to influence key stakeholders across various divisions within MUFG. BBA/BA/BS Degree required. ACAMS, relevant professional qualification, and/or experience in client-service industry is a plus. Up to 10% travel, international and domestic. The typical base pay range for this role is between $71k-$112k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below. MUFG Benefits Summary We will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws (including (i) the San Francisco Fair Chance Ordinance, (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, (iii) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair Chance Act) to the extent that (a) an applicant is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if any.The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.We are proud to be an Equal Opportunity Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.

Basic Duties and Responsibilities Assist with interpreting and maintaining compliance with applicable Environmental Protection Agency (EPA) and Texas Commission on Environmental Quality (TCEQ) rules and regulations. Assist in interpreting and maintaining compliance with facility air quality permits/authorizations (NSR, Title V, PBR) and regulations including, but not limited to: NSPS, NESHAP and Reg V. Ensure the preparation, accuracy and submittal of state and federal reports, including but not limited to: semi-annual deviation reports, monthly/annual air emission reports, discharge monitoring reports (DMRs), TIER II, etc. Assist in incident/spill response notification and reporting. Assist and ensure compliance with applicable TCEQ and EPA water quality permits and applicable regulations. Assist in managing and ensuring compliance with RMP requirements. Manage and ensure compliance with SPCC requirements. Assist in developing, implementing and ensuring compliance with environmental regulatory procedures, processes and practices. Interface with federal, state, county, and city representatives during site inspections. Provide technical assistance and guidance to the facilities. Develop, assist and conduct training and education programs for environmental compliance. Actively participate as a member of the Incident Command (IC) system. Maintain professional certifications, as applicable, by attending various training, seminars and classes. Assist with internal and external SHES and Regulatory Compliance Audits. Participate in various internal and external meetings and committees as appropriate. Interface directly with the Environmental Systems Supervisor and Terminal Management. Assist in the maintenance of environmentally related plans, licenses, permits and certifications. Assist in other areas as necessary, which may include TRRP, Waste Management, and others. Skills and Qualifications Bachelor's Degree from accredited college or university. Two years related experience and foundational knowledge in environmental regulations. Good verbal and written communications skills. Emissions calculations experience a plus. Excellent problem-solving abilities.

PENNYMAC Pennymac is (NYSE: PFSI) is a specialty financial services firm with a comprehensive mortgage platform and integrated business focused on the production and servicing of U. S. mortgage loans and the management of investments related to the U. S. mortgage market. At Pennymac, our people are the foundation of our success and at the heart of our dynamic work culture. Together, we work towards a unified goal of helping millions of Americans achieve aspirations of homeownership through the complete mortgage journey. A Typical Day The Mortgage Servicing Compliance Specialist III is responsible for developing business performance metrics to ensure the organization adheres to complex federal and state regulations. This role involves direct collaboration with data analysis to translate statutory requirements into actionable test logic, conducting User Acceptance Testing (UAT), and connecting with Lines of Business (LOB), Legal, and Corporate Compliance to ensure operational alignment. The role requires a capacity for thorough investigation and documentation, specifically the ability to effectively cross-reference and cite any potential findings that emerge during the course of a project or analysis. This capability ensures that all identified issues, observations, or conclusions are supported by verifiable evidence and can be traced back to their original source or context. This is crucial for maintaining audit trails, ensuring data integrity, and providing comprehensive support for corrective actions or strategic recommendations. While an individual contributor, their deep knowledge makes them a key mentor and guide for junior members of the compliance department. The Mortgage Servicing Compliance Specialist III will: Research and interpret regulations to define test requirements and metrics Review Policies and Procedures (P&Ps) and meet with Lines of Business to fully understand operational processes related to specific regulations Work with data analysts to implement and review report sql logic and conduct detailed UATCollaborate with data analysts to implement and review SQL logic for reports, and conduct detailed User Acceptance Testing (UAT) Ensure that management is apprised of audit/exam and QA/QC results on a regular basis and is advised in a timely fashion of any emerging risks, critical deficiencies that could adversely impact operational, reputational or transactional processes within the business unit(s) Schedule and lead walkthroughs with management and the LOB to discuss testing approaches, findings, and logic updates Draft policies and procedures when needed for testing reports Provide clear and descriptive documentation detailing action taken Furnish comprehensive and explicit documentation detailing the actions undertaken Perform other related duties as required and assigned Demonstrate behaviors which are aligned with the organization's desired culture and values What You'll Bring Technical proficiency in regulatory compliance matters and regulations Ability to analyze and assess risk based on potential impact to Pennymac for non-compliance Proficient in Word, Excel and Power Point Presentation experience is a plus Must be a team player with strong attention to detail and able to work independently requiring minimum supervision Proven track record at delivering timely and accurate information in a fast-paced environment Excellent critical thinking, problem solving, mathematical skills and sound judgment Strong business acumen and ability to interface with executive management Strong verbal and written communication skills Financial