Compliance Officer jobs at Popular

- 201 jobs

Sr Business Unit Risk & Compliance Officer
Popular Inc. 4.5
Compliance officer job at Popular
Company: Popular Workplace Type: Hybrid Sr Business Unit Risk & Compliance Officer Job Type Full Time General Description This role will support in the identification, assessment, and management of issues that could affect operational, compliance, reputational, or strategic risks-particularly within different business line processes and controls. Enhance and execute first-line capabilities through risk identification and measurement activities. Provide internal audit, second line review and exam support on behalf of all divisions within the Retail and Business Solutions Group. Monitor compliance with applicable federal, state, and local laws and regulations, as well as corporate policies, procedures, and programs. Support requires changes in controls, processes and procedures due to new or enhanced regulations, laws or guidance. Monitor Exam, Internal Audit and second-line recommendations or findings, assist in implementing corrective actions, and ensure timely resolution. Provide support on first-line training programs targeting risks and controls topics Essential Duties and Responsibilities Issue Identification & Risk Assessment * Identify operational, regulatory, and control issues within business units and supporting functions. * Conduct thorough risk assessments to determine and understand the impact and severity of identified issues. * Gather, analyze, and discuss information and data statistics with the supervisor to address timely matters that require attention. * Support efforts to drive root cause analysis, remediation planning, and risk reporting, ensuring timely closure of identified issues. * Perform or facilitate root cause analyses to uncover systemic issues and underlying process/control failures. * Track open issues and corrective action plans to ensure timely remediation. * Validate closure packages and support documentation to confirm sustainable resolution. * Maintain governance around issue lifecycle activities in accordance with internal policies. * Collaborate with business owners, control partners and second line of defense to define corrective actions. Complaint or Claim Support * Support in analyzing compliant issues or topics escalated for investigation and guidance. * Coordinates, investigates, and responds to customer claims from regulatory agencies within established deadlines (CFPB, FRB & OCIF among others). Investigate and provide required documentation and draft responses. * Provide support to CRC in adequate management and response of claims. * Ensure that prompt action is taken to address any identified deficiencies to comply with the applicable policies, procedures, and regulatory requirements. Essential Duties and Responsibilities (cont.) Internal Audit, Second Line and Exam Support * Support internal and external audit/regulatory exams or second line review requests, monitor recommendations or findings and ensure timely resolution, and assist in the documentation and responses. * Assist in the implementation of corrective actions in response to Internal Audit, Second Line Reviews and Examination recommendations or findings. Regulatory Changes and Controls Processes * Provide guidance and support in implementing changes in controls, processes and procedures due to new or enhanced regulations, laws or guidance. * Ensure all processes and procedures comply with policies and regulations by partnering with all divisions within the Retail and Business Solutions Group. * Support in the implementation of Control Frameworks (e.g., Risk Control Policy, Control Standard, Issue Management Policy, Lesson Learned Policy, and Control Inventory). * Identify, assess, record, and respond to Compliance Risk events, ensuring accurate and timely capture per requirements. * Apply identified rules, regulations, and laws to assist in designing and implementing proper controls. * Identify risks and emerging trends through analysis of assessment results, key risk indicators, and risk event data. Training Support and Liaison with Second Line * Provide support on first-line training programs targeting risks and controls topics. * Serve as liaison between the Business Risk and Controls Division and the Second Line on a range of compliance-related topics. Education Bachelor's degree in business administration or related field. Experience Seven (7+) years of proven combined progressive experience in operational risk, business controls, compliance, internal audit, and/or legal in a banking or financial industry. Seven (7+) years of experience in credit cards, deposits, loans or commercial banking products. Certifications / Licenses No certifications or license needed. Knowledge, Skills & Abilities (KSA's) * Strong business acumen: ability to understand the needs and concerns of business stakeholders and colleagues and respond promptly and effectively to stakeholder requests. An ability to conduct analysis of work procedures and business results and recommend changes to improve the effectiveness of the business' management. * Strong technical acumen: knowledge of banking products, services, policies, procedures, and regulations. Knowledgeable of applicable laws and regulations (e.g. FDIC, CFPB, OCIF), and/or demonstrated capacity to gain an understanding of all relevant details in regulatory framework that impacts the operation. Robust knowledge of applicable local and federal laws, regulations, and guidelines. * Communication skills: effectively interact with internal and external stakeholders. Ability to foster trusting relationships with colleagues and clients. Highly develop written and verbal communications skills in English. Presents numerical data effectively. Superior communication and interpersonal skills. Excellent report-writing and presentation skills. Polished in preparing presentations, executive summaries, and business reports in English for executive audiences. * Analytical skills: Stays focused on main issues, prevents irrelevant issues or distractions from interfering with timely completion of assignments. Collects, research and complements data; Synthesizes complex or diverse information. Demonstrates attention to detail; Applies design principles; Generate creative solutions. Strong quantitative, research and analytical skills. Experience with data analysis, persuasive and informative writing, workload management, and process management. Knowledge, Skills & Abilities (cont.) * Problem Solving: Identifies and resolves problems in a timely manner; Develops alternative solutions. * Project Management: Ability to prioritize and work with multiple projects and tasks with minimum supervision; self-direct and task switch between strategic and tactical initiatives regularly. Capacity to achieve results according to plan ensuring the expected quality. Excellent organization capacity to define priorities, meet deadlines, and flexible to change. Knowledge of project coordination, identification of business needs, work plan, budget control, time management, resource allocation, team management and status reports. Must demonstrate leadership, logic, and reasoning skills. Strong understanding of Agile methodologies, particularly Scrum or Kanban. * Operational/Regulations Processes: Knowledge of budget administration, resources allocation, organization's policies, and regulations. Ability to establish, conduct and track operational processes properly. * Computer and Technological Skills: Proficient in MSO 365. Experience with tracking and project management tools such as: JIRA; proficient in PowerApps and data visualization and design tools such as: Power BI, among