Regulatory Compliance Specialist jobs at Moss Adams

Primary Duties & Responsibilities At Globe Life, we are committed to empowering our employees with the support and opportunities they need to succeed at every stage of their career. Our thriving and dynamic community offers ample room for professional development, increased earning potential, and a secure work environment. We take pride in fostering a caring and innovative culture that enables us to collectively grow and overcome challenges in a connected, collaborative, and mutually respectful environment that calls us to help Make Tomorrow Better. Role Overview: Could you be our next Manager, Regulatory Compliance? Globe Life is looking for a Manager, Regulatory Compliance to join the team! In this role, you will be responsible for managing the compliance team. The Manager ensures that project and department milestones and goals are met while adhering to approved budgets. They are also responsible for leadership and team development, ensuring staff are educated on all current DOJ standards and trained to adapt to the evolving regulatory environment. This is a remote / work-from-home position. What You Will Do: * Train the team on the value and implementation of the compliance framework and practices for risk assessment and policy development. * Monitor both progress and performance of senior and junior compliance analysts to formulate any needed recommendations for improvements. * Track team velocity progression and provide leadership insights. * Prepare and present compliance program analysis for inclusion in Senior Level reporting. * Organize, lead, and direct cross-functional meetings that advise and facilitate the navigation of extenuating circumstances and business complexities. * Develop and execute enterprise-wide compliance strategies with support from the Senior Director of Regulatory Compliance. * Manage (internal) regulatory relationships and interactions. * Provide guidance on complex compliance matters to the team and stakeholders. * Mentor and coach junior compliance team members. * Implement changes to compliance processes due to new or amended regulations. * Utilize established internal controls and auditing systems to identify, detect, and correct noncompliance. * Prepare and update communication materials. * Assist with training initiatives that educate stakeholders about compliance requirements. * Assess current projects for complexity and highest priority, managing multiple when necessary. What You Can Bring: * Bachelor's degree in business, finance, or related field. * 7+ years of experience in the compliance field, preferably within the life insurance industry. * 3+ years of experience as a people leader or in an SME/mentoring role. * Advanced Compliance Certifications preferred (CCEP, ISO 37301, FLMI, AIRC, ACAMS, etc.). * Extensive knowledge of regulatory frameworks, industry trends, and best practices. * Proven leadership and project management skills. * Strong people leading and development skills. * Strong interpersonal and stakeholder influencing skills. * Excellent communication and collaboration skills. * Ability to present information with confidence and clarity for Senior Management and Board-level reporting. * Utilize strong observation, analytical, and problem-solving skills. * Commercially savvy with the ability to exercise discretion with respect to highly confidential/sensitive information. * Ability to exhibit integrity, ethical standards, and sound judgment. Applicable To All Employees of Globe Life Family of Companies: * Reliable and predictable attendance of your assigned shift. * Ability to work full-time and/or part-time based on the position specifications. How Globe Life Will Support You: Looking to continue your career in an environment that values your contribution and invests in your growth? We've curated a benefits package that helps to ensure that you don't just work, but thrive at Globe Life: * Competitive compensation designed to reflect your expertise and contribution. * Comprehensive health, dental, and vision insurance plans because your well-being is fundamental to your performance. * Robust life insurance benefits and retirement plans, including a company-matched 401 (k) and pension plan. * Paid holidays and time off to support a healthy work-life balance. * Parental leave to help our employees welcome their new additions. * Subsidized all-in-one subscriptions to support your fitness, mindfulness, nutrition, and sleep goals. * Company-paid counseling for assistance with mental health, stress management, and work-life balance. * Continued education reimbursement eligibility and company-paid FLMI and ICA courses to grow your career. * Discounted Texas Rangers tickets for a proud visit to Globe Life Field. Opportunity awaits! Invest in your professional legacy, realize your path, and see the direct impact you can make in a workplace that celebrates and harnesses your unique talents and perspectives to their fullest potential. At Globe Life, your voice matters. Location: 7677 Henneman Way, McKinney, Texas

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

We are seeking a seasoned professional to join our Regulatory Group as a Vice President, with a primary focus on managing regulatory exams. This role is part of the Firm's Legal Department and plays a key role in ensuring regulatory compliance and oversight. While a legal background is welcome, a law license is not required. Responsibilities: • Serve as a contributor or lead in managing regulatory exams conducted by the Firm's regulators including the CFTC, CIRO, DTCC, FINRA, NFA, OCC, SEC, and state regulators • Manage relationship with exam staff • Extract, analyze, and produce data to regulators • Partner with internal stakeholders to ensure timely and accurate responses • Escalate potential issues during the exam process • Partner with compliance and business on remediation plans when required and track status • Work closely with exam staff to address concerns, potential issues, and identified issues • Monitor and assess regulatory changes and their impact on the Firm • Contribute to governance-related activities and regulatory deliverables • Support branch and non-branch location inspections Qualifications: • Bachelor's degree required • Minimum of 10 years of experience in the financial services industry • Experience managing exams of Broker-Dealers, Commodity Pool Operators, Registered Investment Advisers, and Swap Dealers • Strong interpersonal skills with the ability to build and maintain relationships with internal stakeholders and external regulators • Proven ability to deliver high-quality work under tight deadlines • Effective project management skills • Proficiency in Microsoft Excel, Word, and PowerPoint Primary Location Full Time Salary Range of $140,000 - $170,000.