Services and, if possible, mortgage industry experience preferred Why You Should Join As one of the top mortgage lenders in the country, Pennymac has helped over 4 million lifetime homeowners achieve and sustain their aspirations of home. Our vision is to be the most trusted partner for home. Together, 4,000 Pennymac team members across the country are guided by our core values: to be Accountable, Reliable and Ethical in all that we do. Pennymac is committed to conducting a business that makes positive contributions and promotes long-term sustainable growth and to fostering an equitable and inclusive environment, where all employees and customers feel valued, respected and supported. Benefits That Bring It Home: Whether you're looking for flexible benefits for today, setting up short-term goals for tomorrow, or planning for long-term success and retirement, Pennymac's benefits have you covered. Some key benefits include: Comprehensive Medical, Dental, and Vision Paid Time Off Programs including vacation, holidays, illness, and parental leave Wellness Programs, Employee Recognition Programs, and onsite gyms and cafe style dining (select locations) Retirement benefits, life insurance, 401k match, and tuition reimbursement Philanthropy Programs including matching gifts, volunteer grants, charitable grants and corporate sponsorships We value the hard work and dedication of our employees. In addition to a competitive salary, positions may offer bonus opportunities. To learn more about our benefits visit: ********************* page. link/benefits For residents with state required benefit information, additional information can be found at: ************ pennymac. com/additional-benefits-information Compensation: Individual salary may vary based on multiple factors including specific role, geographic location / market data, and skills and experience as defined below: Lower in range - Building skills and experience in the role Mid-range - Experience and skills align with proficiency in the role Higher in range - Experience and skills add value above typical requirements of the role Some roles may be eligible for performance-based compensation and/or stock-based incentives awarded to employees based on company and individual performance. Salary $55,000 - $85,000 Work Model OFFICE

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. In compliance with the Washington Transparency Law: This range below is an estimate depending on location, hours, operational needs, education, training, skills, and experience. This job may also be eligible for a discretionary bonus. SEI provides a variety of benefits to employees, including health insurance, dental insurance, vision insurance, a 401(k)-retirement plan, disability insurance, life insurance, paid holidays, paid time off, and paid parental leave benefits. Seattle Pay Range$120,000-$185,000 USD 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

AutoStore is seeking a System Safety and Compliance Specialist to join our expanding Research & Development (R&D) team. As a System Safety & Compliance Specialist, you will collaborate closely with product developers on a variety of projects and with external test labs. You will provide compliance support throughout the entire product life cycle, working alongside our Product Owners to ensure that regulatory requirements are consistently met and kept up to date. In this role, you will manage product regulations and safety standards across the EU, US/Canada, and other international markets. You will translate these requirements into clear guidance for designers, follow up to ensure compliance, and share your expertise throughout the AutoStore organization. You will also support the sales team and other stakeholders on regulatory matters. Key Tasks and Responsibilities. * Support and advise R&D in applying international standards (e.g., CE, NRTL) and identifying relevant standards (EN, IEC, ISO) for new products. * Provide guidance throughout product development to ensure regulatory requirements are met and maintained. * Conduct internal training sessions for product developers and engineers to strengthen compliance knowledge. * Take ownership of developing and maintaining internal compliance processes and guidelines. * Participate in internal and external testing to verify compliance and ensure approvals. Key Qualifications. * Minimum 3 years' experience in product compliance, with solid knowledge of CE conformity assessment within the EU; experience with other markets is an advantage * Experience in Global Market Access for machinery and electrical equipment; familiarity with Chemical/Material Compliance is an advantage. * Relevant higher education or equivalent experience in electrical/electronics, machinery, software engineering, or a related technical field * Experience with product development and follow-up of procedures for compliance, systems for quality management is an advantage. * Solid technical foundation and a proactive mindset, with the ability to work independently as well as thrive in a team environment We Offer: AutoStore believes in taking care of employees and is dedicated to providing a supportive and rewarding work environment. Join us in our mission to store and move things for everyone, everywhere. * Comprehensive Medical, Dental, and Vision plans * Health Savings Account (HSA) with a company contribution * Generous Paid Time Off including 12 holidays, paid exercise time, paid volunteer time, and paid parental leave plans for all new parents * Retirement 401(k) plan with employer match * Educational assistance and professional development programs, including mentorship/coaching programs with external industry leaders * Additional benefits include Group Life Insurance, Voluntary Additional Life Insurance, Disability Insurance, Employee Assistance programs, and more! AutoStore is an Equal Opportunity Employer that does not discriminate on the basis of actual or perceived race, color, creed, religion, national origin, ancestry, citizenship status, age, sex or gender (including pregnancy, childbirth, pregnancy-related conditions, and lactation), gender identity or expression (including transgender status), sexual orientation, marital status, military service and veteran status, physical or mental disability, genetic information, or any other characteristic protected by applicable federal, state, or local laws and ordinances. AutoStore does not accept agency resumes or assistance for this role. Please do not forward resumes to our job's alias or AutoStore employees. AutoStore is not responsible for any fees related to unsolicited resumes. This policy should be respected.