others, is desired. Ability to achieve results by providing innovative ways of working with operational and technological considerations. Region Locations Puerto Rico Work Schedule Hybrid (3/2) Values 1. Passion for People 2. Own Every Moment 3. Succeed Together 4. Build the Future Additional Requirements The information provided here is only a general guide as to the nature of the position and does not constitute an exact description of the goals, tasks, duties, and responsibilities of the position. The specific details of each position are described in the employee's performance evaluation. Important: The candidate must provide evidence of academic preparation or courses related to the job posting, if necessary. ABOUT US Popular is Puerto Rico's leading financial institution and have been evolving since it was founded over a century ago. From a small bank it has developed into a large corporation that offer a wide variety of services and financial solutions to our customers, with presence in the United States, the Caribbean and Latin America. As employees, we are dedicated to making our customers dreams come true by offering financial solutions in each stage of their life. Our extensive trajectory demonstrates the resiliency and determination of our employees to innovate, reach for the right solutions and strongly support the communities we serve; therefore, we value their diverse skills, experiences and backgrounds. We reaffirm our commitment to always offer essential financial services and solutions for our customers and communities, including during emergency situations and/or natural disasters. Popular's employees are considered essential workers, whose role is critical in the continuity of these important services even under such circumstances. By applying to this position, you acknowledge that Popular may require your services during and immediately after any such events. If you have a disability or need more information about requesting an accommodation, please contact us at ***************************. This email inbox is monitored for such types of requests only. All information you provide will be kept confidential and will be used only to the extent required to provide needed exemptions or reasonable accommodations. Any other correspondence will not receive a response. Are you ready for a rewarding career? Popular is an Equal Opportunity Employer Learn more about us at *************** and keep updated with our latest job postings at ********************* Connect with us! LinkedIn | Facebook | Twitter | Instagram If you are a California resident, please click here to learn more about your privacy rights.
$50k-68k yearly est. 21d ago
Compliance Officer-Deposits
City National Bank 4.9
New York, NY jobs
WHAT IS THE OPPORTUNITY? Position is responsible for performing risk analysis and assessment of compliance regulations, identifying risks and controls, monitoring business unit control environment, drafting and maintaining remediation plans and issues tracking logs, and escalation of compliance issues. The incumbent is responsible for playing a critical role in the issues remediation strategy for compliance identified issues and ensuring issues are closed in a manner which both adheres to the regulatory requirements and ensures business continuity. WHAT WILL YOU DO? Reviews/challenges compliance risk assessments, analyzing the Bank's compliance risk; determine if current processes control risk. Analyze new and changing laws and regulations and development of implementation strategies. Maintain updates to compliance policies, procedures, and training for new or revised laws and regulations. Assist the Compliance Manager, Senior Compliance Officer, and Risk Assessment team with the evaluation of compliance testing program and processes. Performs research on regulations and provides guidance to business operations (divisions) on compliance requirements. Create, maintain and update reporting of compliance test results along with comparable line of business QA testing results. Conduct meetings to discuss testing and risk assessment results and lead line of business to remediation plans. Works with Senior Compliance Officer, Compliance Manager to maintain audit tracking logs and other tracking reports as deemed necessary. Conduct regulatory compliance monitoring activities as assigned and maintain appropriate work papers Performs compliance reviews on specific loan-level accounts, as required. Complies fully with all Bank Compliance policies and procedures as well as all regulatory requirements (e.g. Bank Secrecy Act, Community Reinvestment Act, Fair Lending Practices, Code of Conduct, etc.). Provide guidance on regulations, requirements, and Bank procedures. Conducting and documenting reviews and addressing findings with employees and supervisors. Drafting and maintaining employee training for assigned topic areas. Analyze the Bank's compliance risk; determine if current processes control risk. Completes all required training. Other duties and special projects as assigned. WHAT DO YOU NEED TO SUCCEED? Required Qualifications Bachelor's Degree or equivalent Minimum 5 years' experience working with Federal and State compliance regulatory matters Minimum 5 years' experience in banking, consumer finance, retail banking compliance, mortgage banking or working in a legal department Minimum 3 years' experience with managing projects or processes Additional Qualifications College degree preferred. Relevant, equivalent work experience may be substituted for degree preference. Good knowledge and relevant work experience with bank credit, deposit, operations regulations (as applicable/assigned). Knowledge and experience with traditional bank products and services and/or reviewing marketing materials is a plus. Knowledge of Regulations E, CC, DD and activities relating to digital account services. Ability to influence/motivate others to produce desired results. Ability to operate effectively in a fast paced environment. Excellent organizational and analytical skills. Ability to communicate clearly and professionally with all levels of an organization. Excellent written and verbal communications skills. Effective interpersonal skills. Proficiency in multi-tasking and prioritizing projects. Excellent time management skills and be accustomed to working with deadlines. Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or Certified Financial Services Auditor (CFSA) designation a plus. Experience communicating and interacting with regulatory agencies, including exam management and other regulatory affairs. WHAT'S IN IT FOR YOU? Compensation Starting base salary: $77,000 - $143,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions. Benefits and Perks At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including: Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date Generous 401(k) company matching contribution Career Development through Tuition Reimbursement and other internal upskilling and training resources Valued Time Away benefits including vacation, sick and volunteer time Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs Career Mobility support from a dedicated recruitment team Colleague Resource Groups to support networking and community engagement Get a more detailed look at our Benefits and Perks . ABOUT US Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at About Us . INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENT City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law. It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability. Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. accepts applications on an ongoing basis, until filled. Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.