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 **********************************.

The Environmental Engineering Compliance Specialist will play a key role in supporting environmental permitting and compliance activities across multiple development projects, with a focus on air emissions and environmental acoustics. The ideal candidate will have strong organizational skills and demonstrated ability to perform in a fast-paced, cross-functional environment. **Essential Functions:** Responsibilities: + Provide daily support for pre-operational environmental permitting and compliance efforts for multiple U.S.-based projects, with a focus on air emissions and environmental acoustics. + Collaborate with internal teams and external consultants to ensure timely and accurate completion of permitting deliverables. + Review technical reports and submittals to ensure consistency with regulatory requirements and internal standards. + Maintain centralized document libraries and dashboards to track permitting requirements, regulatory submittals, and environmental performance indicators. + Respond to internal requests for documentation access and data. + Contribute to process improvement initiatives related to permitting and compliance. **Minimum Requirements:** Experience/Skills + Minimum of two years of professional experience in air permitting, acoustics, or a closely related environmental discipline. + Ability to comprehend, analyze and interpret complex technical reports and regulatory requirements. + Proficiency in Microsoft Excel, Word, PowerPoint, and SharePoint. Proficiency in Power Automate a plus. + Strong attention to detail and organizational skills. + Effective written and verbal communication abilities. + Ability to work independently and collaboratively as part of a multidisciplinary team + Prior experience with data centers a plus. Education + Bachelor's degree in science, engineering, or other relevant technical discipline. Location + This position is office-based in Houston, Texas. CyrusOne is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, religion, national origin, disability, veteran status, or other legally protected status. CyrusOne provides reasonable accommodation for qualified individuals with disabilities in accordance with the Americans with Disabilities Act (ADA) and any other state or local laws. We will respond to requests for reasonable accommodations to assist you in applying for positions at CyrusOne, or to submit a resume. Welcome to the CyrusOne Career Portal! A great opportunity awaits you so don't delay, apply today! CyrusOne may use artificial intelligence to assess how your application matches the job requirements. The final hiring decision is always made by our team. You may opt out of AI screening without affecting your candidacy. For additional details on opting out, or our AI Recruiting Policy click here . CyrusOne is committed to working with and providing reasonable accommodation to individuals with physical and mental disabilities. If you need special assistance or an accommodation while seeking employment, please email ********************** or call: ************. We will make a determination on your request for reasonable accommodation on a case-by-case basis. CyrusOne is proud to be recognized as a Top Work Place by USA Today. Celebrated for our company culture, CyrusOne stands out for its commitment to core values such as community, agility, respect, an enjoyable workplace, ethics, and exceptional service. This accolade reflects CyrusOne's dedication to creating an engaging, respectful, and growth-oriented environment, underpinned by integrity, which not only enhances customer satisfaction but also contributes to the company's overall success. CyrusOne is a leading global data center developer and operator specializing in delivering state-of-the-art digital infrastructure solutions. With more than 50 high-performance mission-critical facilities worldwide, the Company ensures the continued operation of digital infrastructure for nearly 1,000 customers, including approximately 200 Fortune 1000 companies. CyrusOne's leading global platform of hybrid-cloud and multi-cloud deployments offers customers colocation, hyperscale, and build-to-suit environments, which help enhance the strategic connections of their essential data infrastructures and support the achievement of sustainability goals. CyrusOne data centers offer world-class flexibility, enabling clients to modernize, simplify, and rapidly respond to changing demands. Combining exceptional financial strength, a broad global footprint, and continued investment in key digital gateway markets, CyrusOne provides the world's largest companies with long-term stability and strategic advantage at scale. For more information, please visit cyrusone.com (****************************************************************************** . All qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, religion, national origin, disability, veteran status, or other legally protected status. The law requires CyrusOne to post a notice describing the Federal laws prohibiting job discrimination. For information regarding your legal rights and protections, please click on the following link: Know Your Rights (****************************************************************************************************************** CyrusOne will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay. Please see the Pay Transparency Nondiscrimination Provision (******************************************************************************************************************* for more information. As a Federal Contractor, CyrusOne is required to participate in the E-Verify Program to confirm eligibility to work in the United States. For information please click on the following link: E-Verify. (************************************************************************************************************************