This is a full-time hybrid role for a Regulatory Compliance Specialist at Carver Federal Savings Bank, located in Manhattan, NY, with some flexibility to work remotely. The specialist will ensure the bank's adherence to all applicable regulatory requirements by conducting compliance reviews, preparing reports, implementing quality assurance initiatives, and assisting with the development and review of policies. Additionally, the role involves providing guidance to ensure organizational processes align with industry standards and regulations while maintaining effective communication across teams. Qualifications Strong knowledge of Regulatory Compliance and understanding of Regulatory Requirements Excellent Analytical Skills to identify and mitigate potential compliance risks Effective Communication skills, including the ability to communicate complex information clearly across teams Experience or skills in Quality Assurance to evaluate and improve compliance processes Attention to detail and familiarity with financial regulations and policies Prior experience in the banking or financial services industry is a plus

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

First Community Bank 5406 Everhart Rd. Corpus Christi, TX The Compliance Specialist is responsible for assisting in the development, implementation and administration of all aspects of the Bank s Compliance Management Program. This position assists the Compliance Officer who plans, organizes, and controls the Bank s day-to-day administrative, lending and operational compliance activities. Participates in various committees, audits and examinations. The Compliance Specialist assists the Compliance Officer in the implementation of training programs related to new hires, compliance, customer service, mainframe and software computer programs. Compliance Specialist job duties: 1. The Compliance Specialist assists the Compliance Officer with bank policies and procedures, as well as all independent, state and federal banking regulations and regulator auditor inquiries. 2. Maintains a proficient knowledge of all applicable banking rules and regulations. 3. Performs duties as required to assist the Community Reinvestment Act Officer to help ensure the Bank meets the needs of the community and attains CRA compliance goals. 4. Performs duties as required to assist the Compliance Officer to help ensure the Bank meets the requirements of the Home Mortgage Disclosure Act. 5. Works closely with the Compliance Officer to help develop strategic plans, reviews reports; organizes plans and make recommendations for major compliance initiatives involving functional changes within the Bank and budgets. 6. Assist the Compliance Officer identify and mitigate potential risk issues against the Bank; interact with Bank personnel pertaining to such issues. 7. Verifies the accuracy of APY and APR calculations for system, disclosure and advertising purposes. 8. Oversee actions of comprehensive self-testing, independent third party and regulatory audits; makes necessary preparations for such audits or exams; assists in preparing responses to external auditors and regulatory examiners; helps the Compliance Officer ensure deficiencies identified from such audits and examinations are corrected. 9. Assists the Compliance Officer Develop and administer various forms to assure the use of correct and updated forms by Bank personnel. 10. As directed by the Compliance Officer, ensures compliance with all applicable reporting and recordkeeping requirements. 11. Consistently applies superior decision making techniques pertaining to inquiries, approvals and requests as they apply to existing policies and procedures, keeping within assigned approval limits and using these instances as learning tools for employee development. 12. Assumes responsibility for special projects, gathers data and prepares reports for Compliance Officer, audits and other personnel. 13. Processes, solves and answers complex customer transactions, problems or inquiries as required by the Compliance Officer. Research and respond to customer complaints in accordance to all state and federal regulations. 14. Operates computer terminal or personal computer to process account activity, determine balances and resolve problems within given authority. 15. Answers telephones, answers questions and directs callers to proper Bank personnel. 16. Treats people with respect; keeps commitments; inspires the trust of others; works ethically and with integrity; upholds organizational values; accepts responsibility for own actions. 17. Demonstrates knowledge of and adherence to EEO policy; shows respect and sensitivity for cultural differences; educates others on the value of diversity; promotes working environment free of harassment of any type; builds a diverse workforce and supports affirmative action. 18. Follows policies and procedures; completes administrative tasks correctly and on time; supports the Bank s goals and values; benefits the bank through outside activities. 19. Performs the position safely, without endangering the health or safety to themselves or others and will be expected to report potentially unsafe conditions. The employee shall comply with occupational safety and health standards and all rules, regulations and orders issued pursuant to the OSHA Act of 1970, which are applicable to one s own actions and conduct. Skills/Qualifications/Requirements: 2-5 years of regulatory compliance experience is desired. Knowledge of personal computers and data processing systems associated with compliance is required. Knowledge of automation principles and current software/hardware applications is essential. This job requires the ability to meet established deadlines, work productively in groups and individually, communicate effectively in writing and orally, operate standard office equipment, work extended hours occasionally, and travel to various bank locations and training activities as needed.