$77k-143k yearly 8h ago
Remote Retirement Plan Compliance Analyst
Ascensus 4.3
Miami, FL jobs
FuturePlan is the nation's largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds: high-touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined together to deliver unmatched levels of service, innovation and expertise to a fast-growing client base from coast to coast. The FuturePlan team includes more than 500 credentialed plan professionals, 60 actuaries, and one of the industry's largest in-house ERISA teams. Learn more at FuturePlan.com. Section 1: Position Summary Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. * We have several openings for this role.* Section 2: Job Functions, Essential Duties and Responsibilities * Ability to successfully complete and support the work outlined for the Compliance Associate roles * Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations. * Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information * Supports DOL, IRS, and Large plan audits * Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans * Is responsible for plan administration, compliance and testing for identified blocks of business * Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines * Prepares annual valuation and compliance reports for Clients * Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents * Supports and completes assigned quality assurance reviews * Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients. * Our I-Client service philosophy and our Core Values of People Matter, Quality First and Integrity Always should be visible in your actions on a day-to-day basis showing your support of our organizational culture. * Assist with other tasks and projects as assigned Section 3: Experience, Skills, Knowledge Requirements * Bachelor's degree preferred * 3 to 8+ years of hands-on Retirement plan testing experience will be considered * Experience doing Employer Calculations * Must have experience with 5500's and other relevant documents * Experience with cash basis and/or trust accounting * Strong Word, Excel, and Outlook skills * Strong written and oral communication skills * Strong analytical and problem-solving skills * Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters * Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements * QKA designation preferred but not required * Involvement or work towards associates QPA designation preferred * Prior experience with plan administration software, i.e. FT Williams or ASC preferred. The national average salary is $65,000 - $95,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis. Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits. We are proud to be an Equal Opportunity Employer Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate ****************** ****************** email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website. For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual work space and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 MBps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying. Ascensus provides equal employment opportunities to all associates and applicants for employment without regard to ancestry, race, color, religion, sex, (including pregnancy, childbirth, breastfeeding and/or related medical conditions), gender, gender identity, gender expression, national origin, age, physical or mental disability, medical condition (including cancer and genetic characteristics), marital status, military or veteran status, genetic information, sexual orientation, criminal conviction record or any other protected category in accordance with applicable federal, state, or local laws ("Protected Status").
$65k-95k yearly 46d ago
Remote Retirement Plan Compliance Analyst
Ascensus 4.3
Tampa, FL jobs
FuturePlan is the nation's largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds: high-touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined together to deliver unmatched levels of service, innovation and expertise to a fast-growing client base from coast to coast. The FuturePlan team includes more than 500 credentialed plan professionals, 60 actuaries, and one of the industry's largest in-house ERISA teams. Learn more at FuturePlan.com. Section 1: Position Summary Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. * We have several openings for this role.* Section 2: Job Functions, Essential Duties and Responsibilities * Ability to successfully complete and support the work outlined for the Compliance Associate roles * Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations. * Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information * Supports DOL, IRS, and Large plan audits * Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans * Is responsible for plan administration, compliance and testing for identified blocks of business * Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines * Prepares annual valuation and compliance reports for Clients * Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents * Supports and completes assigned quality assurance reviews * Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients. * Our I-Client service philosophy and our Core Values of People Matter, Quality First and Integrity Always should be visible in your actions on a day-to-day basis showing your support of our organizational culture. * Assist with other tasks and projects as assigned Section 3: Experience, Skills, Knowledge Requirements * Bachelor's degree preferred * 3 to 8+ years of hands-on Retirement plan testing experience will be considered * Experience doing Employer Calculations * Must have experience with 5500's and other relevant documents * Experience with cash basis and/or trust accounting * Strong Word, Excel, and Outlook skills * Strong written and oral communication skills * Strong analytical and problem-solving skills * Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters * Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements * QKA designation preferred but not required * Involvement or work towards associates QPA designation preferred * Prior experience with plan administration software, i.e. FT Williams or ASC preferred. The national average salary is $65,000 - $95,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis. Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits. We are proud to be an Equal Opportunity Employer Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate ****************** ****************** email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website. For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual work space and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 MBps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying. Ascensus provides equal employment opportunities to all associates and applicants for employment without regard to ancestry, race, color, religion, sex, (including pregnancy, childbirth, breastfeeding and/or related medical conditions), gender, gender identity, gender expression, national origin, age, physical or mental disability, medical condition (including cancer and genetic characteristics), marital status, military or veteran status, genetic information, sexual orientation, criminal conviction record or any other protected category in accordance with applicable federal, state, or local laws ("Protected Status").