The Environmental Engineering Compliance Specialist will play a key role in supporting environmental permitting and compliance activities across multiple development projects, with a focus on air emissions and environmental acoustics. The ideal candidate will have strong organizational skills and demonstrated ability to perform in a fast-paced, cross-functional environment. Essential Functions: Responsibilities: Provide daily support for pre-operational environmental permitting and compliance efforts for multiple U.S.-based projects, with a focus on air emissions and environmental acoustics. Collaborate with internal teams and external consultants to ensure timely and accurate completion of permitting deliverables. Review technical reports and submittals to ensure consistency with regulatory requirements and internal standards. Maintain centralized document libraries and dashboards to track permitting requirements, regulatory submittals, and environmental performance indicators. Respond to internal requests for documentation access and data. Contribute to process improvement initiatives related to permitting and compliance. Minimum Requirements: Experience/Skills Minimum of two years of professional experience in air permitting, acoustics, or a closely related environmental discipline. Ability to comprehend, analyze and interpret complex technical reports and regulatory requirements. Proficiency in Microsoft Excel, Word, PowerPoint, and SharePoint. Proficiency in Power Automate a plus. Strong attention to detail and organizational skills. Effective written and verbal communication abilities. Ability to work independently and collaboratively as part of a multidisciplinary team Prior experience with data centers a plus. Education Bachelor's degree in science, engineering, or other relevant technical discipline. Location This position is office-based in Houston, Texas. CyrusOne is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, religion, national origin, disability, veteran status, or other legally protected status. CyrusOne provides reasonable accommodation for qualified individuals with disabilities in accordance with the Americans with Disabilities Act (ADA) and any other state or local laws. We will respond to requests for reasonable accommodations to assist you in applying for positions at CyrusOne, or to submit a resume.

Job Description Job Title: Mortgage Originations Compliance Specialist Job Type: Full Time Company: Village Capital & Investment LLC Introduction: Village Capital is a well-established mortgage company committed to delivering a quick, efficient, and quality mortgage loan process to our customers and business partners. We are a nationwide mortgage lender specializing in FHA, VA, USDA Loans. Our Headquarters are located in Henderson NV. We are a lender/servicer, who works with loan originators, brokers, and correspondents to offer our customers great rates and good terms. Key Responsibilities Monitor, interpret, and communicate regulatory and investor updates impacting mortgage originations. Develop and maintain policies, procedures, and internal controls to ensure compliance with applicable laws and regulations, including RESPA, TILA, ECOA, HMDA, and CFPB requirements. Conduct compliance reviews and quality assurance testing of origination files and processes. Provide day-to-day compliance support and guidance to origination staff, including loan officers, processors, and underwriters. Coordinate and assist with internal and external audits, examinations, and investor reviews. Design and deliver compliance training programs to ensure consistent understanding and application of regulatory requirements. Collaborate with Risk, Legal, and Operations teams to identify compliance trends and implement corrective actions when necessary. Maintain accurate and comprehensive documentation of compliance activities, findings, and remediation efforts. Qualifications High school diploma required; Associate or Bachelor's degree preferred. 3+ years of mortgage compliance or origination operations experience, preferably within a regulated mortgage lending or servicing environment. In-depth knowledge of federal and state mortgage regulations, including CFPB, FHA, VA, USDA, Fannie Mae, and Freddie Mac requirements. Experience with loan origination systems (e.g., Encompass) and compliance monitoring tools. Strong analytical, communication, and organizational skills with attention to detail. Ability to work collaboratively in a fast-paced, team-oriented environment. Benefits: 401(k) matching Dental insurance Health insurance Health savings account Life insurance Paid time off Vision insurance Position Summary: The Mortgage Originations Compliance Officer will be responsible for maintaining and overseeing compliance programs for VCI's mortgage origination activities. This individual will serve as a key advisor to operational leaders, helping to identify, assess, and mitigate regulatory risks while fostering a strong compliance culture across the organization. In Summary: If you are looking for an opportunity to contribute to a growing organization that values your skills and expertise, we want to hear from you. At Village Capital & Investment LLC, we believe in fostering a supportive and inclusive work environment that encourages professional growth. Apply today to take the next step in your career with us!