Examine, verify, and document compliance with federal and state regulatory laws and adherence to internal policies and procedures. Responsibilities Stay abreast of changes to federal and state banking laws and regulations affecting the management, operations, and product offerings of the financial institution. Conduct compliance audits with operating departments to ensure adherence to laws and regulations. Develop compliance auditing plans based on thorough research on studies conducted by government agencies and professional organizations. Prepare and submit audit findings, make recommendations to management when appropriate, and perform appropriate follow-up to ensure compliance with findings and recommendations. Inform and advise Compliance Officer of conditions and status of the bank's adherence to laws and regulations. Examine policies, procedures, and practices to ensure compliance with laws and regulations. Provide support to other operating units and managers affected by compliance issues and regulatory requirements. Ensure accuracy of data and underlying documentation on the loan application registers (LARs). Maintain and generate reports from the bank's compliance software systems. Keep Compliance Officer apprised of compliance items and assist Compliance Officer as needed. Other duties may be assigned. Qualifications Four year college or university program degree; or three years compliance and/or auditing experience and/or training; or equivalent combination of education and experience An in-depth understanding of the industry's rules, guidelines, and regulations Multitasker with strong attention to detail, analytical, and statistical skills Good computer skills and experience with relevant software programs Strong communication and interpersonal skills Well-organized, efficient, self-starter, and able to work independently Dedication to objectivity Location: Dallas (Preston Rd. and LBJ Frwy/I635) Join the NDBTeam! We have a great team of friendly, talented, and inspiring people at NDBT. We take pride in offering exciting opportunities for employees to grow and follow their passions, while providing a great work-life balance as well as job stability. Founded in 1961, NDBT has a long-standing reputation in the community and strives to provide excellent customer service to our customers and communities. NDBT leadership and employees foster and contribute to our environment of mutual respect, accountability, creativity, and teamwork; and at all times to act with integrity, dignity, honor, and fairness. If this sounds like something you would like to be a part of - consider applying today. North Dallas Bank and Trust is an Equal opportunity employer. This company considers candidates regardless of race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status. Not ready to apply? Connect with us for general consideration.

Your Career. Your Story. Let's Write the Next Chapter Together. At Origin Bank, a job isn't just a paycheck - it's a meaningful journey. We're committed to helping you grow both professionally and personally in an environment where people come first. We offer a competitive total rewards package, including generous benefits and compensation tailored to your skills, experience, and education. What truly sets us apart is our people-first culture. Here, you'll be supported by unique initiatives like our Dream Manager program, one-on-one guidance from a nationally certified health and wellness coach, and free access to certified financial professionals who are here to help you plan for your future. If you're looking for a career that empowers you to make meaningful connections, positively impact others, and pursue your personal and professional dreams-we'd love to meet you. Apply today and start the most rewarding chapter of your career with us. The Compliance Advisory Specialist II, working within the Compliance Risk Management Team, is responsible for conducting assigned compliance risk management activities in support of the bank's Compliance Management Program (CMP) under the direction of the Director of Compliance Risk Advisory Services. Provides support in the administration of components of the bank's overall Compliance Management System (CMS), including complaint management, advertising, and disclosure reviews, third party risk management compliance reviews, spearfishing monitoring. Provides administrative support to the Chief Compliance Officer and members of the Compliance Risk Management Leadership Team. Word Responsible for performing regulatory research and analysis for the Compliance Risk Advisory Services Group and advising of the regulatory risks and adequacy of first line of defense operating policies, procedures, and processes. * Support Compliance Risk Advisory Services in the collaboration with the first line of defense to identify and mitigate elevated residual compliance risks and establish appropriate compliance controls related thereto * Assist our partners in the first line of defense with the development of policies and procedures to ensure adherence to regulations * Act as resource for personnel questions on compliance issues and assist with remediation or answers * Assist as needed with the bank's complaint management system (Kadince); track investigations of customer complaints to ensure timely response; ensure third party vendor complaints are documented and investigated; maintain complaint status in Kadince; and generate internal complaint dashboard and related management reports * Prepare preliminary reports of issues or findings with root cause analysis and improvement recommendations (when warranted) * Support tracking, monitoring, and reporting of compliance risks and related activities * Conduct follow up with business units on implementation and status of monitoring review recommendations and/or findings, issue-tracking, including notifying business lines of impending due dates, escalating unresolved issues appropriately and performing retesting as directed * Assist as needed with maintaining and managing workflow of advertisements and other promotional materials and approval of such (including branch flyers, posters, notices, marketing brochures, internet, social media, email, television, radio, statement messages, etc.) for compliance with applicable laws and regulations * Assist as needed with conducting and documenting third party risk management compliance reviews for Tier 1 and Tier 2 vendors * Prepares reports by collecting, analyzing, and summarizing information * Conducts and/or provides assistance on special projects, as required * Assist with the design and delivery of consumer compliance-related training, as needed * Adhere to all designated time frames, manage workflow to the specified deadlines and complete responsibilities in a satisfactory manner * Maintains professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, benchmarking state-of-the-art practices, and participating in professional societies * Coordinate registering Compliance Risk Management Team for training and continuing education; retaining appropriate documentation