$65k-95k yearly 46d ago
Remote Retirement Plan Compliance Analyst
Ascensus 4.3
Newark, NJ jobs
FuturePlan is the nation's largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds: high-touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined together to deliver unmatched levels of service, innovation and expertise to a fast-growing client base from coast to coast. The FuturePlan team includes more than 500 credentialed plan professionals, 60 actuaries, and one of the industry's largest in-house ERISA teams. Learn more at FuturePlan.com. Section 1: Position Summary Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. * We have several openings for this role.* Section 2: Job Functions, Essential Duties and Responsibilities * Ability to successfully complete and support the work outlined for the Compliance Associate roles * Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations. * Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information * Supports DOL, IRS, and Large plan audits * Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans * Is responsible for plan administration, compliance and testing for identified blocks of business * Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines * Prepares annual valuation and compliance reports for Clients * Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents * Supports and completes assigned quality assurance reviews * Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients. * Our I-Client service philosophy and our Core Values of People Matter, Quality First and Integrity Always should be visible in your actions on a day-to-day basis showing your support of our organizational culture. * Assist with other tasks and projects as assigned Section 3: Experience, Skills, Knowledge Requirements * Bachelor's degree preferred * 3 to 8+ years of hands-on Retirement plan testing experience will be considered * Experience doing Employer Calculations * Must have experience with 5500's and other relevant documents * Experience with cash basis and/or trust accounting * Strong Word, Excel, and Outlook skills * Strong written and oral communication skills * Strong analytical and problem-solving skills * Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters * Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements * QKA designation preferred but not required * Involvement or work towards associates QPA designation preferred * Prior experience with plan administration software, i.e. FT Williams or ASC preferred. The national average salary is $65,000 - $95,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis. Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits. We are proud to be an Equal Opportunity Employer Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate ****************** ****************** email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website. For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual work space and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 MBps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying. Ascensus provides equal employment opportunities to all associates and applicants for employment without regard to ancestry, race, color, religion, sex, (including pregnancy, childbirth, breastfeeding and/or related medical conditions), gender, gender identity, gender expression, national origin, age, physical or mental disability, medical condition (including cancer and genetic characteristics), marital status, military or veteran status, genetic information, sexual orientation, criminal conviction record or any other protected category in accordance with applicable federal, state, or local laws ("Protected Status").
$65k-95k yearly 46d ago
Analyst, PGIM Global Marketing and Distribution Compliance
PGIM 4.5
Newark, NJ jobs
Job Classification: Corporate - Legal and Compliance Prudential Financial companies serve individual and institutional customers worldwide and include The Prudential Insurance Company of America, one of the largest life insurance companies in the United States. These companies offer a variety of products and services, including life insurance, mutual funds, annuities, pension and retirement-related services and administration, asset management, banking and trust services, real estate brokerage franchises, and relocation services. For more information, visit ******************* PGIM Global Marketing and Distribution Compliance is seeking an Analyst role to be in Newark, N.J. The analyst will work within the Compliance organization to support the global regulatory, contractual, and compliance requirements associated with the activities of the registered investment adviser. PGIM is the principal asset management business of Prudential Financial. The Analyst will support the compliance team to transform and evolve the existing compliance program through the on-going development of efficient, consistent and effective policies and programs. This includes but is not limited to the development of compliance culture, awareness, training, monitoring and testing, reporting and metrics, maintenance of books and records and documentation. The role will primarily focus on supporting the marketing and distribution activities for affiliated business teams with the review and approval of marketing materials and other advertising collateral promoting the PGIM business and developing enhanced processes within a centralized team. Additional focus will be to support and partner with sales and product management teams around sales practices to provide proactive regulatory guidance on initiatives, product development, fund launches and brand campaigns. The role also involves supporting strategic initiatives across PGIM, as well as broader corporate compliance mandates. The current EWA for this position is Hybrid or Remote and requires your on-site presence on a reoccurring basis as determined by your business. Your manager will provide additional details relative to the specific number of days you are expected to be on-site. What you can expect: The scope and responsibilities of this role will not be static. As business needs and compliance objectives change, the responsibilities of the position are expected to evolve to meet the changing regulatory landscape and departmental deliverables. Responsibilities include: * Support PGIM Global Marketing and Distribution Compliance in designing an effective compliance program to prevent, detect and mitigate violations of all applicable law, regulation, and Prudential policies: * Provide compliance support to global marketing and distribution activities. * Conduct thorough reviews of all marketing and advertising materials- including print, digital, social media, and presentations- to ensure compliance with SEC, FINRA, and other applicable regulatory requirements. * Coordinate with compliance, legal, and business partners to develop solutions and provide business teams guidance on regulatory best practices. * Proactively maintain up-to-date knowledge of relevant regulations, including SEC Rule 206(4)-1(Marketing Rule), FINRA Rule 2210(Communications with the Public), and other applicable rules and interpretive guidance. * Demonstrate a solution-oriented mindset, effectively collaborate with business partners and other teams, provide timely, quality work product, meet manager standards and deadlines; and assist in managing the department's deliverables. What you'll need: A successful candidate will have intellectual curiosity, business acumen, and be solutions oriented. The successful candidate also will possess an ownership mindset and is comfortable navigating uncertainty. Other required qualifications include: * Marketing and communication review experience required, particularly reviews of adviser and separate account materials. Prior experience with mutual funds, ETFs, non-registered products, CITs, UCITs, and private funds a plus. * Demonstrated understanding of the regulatory framework for the