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethics. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Department Profile The Firm is seeking an Analyst or Associate for its U.S. Business Control Unit (BCU) team, focused on regulatory, audit engagement, and compliance testing assessments across all Fixed Income Business Units, in addition to coordinating the implementation of new regulatory control requirements and remediation activities. BCU within the Fixed Income Division (FID) is the function that manages non-trading risk these include, but are not limited to, operational risk, compliance/conduct, regulatory & audit, sales/product governance, transactional risk. As a front office risk management team, FID BCU partners with our FID business stakeholders, the ISG Central Risk Team, as well as the infrastructure groups and second line control functions to establish and maintain an effective risk management program that is appropriately tailored to FID's risk profile. The team has a global presence including in New York, London, Hong Kong, and Tokyo. Primary Responsibilities The candidate will be part of the BCU team dedicated to supporting North America Fixed Income businesses and expected to be comfortable leading tasks independently. The candidate is expected to provide advice, decision-making and action with respect to certain Regulatory and Internal Audit, Compliance Testing and other matters that have a relevant FID element. The candidate will work closely with other members in the BCU team across various locations. Daily or regular tasks related to the risk management function include but are not limited to: Coordinate, develop and present business unit responses to requests and inquiries from regulators and auditors / internal testing groups Prepare formal tracking, status updates, metrics and other reporting for various regulatory, audit and testing items Facilitate governance committees, continuous monitoring, and ad hoc meetings as needed Assist in the business unit implementation of new or amended regulatory requirements Assist with tracking and remediation of regulatory, audit and testing findings Own and manage distinct implementation and remediation projects from start to finish Facilitate responses to risk management situations requiring immediate attention or escalation Qualifications Highly motivated self-starter with the ability to work under pressure and prioritize competing deadlines Ability to effectively manage various projects and deadlines, including tracking and coordinating responses to complex regulatory and audit requests with minimal oversight Quality of being a highly motivated self-starter with the ability to work under pressure and prioritize competing deadlines Exceptional organizational skills and a high degree of attention to detail Ability to assemble reporting on critical issues and deliver to senior stakeholders Ability to work on challenging assignments in a dynamic environment, synthesize information, gather relevant facts, and reach logical conclusions Excellent written and oral communication skills, as well as the ability to present ideas concisely and tailor messaging to various stakeholders 2-5 years of related work experience, with a background in financial services regulations, compliance, and/or risk management functions, as well as familiarity with Fixed Income products, preferred Strong Microsoft Excel and PowerPoint skills WHAT YOU CAN EXPECT FROM MORGAN STANLEY: We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. Expected base pay rate for the role will be between $65,000 and $125,000 for Analyst, and $85,000 to $140,000 for Associate, at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs. Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

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.

We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, culture and talent experience and our ability to be compelling to our clients. You'll find an environment that inspires and empowers you to thrive both personally and professionally. There's no one like you and that's why there's nowhere like RSM. Temporary Regulatory Compliance Consultant - Risk Consulting (Financial Services) Department: Risk Consulting RSM is seeking a Regulatory Compliance professional with experience performing internal audits, anti-money laundering (AML), and lending or deposit compliance reviews for financial institutions to join our Risk Consulting team on a temporary engagement. The ideal candidate is self-motivated, detail-oriented, and eager to contribute in a fast-paced, evolving environment supporting our financial institution clients. Position Responsibilities • Manage and deliver regulatory compliance assessments and related services for banks, credit unions, broker-dealers, and other financial institutions • Perform independent BSA/AML/OFAC testing for community-based financial institutions, including credit unions • Lead engagement activities from planning through execution, reporting, and wrap-up, including conducting exit meetings and supporting risk assessment documentation • Identify areas of non-compliance with banking laws and regulations and develop actionable recommendations • Demonstrate knowledge across lending, deposit compliance, and BSA/AML frameworks • Communicate clearly with clients regarding review processes, findings, and improvement opportunities • Provide high-quality, timely client service that meets or exceeds expectations • Maintain awareness of regulatory updates and industry trends relevant to financial institutions Required Qualifications • Bachelor's degree in Accounting, Finance, Business, or a related field; or a Law degree • Minimum of 4 years of regulatory compliance experience within a financial institution, consulting firm, or regulatory agency • Strong understanding of key banking laws and regulations, including the Fair Credit Reporting Act (FCRA), Truth in Lending Act (TILA), Home Mortgage Disclosure Act (HMDA), Fair Lending, Truth in Savings Act (TISA), and Bank Secrecy Act (BSA) • Familiarity with consumer financial products and services such as deposit accounts, loans, mortgages, and credit cards Preferred Qualifications • CRCM, CAMS, CCBCO, AMLP, or other regulatory compliance certification preferred • Prior experience with a national or regional public accounting firm, or as a regulatory compliance officer, internal auditor, or examiner at a financial institution or agency • Exceptional communication, leadership, and analytical skills, with the ability to review workpapers, prepare reports, and present results • Strong organizational and time management skills, capable of managing multiple projects simultaneously • Understanding of FINRA and SEC rules is a plus At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life's demands, while also maintaining your ability to serve clients. Learn more about our total rewards at ************************************************** All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at ************ or send us an email at *****************. RSM does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders). If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate. RSM will consider for employment qualified applicants with arrest or conviction records in accordance with the requirements of applicable law, including but not limited to, the California Fair Chance Act, the Los Angeles Fair Chance Initiative for Hiring Ordinance, the Los Angeles County Fair Chance Ordinance for Employers, and the San Francisco Fair Chance Ordinance. For additional information regarding RSM's background check process, including information about job duties that necessitate the use of one or more types of background checks, click here. At RSM, an employee's pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range. Compensation Range: $40 - $60 per hour