of such continuing education * Create and/or update internal department procedures as necessary * Coordinate the Compliance Risk Management Team meeting minutes * Performs any other assignments as directed by the Chief Compliance Officer and Director of Compliance Risk Advisory Services Supervisory Responsibilities The incumbent is not responsible for the supervision of employees. Competencies To perform the job successfully, an individual should demonstrate the following competencies: Analytical and Design - Ability to assess risk; Detail oriented, analytical, and critical thinking skills; Strong problem solving and analytical skills required to succeed in this job; Strong technical troubleshooting skills and ability to juggle simultaneous projects. Problem Solving - Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Works well in group problem solving situations; Uses reason even when dealing with emotional topics. Interpersonal Skills/Customer Service - Focuses on solving conflict, not blaming; Maintains confidentiality; Remains open to others' ideas and tries new things; Manages difficult or emotional customer situations; Responds to requests for service and assistance; Meets commitments. Oral and Written Communication - Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions; Demonstrates group presentation skills; Participates in meetings; Writes clearly and informatively; Edits work for spelling, grammar, and legal citation references; Varies writing style to meet needs; Able to read and interpret written information. Teamwork - Ability to work in a collaborative environment, as well as independently; Balances team and individual responsibilities; Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Supports everyone's efforts to succeed. Organizational Support - Follows policies and procedures; Completes administrative tasks correctly and on time; Supports organization's goals and values; Benefits organization through outside activities; Supports affirmative action and respects diversity; Embraces trusted advisor role. Judgment and Motivation - Displays willingness to make decisions; Exhibits sound and accurate judgment; Supports and explains reasoning for decisions; Includes appropriate people in decision-making process; Makes timely decisions; Demonstrates persistence and overcomes obstacles. Planning/Organizing - Ability to multi-task and set priorities; Prioritizes and plans work activities; Uses time efficiently; Sets goals and objectives. Professionalism - Ability to deal with all levels of personnel in a courteous and effective manner; Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration regardless of their status or position. Quantity - Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with interruptions and changing priorities. Adaptability - Adapts to changes in the work environment; Manages competing demands; Changes approach or method to best fit the situation; Able to deal with frequent change, delays, or unexpected events. Attendance/Punctuality and Dependability - Is consistently at work and on time; Ensures work responsibilities are covered when absent; Arrives at meetings and appointments on time; Follows instructions, responds to management direction; Takes responsibility for own actions; Commits to long hours of work when necessary to reach goals. Qualifications To perform this job successfully, knowledge of Compliance Risk Management and related laws and regulations. Incumbent must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Education and/or Experience At least three (3) years, banking compliance experience. General familiarity with federal and state banking regulations preferred. Relevant training and/or certifications as a Compliance Specialist or similar compliance certification. Strong analytical and critical thinking skills. Strong documenting and reporting skills. Attention to detail. Strong verbal and written communication skills. Experience as a compliance auditor and or compliance examiner is acceptable. Computer Skills To perform this job successfully, an individual should have advanced knowledge of Microsoft Office Suite, including Outlook, Word, Excel, and Access. Power BI preferred. Ability to learn bank-specific software. Ability to use basic office machines. Bank Culture/Customer Service Skills Ability and judgment to interact and communicate appropriately with other employees, customers, and supervisor. Ability to serve customers, both internal and external, (community/public) in a manner that will reflect superior customer relations and enhance the overall marketing effort of Origin Bank. Physical Demands While performing the duties of this job, the employee is frequently required to stand; walk; sit; use hands to finger, handle, or feel and talk or hear. The employee is occasionally required to reach with hands and arms; climb or balance and stoop, kneel, crouch, or crawl. The employee must frequently lift and/or move up to 10 pounds and occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision and ability to adjust focus. Mental Demands Incumbent in this position must be able to accommodate reading documents or instruments, detailed work, problem solving, customer contact, reasoning, math, language, presumptions, verbal and written communication, analytical reasoning, stress, multiple concurrent tasks, and constant interruptions. Work Environment The noise level in the work environment is usually moderate. This reflects management's assignment of essential functions. It does not prescribe or restrict the tasks that may be assigned. Origin Bank shall, in its discretion, modify or adjust the position to meet the Bank's changing needs. This job description is not a contract and may be adjusted as deemed appropriate in the Bank's sole Word Compensation Details We believe in competitive compensation. The minimum average base pay for this position based on market is: $70,686.00 Word The minimum base pay could be increased based on factors such as skills, education, or experience. The base pay listed does not include incentives, bonuses, or benefits. We also offer a generous benefits package (more information on benefits can be found here). Word Remote positions are intended to be filled in states within our footprint, which includes: Alabama, Florida, Louisiana, Mississippi, and Texas. Any exception to this policy requires further regulatory review and approval by management. Word Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, pregnancy, genetic information, disability, status as a protected veteran, or any other protected category under applicable federal, state, and local laws. Know Your Rights