marketing and distribution of separate accounts and other investment products (e.g., mutual funds, ETFs, 3c7, collective funds). * FINRA Series 7 and 24 are preferred, but not mandatory for consideration. Candidates without these licenses will be given the opportunity to obtain. #LI-Remote What we offer you: Prudential is required by state specific laws to include the salary range for this role when hiring a resident in applicable locations. The salary range for this role is from $83,500.00 to $129,500.00. Specific pricing for the role may vary within the above range based on many factors including geographic location, candidate experience, and skills. * Market competitive base salaries, with a yearly bonus potential at every level. * Medical, dental, vision, life insurance, disability insurance, Paid Time Off (PTO), and leave of absences, such as parental and military leave. * 401(k) plan with company match (up to 4%). * Company-funded pension plan. * Wellness Programs including up to $1,600 a year for reimbursement of items purchased to support personal wellbeing needs. * Work/Life Resources to help support topics such as parenting, housing, senior care, finances, pets, legal matters, education, emotional and mental health, and career development. * Education Benefit to help finance traditional college enrollment toward obtaining an approved degree and many accredited certificate programs. * Employee Stock Purchase Plan: Shares can be purchased at 85% of the lower of two prices (Beginning or End of the purchase period), after one year of service. Eligibility to participate in a discretionary annual incentive program is subject to the rules governing the program, whereby an award, if any, depends on various factors including, without limitation, individual and organizational performance. To find out more about our Total Rewards package, visit Work Life Balance | Prudential Careers. Some of the above benefits may not apply to part-time employees scheduled to work less than 20 hours per week. Prudential Financial, Inc. of the United States is not affiliated with Prudential plc. which is headquartered in the United Kingdom. Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, ancestry, sex, sexual orientation, gender identity, national origin, genetics, disability, marital status, age, veteran status, domestic partner status, medical condition or any other characteristic protected by law. If you need an accommodation to complete the application process, please email accommodations.hw@prudential.com. If you are experiencing a technical issue with your application or an assessment, please email *************************************** to request assistance.
$83.5k-129.5k yearly Auto-Apply 40d ago
Analyst, Compliance Registrations
Cantor Fitzgerald 4.8
Jacksonville, FL jobs
We are seeking a Compliance Analyst to join our team in Jacksonville, FL. This role is crucial in maintaining the firm's compliance with regulatory bodies. The ideal candidate will have a strong understanding of securities and futures regulations and be able to work collaboratively with various teams. They will assist in preparing and filing regulatory forms, tracking deadlines, and ensuring the firm's compliance calendar is up-to-date. Bachelor's degree is required, with a preference for coursework or internships in compliance, finance, or legal studies. 0-2 years of experience in compliance, legal, or regulatory functions is preferred. Basic familiarity with securities and futures regulations is essential. Exposure to FINRA Gateway, NFA ORS, or EDGAR is an advantage. Strong organizational skills, attention to detail, and the ability to meet deadlines are crucial. Excellent written and verbal communication skills are required. Eagerness to learn and the ability to work independently and in a team are key attributes. Proficiency in Microsoft Office Suite (Excel, Outlook, Word) is necessary. High integrity, discretion, and professionalism are expected. A willingness to undergo training for specific platforms and regulations is beneficial. Monitor and maintain firm and individual registrations on FINRA Web CRD, IARD, and NFA ORS platforms. Assist with the preparation and filing of regulatory forms, including U4, U5, BD, BR, 8-R, 8-T, ADV, and 7-R. Collaborate with Legal, HR, and supervisory teams to meet Rule 4530 reporting and disclosure obligations. Help track deadlines and update the compliance calendar for timely regulatory filings and renewals. Support the opening of qualification exam windows, monitor exam activity, and maintain records. Assist with the firm's Continuing Education program by tracking module completion. Perform pre-hire registration checks, including background reviews and fingerprint submissions. Coordinate study materials for licensing exams and continuing education. Communicate with regulators to resolve registration issues and support inquiries. Draft correspondence to regulatory bodies under supervision.
$63k-87k yearly est. Auto-Apply 35d ago
Origination Compliance Analyst
Cpa Search 3.4
Cherry Hill, NJ jobs
Responsibilities •Assist in the development and maintenance of the firm's compliance implementation and risk assessment programs to ensure the firm is in compliance with applicable laws, regulations and agency guidelines related to mortgage origination •Recommend, develop and implement changes to existing and proposed procedures, policies and programs •Assist in the revision, reparation and dissemination of new and updated compliance standards and procedures •Keep abreast of regulatory and legal developments governing mortgage origination •Provide advice, guidance and insight to Origination Senior Management and staff personnel on emerging compliance issues and consults and guides the firm in establishment of controls to mitigate risk •Provide assistance to various departments in the formulation of forms and disclosure documents for compliance with all laws, regulations, investor programs and internal policies and procedures •Identify, communicate and help develop compliance education programs and provide compliance training •Draft summaries of legislative changes and help publish compliance bulletins •Assist the origination support units in the design and implementation of any legislative or regulatory changes •Develop training, test plans or reporting as necessary to ensure an understanding of new regulations or legislation •Help draft effective compliance policies and procedures; ensure Compliance Policy and Procedures manuals are current •Assist in completing annual compliance test plans and maintenance of compliance risk assessments •Understand federal regulatory compliance statutes, regulations, state laws and their impact on existing origination or servicing policy and business practices •Assess and rank compliance risk relative to all federal compliance regulations and state laws, taking into account the potential civil penalties, reputational risk, regulatory risk, scope, controls and potential for non-compliance •Complete periodic assessment reviews and transactional testing of business processes with federal and state regulatory compliance impact •Execute special projects as required Qualifications Requirements: •Bachelor's Degree in Finance or Accounting required •3+ years of Mortgage Banking, Regulatory Compliance or Auditing experience •Highly motivated, self directed, proactive, self-disciplined and team-oriented •Ability to work independently and under pressure in a fast-paced and dynamic environment handling multiple competing tasks simultaneously to closure •Excellent oral and written communication and interpersonal skills, strong work ethic, and critical thinking skills •Proficient in Microsoft Applications including Excel, Word and PowerPoint •Demonstrated ability to cope with a rapidly changing regulatory environment on a federal and state level Additional Information All your information will be kept confidential according to EEO guidelines.