Newport, an Ascensus company, helps employers offer their associates a more secure financial future through retirement plans, insurance and consulting services. Newport offers comprehensive plan solutions and consulting expertise to plan sponsors and the advisors who serve them. As a provider and partner, Newport is independent, experienced, and responsive. JOB SUMMARY: Performs compliance testing, testing review, document support and government forms preparation and review for highly complex retirement plan clients. Ensures that assigned plans remain tax qualified by meeting all IRS and DOL reporting and testing requirements. Also includes reporting on all accounting and financial activity for the plan. May provide technical training. Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform these essential functions. * Prepares and/or reviews non-discrimination tests, top heavy tests, coverage tests, 415 annual addition tests on the largest and/or most technically complex plans - includes New Comparability plans, Multiple Employer Plan and "high profile" plans as well as additional compliance testing that must be done such as 401(a)4. May also perform and/or review more complex contribution calculations. * Ensures that assigned plans remain tax qualified by meeting all IRS and DOL reporting and testing requirements which includes reporting on all accounting and financial activity for the plan. * Maintains client database and enters changes into recordkeeping software. Completes testing and ensures quality control audit is performed. * Submits financial reports and Form 5500 package for review, correction, approval and submission to client and governing agency. * Allocates employer profit sharing, matching and/or money purchase pension contributions based upon plan provisions and submit to plan sponsor for approval. * Works with administration team to produce distributions or allocations of contributions or forfeitures based upon client approval. Ensures deadlines are identified and met. * Reviews legal plan document and all employee data and determines participant eligibility. * Reconciles and/or reviews all financial activity and prepares government forms for the largest and most technically complex plans. * Consults on, recommends and implements resolutions to client issues, satisfaction, response and any other items necessary to assure customer loyalty. * Maintains current awareness and understanding of legislative changes, IRS rulings, and expert opinions related to the processing of retirement plans. * Research new issues to determine their impact on plan qualification status and communicates with supervisor on daily processing issues. * Serves as technical expert to compliance analysts and provides resolutions to support business. * Coordinates year end processing issues with Relationship Managers/Client Service Managers. Also assists with any client calls. * Leads process improvement projects deemed necessary after annual review of internal procedures by Compliance Manager incorporating any upcoming tax law updates. * Assists in the training of new processes. * Writes reports, business correspondence, and procedure manuals; effectively presents information and responds to questions from groups of managers, clients, customers, and the general public. * Assists less experienced Compliance Analysts with day-to-day functions. * Performs other duties, as assigned, that are related to the essential operation of the department. * Applies advanced mathematical concepts utilizing current spreadsheet and accounting database software programs as well as completes detailed financial reconciliations and data analysis. * Utilizes technical skills and available tools to solve compliance issues. * Consistently meets and/or exceeds performance expectations with the ability to work under pressure in a very fast paced environment * Focuses on learning in everyday activities and events * Collaborates with and openly shares knowledge with colleagues * Regular, reliable, and punctual attendance Management Responsibilities: None Required Education, Experience and Certificates, Licenses, Registrations * 8 years of progressive plan experience in third party administration environment required. * Successful completion of the ASPPA (RPF-1 & RPF-2 exams) designation and demonstrates knowledge in areas of controlled groups, cross testing, catch-up contributions and other current technical topics. * Advanced knowledge of retirement plan tax lawn (ERISA) including Revenue Code section 401(a)(4), 416, 414(b), (c), (m), (n), as well as others. * Strong MS Office skills to include Excel. Preferred (but not required) education or skills for this role are * Bachelor's degree in a business-related field or industry experience. * QKA designation a plus. * ASC preferred. Competencies * Independent * Diplomatic * Creative Problem Solver * Integrity * Analytical Thinker * Resourceful * Team Player * Utilizes Sound Judgment * Results Driven * Thoroughness * Exhibits Personal Credibility * Written and Oral Communication Skills * Client Service Focused TRAVEL: Less than 5%. Other Duties Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice. Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate ****************** ****************** email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website. For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual work space and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 MBps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying. Ascensus provides equal employment opportunities to all associates and applicants for employment without regard to ancestry, race, color, religion, sex, (including pregnancy, childbirth, breastfeeding and/or related medical conditions), gender, gender identity, gender expression, national origin, age, physical or mental disability, medical condition (including cancer and genetic characteristics), marital status, military or veteran status, genetic information, sexual orientation, criminal conviction record or any other protected category in accordance with applicable federal, state, or local laws ("Protected Status").