Your Career. Your Story. Let's Write the Next Chapter Together. At Origin Bank, a job isn't just a paycheck - it's a meaningful journey. We're committed to helping you grow both professionally and personally in an environment where people come first. We offer a competitive total rewards package, including generous benefits and compensation tailored to your skills, experience, and education. What truly sets us apart is our people-first culture. Here, you'll be supported by unique initiatives like our Dream Manager program, one-on-one guidance from a nationally certified health and wellness coach, and free access to certified financial professionals who are here to help you plan for your future. If you're looking for a career that empowers you to make meaningful connections, positively impact others, and pursue your personal and professional dreams-we'd love to meet you. Apply today and start the most rewarding chapter of your career with us. The Compliance Advisory Specialist II, working within the Compliance Risk Management Team, is responsible for conducting assigned compliance risk management activities in support of the bank's Compliance Management Program (CMP) under the direction of the Director of Compliance Risk Advisory Services. Provides support in the administration of components of the bank's overall Compliance Management System (CMS), including complaint management, advertising, and disclosure reviews, third party risk management compliance reviews, spearfishing monitoring. Provides administrative support to the Chief Compliance Officer and members of the Compliance Risk Management Leadership Team. Word Responsible for performing regulatory research and analysis for the Compliance Risk Advisory Services Group and advising of the regulatory risks and adequacy of first line of defense operating policies, procedures, and processes. * Support Compliance Risk Advisory Services in the collaboration with the first line of defense to identify and mitigate elevated residual compliance risks and establish appropriate compliance controls related thereto * Assist our partners in the first line of defense with the development of policies and procedures to ensure adherence to regulations * Act as resource for personnel questions on compliance issues and assist with remediation or answers * Assist as needed with the bank's complaint management system (Kadince); track investigations of customer complaints to ensure timely response; ensure third party vendor complaints are documented and investigated; maintain complaint status in Kadince; and generate internal complaint dashboard and related management reports * Prepare preliminary reports of issues or findings with root cause analysis and improvement recommendations (when warranted) * Support tracking, monitoring, and reporting of compliance risks and related activities * Conduct follow up with business units on implementation and status of monitoring review recommendations and/or findings, issue-tracking, including notifying business lines of impending due dates, escalating unresolved issues appropriately and performing retesting as directed * Assist as needed with maintaining and managing workflow of advertisements and other promotional materials and approval of such (including branch flyers, posters, notices, marketing brochures, internet, social media, email, television, radio, statement messages, etc.) for compliance with applicable laws and regulations * Assist as needed with conducting and documenting third party risk management compliance reviews for Tier 1 and Tier 2 vendors * Prepares reports by collecting, analyzing, and summarizing information * Conducts and/or provides assistance on special projects, as required * Assist with the design and delivery of consumer compliance-related training, as needed * Adhere to all designated time frames, manage workflow to the specified deadlines and complete responsibilities in a satisfactory manner * Maintains professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, benchmarking state-of-the-art practices, and participating in professional societies * Coordinate registering Compliance Risk Management Team for training and continuing education; retaining appropriate documentation of such continuing education * Create and/or update internal department procedures as necessary * Coordinate the Compliance Risk Management Team meeting minutes * Performs any other assignments as directed by the Chief Compliance Officer and Director of Compliance Risk Advisory Services Supervisory Responsibilities The incumbent is not responsible for the supervision of employees. Competencies To perform the job successfully, an individual should demonstrate the following competencies: Analytical and Design - Ability to assess risk; Detail oriented, analytical, and critical thinking skills; Strong problem solving and analytical skills required to succeed in this job; Strong technical troubleshooting skills and ability to juggle simultaneous projects. Problem Solving - Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Works well in group problem solving situations; Uses reason even when dealing with emotional topics. Interpersonal Skills/Customer Service - Focuses on solving conflict, not blaming; Maintains confidentiality; Remains open to others' ideas and tries new things; Manages difficult or emotional customer situations; Responds to requests for service and assistance; Meets commitments. Oral and Written Communication - Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions; Demonstrates group presentation skills; Participates in meetings; Writes clearly and informatively; Edits work for spelling, grammar, and legal citation references; Varies writing style to meet needs; Able to read and interpret written information. Teamwork - Ability to work in a collaborative environment, as well as independently; Balances team and individual responsibilities; Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Supports everyone's efforts to succeed. Organizational Support - Follows policies and procedures; Completes administrative tasks correctly and on time; Supports organization's goals and values; Benefits organization through outside activities; Supports affirmative action and respects diversity; Embraces trusted advisor role. Judgment and Motivation - Displays willingness to make decisions; Exhibits sound and accurate judgment; Supports and explains reasoning for decisions; Includes appropriate people in decision-making process; Makes timely decisions; Demonstrates persistence and overcomes obstacles. Planning/Organizing - Ability to multi-task and set priorities; Prioritizes and plans work activities; Uses time efficiently; Sets goals and objectives. Professionalism - Ability to deal with all levels of personnel in a courteous and effective manner; Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration regardless of their status or position. Quantity - Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with interruptions and changing priorities. Adaptability - Adapts to changes in the work environment; Manages competing demands; Changes approach or method to best fit the situation; Able to deal with frequent change, delays, or unexpected events. Attendance/Punctuality and Dependability - Is consistently at work and on time; Ensures work responsibilities are covered when absent; Arrives at meetings and appointments on time; Follows instructions, responds to management direction; Takes responsibility for own actions; Commits to long hours of work when necessary