$60k-86k yearly est. 19h ago
Director, Code of Ethics Compliance
Virtus Investment Partners 4.1
New York jobs
Virtus is dedicated to the success of employees and helping everyone on our team achieve their goals. We are a dynamic, fast-growing organization with the resources of a large firm and the innovative environment of an entrepreneurial company that promotes collaboration and employee engagement. Every member of our team is empowered to make a tangible impact in offering clients high-quality investment strategies to meet their financial needs and delivering value for our shareholders. We are an organization where employees can thrive personally and professionally. Professional development opportunities help employees enhance their skills and grow in their careers. Meaningful financial rewards and a comprehensive package of benefits support employees at every stage of life and encourage work-life balance, and physical, emotional and mental well-being. We believe in the value of a diverse, inclusive, and respectful work environment and are committed to making a positive impact in the communities where we live and work. Job Description This position leads the team responsible for all matters related to the implementation of the Virtus Code of Conduct and Adviser Code of Ethics, as well as the Gifts, Entertainment and Inducements, Outside Activities, Political and PAC Contributions, and other related policies and procedures (collectively, the “Policies”). The role involves managing the administration team, contributing to policy administration, recommending policy enhancements, and overseeing the design, implementation, and monitoring of compliance protocols. Additionally, the position manages special projects, including system implementations and upgrades of the STARCompliance system, and the integration of new investment managers. Primary Job Responsibilities: Manages compliance staff responsible for administering the Policies and contributes individually as needed. Interprets, advises, administers, and monitors the Policies; conducts inquiries and reviews, and maintains supporting files. Reviews and analyzes personal employee trading and exception reports to identify violations, warnings, or patterns. Demonstrates thorough knowledge of applicable regulations in interpreting fact patterns and identifying potential violations. Administers employee reporting processes, including analysis, follow-up, and compilation of results. Ensures that the Policies are designed to prevent and identify violations of securities laws and are fully implemented and operating effectively. Ensures that forensic testing protocols are functioning properly in compliance monitoring systems and manual calculations as required. Ensure that data feeds and reports to/from the STARCompliance system are complete and accurate. Ensures a robust system of internal controls, including data completeness and accuracy, audit trails, protection of sensitive employee information, and documentation of procedures related to Policy administration. Lead subject matter expert in administering the Policies, demonstrating expertise in regulations and industry developments related to the Policies. Propose necessary Policy amendments and system enhancements. Ideal Qualifications Bachelor's degree, preferably with business focus in accounting/finance. FINRA Series 7 or 24, a plus. Minimum of 5-10 years of progressive experience at investment advisory firms. Must have experience with the design and administration of advisers, mutual fund and broker-dealer codes of ethics, personal trading, and related policies, as well as working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940. 3-5 years of previous experience managing people. Strong communication skills, both written and verbal, are critical as this role requires enterprise-wide visibility. Intermediate knowledge of MS Excel, MS Word and managing large amounts of numeric data. Expertise in employee compliance systems, including STARCompliance, is strongly preferred. Experience in portfolio guidelines systems (Charles River, Bloomberg, BNY DRAS, etc.) a plus. Strong analytical, problem-solving skills, comfortable analyzing large volumes of data, and attention to detail. Ability to influence others to successfully implement compliance initiatives. Ability to prioritize multiple tasks and work under pressure while maintaining attention to detail and collaborate with fellow team members to achieve objectives within the project timeline. The salary range for this position is $113,000 to $138,000. The starting salary offer will vary based on the applicant's education, experience, skills, abilities, geographic location, internal equity, and alignment with market data. This position is also eligible to participate in the annual incentive plan.
$113k-138k yearly Auto-Apply 60d+ ago
Analyst, Compliance Registrations
BGC Partners 4.7
Jacksonville, FL jobs
We are seeking a Compliance Analyst to join our team in Jacksonville, FL. This role is crucial in maintaining the firm's compliance with regulatory bodies. The ideal candidate will have a strong understanding of securities and futures regulations and be able to work collaboratively with various teams. They will assist in preparing and filing regulatory forms, tracking deadlines, and ensuring the firm's compliance calendar is up-to-date. * Monitor and maintain firm and individual registrations on FINRA Web CRD, IARD, and NFA ORS platforms. * Assist with the preparation and filing of regulatory forms, including U4, U5, BD, BR, 8-R, 8-T, ADV, and 7-R. * Collaborate with Legal, HR, and supervisory teams to meet Rule 4530 reporting and disclosure obligations. * Help track deadlines and update the compliance calendar for timely regulatory filings and renewals. * Support the opening of qualification exam windows, monitor exam activity, and maintain records. * Assist with the firm's Continuing Education program by tracking module completion. * Perform pre-hire registration checks, including background reviews and fingerprint submissions. * Coordinate study materials for licensing exams and continuing education. * Communicate with regulators to resolve registration issues and support inquiries. * Draft correspondence to regulatory bodies under supervision.