The Compliance Officer is responsible for performing risk and compliance reviews in coordination with the broader Anti-Money Laundering (AML) and Know Your Client (KYC) objectives of Itaú BBA USA Securities (“IUSI”), an institutional broker-dealer and FINRA member firm. The incumbent will provide AML compliance support and expertise, including the vetting of proposed and existing customers in accordance with BSA, USA Patriot ACT, OFAC as well as internal and corporate guidelines to mitigate risk. Additionally, the Compliance Officer will assist the Chief Compliance Officer and Senior Compliance Officer with all day-to-day functions and broker-dealer compliance projects and contribute meaningfully to maintain an appropriate compliance culture throughout Itaú BBA USA Securities. Duties & Responsibilities · Review and verification of all new customer account files (e.g., KYC, CIP, AML, OFAC, Worldcheck, RIA certificate, maintaining updated information in files) and direct responsibility for maintaining Compliance Department Client Database. · Update company AML policies and procedures including periodic testing for effectiveness and alignment with corporate policies. · Oversee the process for review of transactions for suitability, accuracy, and potential suspicious activity; daily monitoring of the InfoReach system as it relates to suspicious activity and transaction monitoring. · Monitoring legal and regulatory requirements related to the Bank Secrecy Act, Patriot Act, and OFAC regulations, and guidance from U.S. and foreign regulators. · Handle FinCEN 314(a) requests including self-verification of all FinCEN 314a request and documentation thereof. Assist with AML Review/investigations of account activity. Document and report case review/investigation findings and prepare case files for review (e.g. media search results, copies of statements/checks, results from internal system searches etc.). · Liaise between various business units in gathering information for standing internal committees, such as the Internal Risk Committee (“IRC”). · Plan and assist in preparation of materials for the biannual IUSI Board Meetings. · Ensure regulatory certifications are filed in a timely fashion. This includes Canadian AML certifications, Annual CEO Certifications, and any certifications or reporting that may be required by our regulators. · Work with Middle Office and trade support teams for Itaú BBA USA Securities, Itaú Corretora de Valores SA, and other Itaú BBA affiliates in Latin America, Lisbon, and London in connection with client on-boarding and KYC renewal and maintenance. · Production and distribution of the KYC Dashboard to track renewal progress of on-boarded clients. · Ensure all new hires are properly onboarded. · Handle employee U4 registration and U5 employee termination filings with FINRA, including any broker-dealer filing updates. · Oversee administration of employee continuing examination requirements, including FINRA CE, Firm Element training, and other Firm-required training. · Assist with Annual Compliance Training and ad hoc training as required by the Firm Element training program. · Ongoing participation in response to Internal Audit requests, including maintaining audit tracking spreadsheets and requests for documentation. · Review of daily transactions, equity, fixed income and derivative transactions including but not limited to daily trade blotter review, CAT and TRACE review, and transaction monitoring. · Assist with the development, implementation, and dissemination of Written Supervisory Procedures. · Handle monthly review of all employee Personal Trading accounts including cross comparison with Black/Grey list and further approval or rejection · Assist Chief Compliance Officer and Senior Compliance Officer with other day-to-day functions and compliance projects, including shared ownership of global Compliance projects in which the Compliance department may participate. Qualifications 3+ years of experience in reviewing customer information and performing AML or financial investigations; or equivalent securities industry experience. In-depth knowledge of U.S. securities regulations, FINRA/SEC/NFA/CFTC rules, and general regulatory compliance matters. Knowledge of the laws applicable to money laundering, terrorist financing, and other applicable financial/securities related crimes (e.g., insider trading, market manipulation), including the Bank Secrecy Act (BSA), The USA PATRIOT Act, US Treasury AML guidelines, OFAC, SEC, FINRA, FRB, FinCEN requirements, and SAR requirements. Comprehensive knowledge of AML regulations preferred Solid understanding of financial products and transactions including cross-border transactions, equities and fixed income securities, DVP/RVP, private placement, asset management, security transfers, 15a-6, etc. Series 7 and/or other FINRA registrations preferred. CAMS Certification is a plus Excellent organizational, time management and project management skills. Excellent research skills, including experience with online search tools. Desire to grow as a compliance professional and to expand knowledge base and assume ownership of additional regulatory compliance matters. Advanced proficiency in Microsoft Office Suite Superior writing, analytical and communications skills. Must be organized and able to handle multiple competing priorities and complete projects on time. Strong attention to detail and follow-up skills Driven and self-motivated; an “ownership” mindset. Must have the ability to work independently, with minimal supervision, as part of a small cross-functional team. Fluent in English; Fluency in Portuguese or Spanish is highly desirable. Knowledge of Bloomberg, InfoReach, Global Relay, StarCompliance and EDGAR is helpful.