to reach goals. Qualifications To perform this job successfully, knowledge of Compliance Risk Management and related laws and regulations. Incumbent must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Education and/or Experience At least three (3) years, banking compliance experience. General familiarity with federal and state banking regulations preferred. Relevant training and/or certifications as a Compliance Specialist or similar compliance certification. Strong analytical and critical thinking skills. Strong documenting and reporting skills. Attention to detail. Strong verbal and written communication skills. Experience as a compliance auditor and or compliance examiner is acceptable. Computer Skills To perform this job successfully, an individual should have advanced knowledge of Microsoft Office Suite, including Outlook, Word, Excel, and Access. Power BI preferred. Ability to learn bank-specific software. Ability to use basic office machines. Bank Culture/Customer Service Skills Ability and judgment to interact and communicate appropriately with other employees, customers, and supervisor. Ability to serve customers, both internal and external, (community/public) in a manner that will reflect superior customer relations and enhance the overall marketing effort of Origin Bank. Physical Demands While performing the duties of this job, the employee is frequently required to stand; walk; sit; use hands to finger, handle, or feel and talk or hear. The employee is occasionally required to reach with hands and arms; climb or balance and stoop, kneel, crouch, or crawl. The employee must frequently lift and/or move up to 10 pounds and occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision and ability to adjust focus. Mental Demands Incumbent in this position must be able to accommodate reading documents or instruments, detailed work, problem solving, customer contact, reasoning, math, language, presumptions, verbal and written communication, analytical reasoning, stress, multiple concurrent tasks, and constant interruptions. Work Environment The noise level in the work environment is usually moderate. This reflects management's assignment of essential functions. It does not prescribe or restrict the tasks that may be assigned. Origin Bank shall, in its discretion, modify or adjust the position to meet the Bank's changing needs. This job description is not a contract and may be adjusted as deemed appropriate in the Bank's sole Word Compensation Details We believe in competitive compensation. The minimum average base pay for this position based on market is: $70,686.00 Word The minimum base pay could be increased based on factors such as skills, education, or experience. The base pay listed does not include incentives, bonuses, or benefits. We also offer a generous benefits package (more information on benefits can be found here). Word Remote positions are intended to be filled in states within our footprint, which includes: Alabama, Florida, Louisiana, Mississippi, and Texas. Any exception to this policy requires further regulatory review and approval by management. Word Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, pregnancy, genetic information, disability, status as a protected veteran, or any other protected category under applicable federal, state, and local laws. Know Your Rights

Your Career. Your Story. Let's Write the Next Chapter Together. At Origin Bank, a job isn't just a paycheck - it's a meaningful journey. We're committed to helping you grow both professionally and personally in an environment where people come first. We offer a competitive total rewards package, including generous benefits and compensation tailored to your skills, experience, and education. What truly sets us apart is our people-first culture. Here, you'll be supported by unique initiatives like our Dream Manager program, one-on-one guidance from a nationally certified health and wellness coach, and free access to certified financial professionals who are here to help you plan for your future. If you're looking for a career that empowers you to make meaningful connections, positively impact others, and pursue your personal and professional dreams-we'd love to meet you. Apply today and start the most rewarding chapter of your career with us. The Compliance Advisory Specialist II, working within the Compliance Risk Management Team, is responsible for conducting assigned compliance risk management activities in support of the bank's Compliance Management Program (CMP) under the direction of the Director of Compliance Risk Advisory Services. Provides support in the administration of components of the bank's overall Compliance Management System (CMS), including complaint management, advertising, and disclosure reviews, third party risk management compliance reviews, spearfishing monitoring. Provides administrative support to the Chief Compliance Officer and members of the Compliance Risk Management Leadership Team. Word Responsible for performing regulatory research and analysis for the Compliance Risk Advisory Services Group and advising of the regulatory risks and adequacy of first line of defense operating policies, procedures, and processes. Support Compliance Risk Advisory Services in the collaboration with the first line of defense to identify and mitigate elevated residual compliance risks and establish appropriate compliance controls related thereto Assist our partners in the first line of defense with the development of policies and procedures to ensure adherence to regulations Act as resource for personnel questions on compliance issues and assist with remediation or answers Assist as needed with the bank's complaint management system (Kadince); track investigations of customer complaints to ensure timely response; ensure third party vendor complaints are documented and investigated; maintain complaint status in Kadince; and generate internal complaint dashboard and related management reports Prepare preliminary reports of issues or findings with root cause analysis and improvement recommendations (when warranted) Support tracking, monitoring, and reporting of compliance risks and related activities Conduct follow up with business units on implementation and status of monitoring review recommendations and/or findings, issue-tracking, including notifying business lines of impending due dates, escalating unresolved issues appropriately and performing retesting as directed Assist as needed with maintaining and managing workflow of advertisements and other promotional materials and approval of such (including branch flyers, posters, notices, marketing brochures, internet, social media, email, television, radio, statement messages, etc.) for compliance with applicable laws and regulations Assist as needed with conducting and documenting third party risk management compliance reviews for Tier 1 and Tier 2 vendors Prepares reports by collecting, analyzing, and summarizing information Conducts and/or provides assistance on special projects, as required Assist with the design and delivery of consumer