$48k-73k yearly est. Auto-Apply 35d ago
Claims Compliance Analyst
Arch Capital Group Ltd. 4.7
Jersey City, NJ jobs
With a company culture rooted in collaboration, expertise and innovation, we aim to promote progress and inspire our clients, employees, investors and communities to achieve their greatest potential. Our work is the catalyst that helps others achieve their goals. In short, We Enable Possibility℠. Position Overview The Shared Services Team is seeking a new team member who thrives in a highly collaborative team-oriented environment. The Claims Compliance Analyst will report directly the Vice President of Claims Compliance. The Claims Compliance Analyst position requires supporting the Claims organization with all facets of general compliance requirements, including reconciling, regulatory reporting and responding to compliance related inquiries. Responsibilities: Audit Coordination * Serve as an initial contact and assist with the coordination of Claims Audits that are conducted by the various State DOIs. Will serve as primary intermediary between the business, handling entity, and the State Departments. * Receive and interpret preliminary audit requests by the State Departments. Analyze and assess audit reports that are issued by the State Departments to identify performance issues. Communicate the results to Arch Claims Senior Leadership TPA Corporate Contacts (if applicable). * Assist with the review of state report cards and metrics on claims processing and reporting and work with TPAs and Arch staff to remediate any issues. Regulatory Reporting * Gather data from TPAs and/or Arch data reports to prepare Compliance managed regulatory reports and data calls. Timely submit state specific annual/quarterly reports where required. * Review and analyze Claims Bulletins related to Regulatory Reports, communicate internally and/or to the TPAs as needed, and monitor implementation of new requirements where appropriate * Assist with Electronic Data Interchange (EDI) reporting Other Compliance Activities * Support maintenance of compliance library and claims correspondence * Provide compliance support for Medicare Reporting * Assist with internal audit and regulatory reviews * Other ad hoc compliance related tasks, as needed. Experience and Required Skills: * General P&C claims knowledge, adjusting experience preferred * Efficient organization and project management skills * Familiarity with the suite of Microsoft products such as Excel, Word, PowerPoint, etc. * Ability to effectively communicate ideas, issues and solutions. Education * Bachelor's degree required * 2 + years Commercial Lines Claims Experience * Ability to communicate effectively with internal and external business partners as well as state regulatory authorities * Familiarity with Medicare Secondary Payer (MSP) and Section 111 Reporting #LI-SW1 #LI-HYBRID For individuals assigned or hired to work in the location(s) indicated below, the base salary range is provided. Range is as of the time of posting. Position is incentive eligible. $71,900 - $97,110/year * Total individual compensation (base salary, short & long-term incentives) offered will take into account a number of factors including but not limited to geographic location, scope & responsibilities of the role, qualifications, talent availability & specialization as well as business needs. The above pay range may be modified in the future. * Arch is committed to helping employees succeed through our comprehensive benefits package that includes multiple medical plans plus dental, vision and prescription drug coverage; a competitive 401k with generous matching; PTO beginning at 20 days per year; up to 12 paid company holidays per year plus 2 paid days of Volunteer Time Offer; basic Life and AD&D Insurance as well as Short and Long-Term Disability; Paid Parental Leave of up to 10 weeks; Student Loan Assistance and Tuition Reimbursement, Backup Child and Elder Care; and more. Click here to learn more on available benefits. Do you like solving complex business problems, working with talented colleagues and have an innovative mindset? Arch may be a great fit for you. If this job isn't the right fit but you're interested in working for Arch, create a job alert! Simply create an account and opt in to receive emails when we have job openings that meet your criteria. Join our talent community to share your preferences directly with Arch's Talent Acquisition team. For Colorado Applicants - The deadline to submit your application is: November 25, 2025 14400 Arch Insurance Group Inc.
$71.9k-97.1k yearly Auto-Apply 14d ago
Compliance Analyst
Jane Street 4.4
New York jobs
We are looking for a Compliance Analyst to support the day-to-day operations of our Legal & Compliance team and drive a variety of projects. In this role, you'll work alongside seasoned colleagues to maintain the documentation, controls, and processes that keep our surveillance workflows running smoothly. You'll also serve as a key liaison between our team and the rest of the firm, often acting as a first point of contact for traders, technologists, and other colleagues. Additional responsibilities of the role will include: Maintaining and updating market maker lists, including registrations and ongoing changes Updating restricted and sanctions lists, ensuring accuracy and timely distribution Performing information barrier checks, verifying that client order permissions are set appropriately for traders Disclosing new accounts to exchanges and track submissions through completion Reviewing options market maker report cards from exchanges, summarizing findings, and helping to follow up on any required actions Gathering and organizing information needed for securities class action claims About You 1-3 years of experience in a legal & compliance environment; no specific regulatory or policy exposure required Proactive self-starter with excellent attention to detail, organization, and follow-through Discrete and trustworthy; able to use good judgment to make real-time decisions Clear, concise communicator with colleagues and external partners Comfortable asking questions, surfacing issues early, and owning mistakes Reliable and flexible team player with a positive attitude and learns quickly from feedback Able to work independently, escalate when necessary and proactively drive tasks and projects to completion If you're a recruiting agency and want to partner with us, please reach out to ********************************** .