This position reports to the Associate General Counsel/Compliance Officer and is part of the Legal and Compliance Department where initiative, enthusiasm, and collaboration are critical. Our primary focus is on helping protect the company against undue risk exposure. The Compliance Specialist will assist in handling a variety of general compliance matters in supporting the department's overall compliance objectives. A Day in the Life of a Compliance Specialist • Test and monitor company compliance controls and create annual schedule for same • Support audit process and third-party compliance response • Update/draft internal policies and procedures. • Coordinate with GC/CCO and AGC/CO to expand compliance framework. • Ensure that company disclosures and materials reflect current law and regulations. • Manage compliance training and generate compliance reports. • Assist AGC/CO in compliance assessments and control implementation, particularly in regards to regulatory changes. • Contribute to company-level initiations and special projects. • Provide general support to the Legal and Compliance department What You Have • Bachelor's degree with 2-4 years of experience in a compliance role • Experience in financial services industry strongly preferred • Experience in BSA/AML, ECOA/Fair Lending and/or UDAAP preferred • Propensity to learn business requirements quickly, analyze legal and commercial risks, and propose creative, business-oriented solutions • Superior written and verbal communication skills, as well as strong organizational skills. • Skill in handling evolving priorities in a dynamic environment in a thoughtful and practical manner. • Ability to relate well to co-workers and build effective business partnerships. Base Salary Range: $65,000-$85,000 About Fora Financial Fora Financial is a technology enabled, leading provider of flexible financing to small and medium sized businesses. Since our inception in 2008, we have supported more than 55,000 merchants nationwide with over $4 billion of capital used for a variety of purposes, from funding everyday operating expenses to managing cash flow gaps to facilitating business expansion, and much more. Leveraging our proprietary technology, Fora Financial is able to deliver capital to our customers via a streamlined and simple process that can be completed in as little as 24 hours, compared with the weeks or even months it often takes for a business to receive a bank loan. Over the past seventeen years, Fora Financial has grown from two founders in a small Manhattan workspace to a company of nearly 200 employees. Fora Financial prides itself on being a partner-centric organization, offering a customized funding approach, collaborating with our small-business customers to understand their needs in a dynamic and ever-changing economic environment. We offer a competitive salary, growth potential, and a casual yet professional hybrid work environment. Located in the heart of midtown Manhattan, you can enjoy lunch downstairs listening to the summer band series or around the corner in Bryant Park. After work, you can hop on a Citi Bike to ride to the Hudson River Park, take a stroll to a show on Broadway or attend an event at Madison Square Garden. Our office sets the stage for our employees' success and well-being. We provide all the tools and support needed to maximize your career potential, in addition to perks and extras like daily breakfasts, endless snacks, catered lunches, a chill lounge/games area and more. While we work very hard, we do not take ourselves too seriously. We enjoy a family-like camaraderie that fosters a passion for success in each Fora Financial Team member. The Benefits of Working for Fora Financial: Opportunity for Advancement Medical, Dental, Vision Coverage 401k Plan with Company Match Gym Reimbursement for Employees on Medical Plans Life Insurance at No Cost to Employees Generous Time Off Plan Flexible Spending and Commuter Benefits Year End Bonus Eligibility Free breakfast, snacks, and weekly lunch in the office Hybrid work option (2 days remote per week) Fora Financial is an Equal Opportunity Employer. We are committed to fostering a diverse and inclusive workplace where all individuals are treated with respect and dignity. We do not discriminate on the basis of race, color, religion, sex, gender identity, sexual orientation, national origin, disability, age, veteran status, or any other legally protected status under local, state, or federal law. Fora Financial provides reasonable accommodations for qualified individuals with disabilities. If you need assistance or accommodations due to a disability during the application process, please contact *********************************.

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 - $190,000 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