compliance-related training, as needed Adhere to all designated time frames, manage workflow to the specified deadlines and complete responsibilities in a satisfactory manner Maintains professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, benchmarking state-of-the-art practices, and participating in professional societies Coordinate registering Compliance Risk Management Team for training and continuing education; retaining appropriate documentation of such continuing education Create and/or update internal department procedures as necessary Coordinate the Compliance Risk Management Team meeting minutes Performs any other assignments as directed by the Chief Compliance Officer and Director of Compliance Risk Advisory Services Supervisory Responsibilities The incumbent is not responsible for the supervision of employees. Competencies To perform the job successfully, an individual should demonstrate the following competencies: Analytical and Design - Ability to assess risk; Detail oriented, analytical, and critical thinking skills; Strong problem solving and analytical skills required to succeed in this job; Strong technical troubleshooting skills and ability to juggle simultaneous projects. Problem Solving - Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Works well in group problem solving situations; Uses reason even when dealing with emotional topics. Interpersonal Skills/Customer Service - Focuses on solving conflict, not blaming; Maintains confidentiality; Remains open to others' ideas and tries new things; Manages difficult or emotional customer situations; Responds to requests for service and assistance; Meets commitments. Oral and Written Communication - Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions; Demonstrates group presentation skills; Participates in meetings; Writes clearly and informatively; Edits work for spelling, grammar, and legal citation references; Varies writing style to meet needs; Able to read and interpret written information. Teamwork - Ability to work in a collaborative environment, as well as independently; Balances team and individual responsibilities; Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Supports everyone's efforts to succeed. Organizational Support - Follows policies and procedures; Completes administrative tasks correctly and on time; Supports organization's goals and values; Benefits organization through outside activities; Supports affirmative action and respects diversity; Embraces trusted advisor role. Judgment and Motivation - Displays willingness to make decisions; Exhibits sound and accurate judgment; Supports and explains reasoning for decisions; Includes appropriate people in decision-making process; Makes timely decisions; Demonstrates persistence and overcomes obstacles. Planning/Organizing - Ability to multi-task and set priorities; Prioritizes and plans work activities; Uses time efficiently; Sets goals and objectives. Professionalism - Ability to deal with all levels of personnel in a courteous and effective manner; Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration regardless of their status or position. Quantity - Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with interruptions and changing priorities. Adaptability - Adapts to changes in the work environment; Manages competing demands; Changes approach or method to best fit the situation; Able to deal with frequent change, delays, or unexpected events. Attendance/Punctuality and Dependability - Is consistently at work and on time; Ensures work responsibilities are covered when absent; Arrives at meetings and appointments on time; Follows instructions, responds to management direction; Takes responsibility for own actions; Commits to long hours of work when necessary to reach goals. Qualifications To perform this job successfully, knowledge of Compliance Risk Management and related laws and regulations. Incumbent must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Education and/or Experience At least three (3) years, banking compliance experience. General familiarity with federal and state banking regulations preferred. Relevant training and/or certifications as a Compliance Specialist or similar compliance certification. Strong analytical and critical thinking skills. Strong documenting and reporting skills. Attention to detail. Strong verbal and written communication skills. Experience as a compliance auditor and or compliance examiner is acceptable. Computer Skills To perform this job successfully, an individual should have advanced knowledge of Microsoft Office Suite, including Outlook, Word, Excel, and Access. Power BI preferred. Ability to learn bank-specific software. Ability to use basic office machines. Bank Culture/Customer Service Skills Ability and judgment to interact and communicate appropriately with other employees, customers, and supervisor. Ability to serve customers, both internal and external, (community/public) in a manner that will reflect superior customer relations and enhance the overall marketing effort of Origin Bank. Physical Demands While performing the duties of this job, the employee is frequently required to stand; walk; sit; use hands to finger, handle, or feel and talk or hear. The employee is occasionally required to reach with hands and arms; climb or balance and stoop, kneel, crouch, or crawl. The employee must frequently lift and/or move up to 10 pounds and occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision and ability to adjust focus. Mental Demands Incumbent in this position must be able to accommodate reading documents or instruments, detailed work, problem solving, customer contact, reasoning, math, language, presumptions, verbal and written communication, analytical reasoning, stress, multiple concurrent tasks, and constant interruptions. Work Environment The noise level in the work environment is usually moderate. This reflects management's assignment of essential functions. It does not prescribe or restrict the tasks that may be assigned. Origin Bank shall, in its discretion, modify or adjust the position to meet the Bank's changing needs. This job description is not a contract and may be adjusted as deemed appropriate in the Bank's sole Word Compensation Details We believe in competitive compensation. The minimum average base pay for this position based on market is: $70,686.00 Word The minimum base pay could be increased based on factors such as skills, education, or experience. The base pay listed does not include incentives, bonuses, or benefits. We also offer a generous benefits package (more information on benefits can be found here). Word Remote positions are intended to be filled in states within our footprint, which includes: Alabama, Florida, Louisiana, Mississippi, and Texas. Any exception to this policy requires further regulatory review and approval by management. Word Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, pregnancy, genetic information, disability, status as a protected veteran, or any other protected category under applicable federal, state, and local laws. Know Your Rights