Evergreen Federal Bank is seeking talented individuals who believe in offering exceptional customer service and enjoy making a positive difference in the community where they live. Celebrating over 90 years of operation, our institution has provided many stable careers. We offer competitive pay and a community-centric culture. We are currently accepting applications for a Compliance Specialist at our Grants Pass Headquarters location. $22 to $25 per hour, depending on experience. Job Summary and Responsibilities The Compliance Specialist assists the department to ensure the bank adheres to all applicable federal and state regulations, internal policies, and industry standards. This role supports the Compliance and BSA programs by monitoring, reviewing, and reporting on regulatory requirements, assisting with reviews, and providing guidance to staff on compliance matters. The primary focus of this position will be in assisting the Compliance and BSA Officers with a strong focus on Bank Secrecy Act (BSA) and Anti-Money Laundering (AML) compliance in order to serve as a back for the BSA Officer. A successful Compliance Specialist is organized, thorough, detail-oriented, and self-motivated. Essential duties include the following: Assist the BSA Officer with analyzing alerts and incidents generated by AML monitoring systems. Prepare and file Suspicious Activity Reports (SARs) and Currency Transaction Reports (CTRs) as required. Maintain accurate records of investigations, filings, and compliance reviews. Respond to regulatory requests (e.g., FinCEN 314(a) and 314(b) inquiries), as needed. Clear potential OFAC matches and maintain compliance documentation. Monitor compliance practices and evaluate internal controls. Conduct basic internal reviews to ensure compliance. Assist in implementing new regulations or changes to existing procedures including software transaction testing. Write reports, review documents, and assist the Compliance and BSA Officer during outside audits or regulatory examinations. Communication with internal bank staff, by phone, by email and in written form as needed. Stay updated on changes in laws, regulations, and industry standards. Requires compliance with internal policies and procedures, as well as applicable laws and regulations, including the Bank Secrecy Act. Additional responsibilities of this position are as follows: Performing Administrative Activities - Performing day-to-day administrative tasks such as maintaining information files and processing paperwork. Ongoing internal training (in-person and online) for topics related to compliance and BSA. Other duties as assigned. Eligibility Skills and Abilities Integrity and Trustworthiness Dependability Adaptability/Flexibility Attention to detail Analytic thinking Problem solving, judgment and decision making Competency with various computer systems and software programs Effective communication with people both inside and outside the organization. organization in person, in writing, by telephone and by email Organizing, planning and prioritizing work Initiative and work independently Education/Experience/Qualifications Associate's degree preferred. Minimum of two years banking experience with at least one year in Compliance/ BSA monitoring experience preferred. Computer knowledge and familiarity with Microsoft Word, Excel and Outlook. Physical Demands Must be able to remain in a stationary position for prolonged periods. Moving about the office to access file cabinets, office machinery, etc. Be able to lift/carry up to 30 lbs. Operate a computer and other office machinery, such as a calculator, copy machine, printer, scanner, and other standard office equipment. The work primarily performed in this position is done within an indoor, climate-controlled environment. Candidates must be able to complete all essential functions and physical requirements of the job with or without a reasonable accommodation. This is not necessarily an all-inclusive list of job-related responsibilities, duties, skills, requirements or working conditions. While this is intended to be an accurate reflection of the current job, management reserves the right to revise the job or to require that other or different tasks be performed as assigned. Evergreen Federal Bank is an equal opportunity and affirmative action employer including protected veterans and individuals with disabilities.

We are hiring a Compliance Specialist in our Houston, TX office. As a Compliance Specialist you will play a central role in helping Nova and its sister companies maintain and demonstrate a culture of compliance, security, and ethics. Additionally, for our companies that offer fiduciary services, the Compliance Specialist will assist with documenting fiduciary activities. The Compliance Specialist will work with senior management and other stakeholders on risk assessments and development of controls. Additionally, the Compliance Specialist will manage and coordinate our SOC audits including interacting with evidence and control owners and outside auditors. Nova will provide internal and outside training for this position. Job Responsibilities: Review compliance dashboard and follow-up with control and evidence owners as necessary Alert senior management if a control or evidence owner is not responding appropriately Communicate audit results to process owners, explore with them to identify root causes, and help them establish appropriate action plans Ensure remediation is completed in a timely manner Build and maintain a thorough understanding of the company's operational processes and systems Assist outside auditors by making available the information that is necessary to complete their reviews Select, obtain, and inspect transactions or original documentation as evidence of control performance Review evidence of control performance submitted by others to ensure appropriateness of evidence Assist in writing policies and procedures related to compliance Assist in developing controls for new risks, requirements or frameworks Schedule and facilitate fiduciary meetings Prepare meeting minutes and notes Coordinate collection of evidence for our fiduciary framework Prepare periodic reports for the Board on operating companies' compliance with fiduciary compliance Provide periodic training on select policies and related issues to staff Serve as backup for other compliance specialist(s) within the Nova family of companies Qualifications: 4-year degree Degree in a compliance-related field preferred 0-2 years of experience in compliance, internal controls, or risk management Classwork or experience with exposure to IT or coding preferred Work experience in a professional environment preferred Excellent attention to detail Exceptional organizational and project management skills Strong interpersonal skills with the ability to collaborate with control and evidence owners Ability to work with individuals at multiple levels Used to managing timelines Experience with StrikeGraph or similar software a plus Strong Microsoft suite skills Compensation and Benefits: Base Salary $55,000 - $75,000 depending on experience Salaried/non-exempt position Medical, dental, disability, and life insurance Paid time off 401(k) with employer match Work Location/Hours: Work hours: 40 hours per week You may choose a start time between 7:30 am and 8:30 am Work from our Houston, TX office located at 10777 Northwest Freeway Suite 440 Houston, TX 77092 We get it. We listen. We communicate. Click Here to review our Privacy Policy

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

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

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