$80k-104k yearly est. Auto-Apply 60d+ ago
Analyst - Compliance Global Anti-Corruption
American Express 4.8
Sunrise, FL jobs
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career. Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express. How will you make an impact in this role? The Global Anti-Corruption (GAC) team is responsible for the day-to-day management of the Company's Anti-Corruption Program, providing support to leadership and colleagues and issuing guidelines on topics such as meals, gifts, and entertainment; anti-corruption third party due diligence; monitoring of external incentive programs; hiring; and payments monitoring. Specific responsibilities for analysts include writing, editing, and updating procedures; collecting and analyzing data for risk assessments; conducting entity analysis to determine state ownership; responding to questions directed to the GAC mailbox; providing specialized trainings to line of business and compliance staff; conducting ad hoc and programmatic reviews; and developing and enhancing processes for compliance controls, testing, and reporting. Minimum Qualifications * Bachelor's degree and/or relevant professional qualification preferred (Law Degree, Compliance/AML Diploma, CAMS Certification with a Legal/Compliance/Control/Auditing background) * Strong computer knowledge; excellent MS Word, Excel, Visio, and PowerPoint skills * Must be self-motivated, dependable, adaptable, and detail-oriented with a proven ability to work independently or within a team environment * Ability to manage competing priorities under demanding deadlines * Demonstrate excellent verbal and written communication skills Preferred Qualifications * 1-3 years of Anti-Corruption, Sanctions, or AML experience * Analytical skills, attention to detail and ability to review data and report. * Expert-level Excel skills (e.g. complex calculations, pivot tables creation / manipulation, macros). * Proven ability to develop presentation materials with clear and concise messaging Guardian Salary Range: $65,500.00 to $102,500.00 annually + bonus + benefits The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors. We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally: * Competitive base salaries * Bonus incentives * 6% Company Match on retirement savings plan * Free financial coaching and financial well-being support * Comprehensive medical, dental, vision, life insurance, and disability benefits * Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need * 20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy * Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) * Free and confidential counseling support through our Healthy Minds program * Career development and training opportunities For a full list of Team Amex benefits, visit our Colleague Benefits Site. American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions. We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually. US Job Seekers - Click to view the "Know Your Rights" poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: *************************** Employment eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions.
$65.5k-102.5k yearly 4d ago
Analyst-Compliance -Global Sanctions Governance- NPG/M&A Support
American Express 4.8
Sunrise, FL jobs
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career. Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express. How will you make an impact in this role? Global Sanctions is responsible for developing and maintaining an effective, risk-based enterprise-wide sanctions program that focuses on establishing minimum standards, overseeing effective screening processes, completing the Sanctions Risk Assessment, developing and administering training, providing reporting and key risk indicators, and serving as the Subject Matter Experts to support all business and compliance teams. The Global Sanctions Governance- Screening Implementation Analyst will serve as the central Sanctions contact for all new products and M&A support to ensure each project is analyzed for Sanctions requirements and the appropriate sign off is provided upon confirmation of Sanctions adherence. * Will attend the NPA/M&A meetings and serve as the sanctions subject matter expert on the calls. * Review the project details to ensure sanctions requirement adherence. * Provide weekly updates on the status of the NPA projects. * Provide a detailed summary of the projects to leadership to obtain the necessary approvals. * Act as the Point of Contact for NPA/M&A questions * Support with NPA/M&A documentation. * Assist with other functions in support of the Global Sanctions Team as needed Minimum Qualifications * Bachelor's degree in business, Finance, Law, Risk Management, or a related field. * 3+ years of experience in sanctions compliance, AML, risk management, or financial crime compliance. * Experience supporting new product approvals (NPA) and/or mergers & acquisitions (M&A) in a compliance or risk context. * Proven ability to review project details for compliance with regulatory and sanctions requirements. * Experience preparing documentation, summaries, and weekly project updates for leadership. * Strong data analysis and documentation abilities. * Proficiency in MS Excel, Word, and PowerPoint (reporting and presentations). * Familiarity with workflow/project management tools and compliance tracking systems. * Knowledge of enterprise sanctions standards, new product governance, and due diligence processes. * Ability to identify and escalate gaps or risks related to sanctions adherence in projects. Preferred Qualifications * Prior experience in sanctions, PEP, or financial crimes compliance * Familiarity with international regulatory environments * Strong communication skills to act as the point of contact for NPA/M&A sanctions questions. * Ability to summarize and present project status clearly to leadership. * Excellent stakeholder management and collaboration across business, compliance, and legal teams. * Strong organizational skills to manage multiple reviews, approvals, and deadlines. Salary Range: $65,500.00 to $102,500.00 annually + bonus + benefits The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors. We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally: * Competitive base salaries * Bonus incentives * 6% Company Match on retirement savings plan * Free financial coaching and financial well-being support * Comprehensive medical, dental, vision, life insurance, and disability benefits * Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need * 20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy * Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) * Free and confidential counseling support through our Healthy Minds program * Career development and training opportunities For a full list of Team Amex benefits, visit our Colleague Benefits Site. American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions. We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually. US Job Seekers - Click to view the "Know Your Rights" poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: *************************** Employment eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions.
$65.5k-102.5k yearly 4d ago
Analyst-Compliance; Investigations Training & Procedures
American Express 4.8
Sunrise, FL jobs
At American Express, our culture is built on a 175-year history of innovation, shared At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career. Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express. American Express's Global Financial Crimes Surveillance Unit (GFCSU) and the US Investigations Unit (USIU), within Global Financial Crimes Compliance (GFCC), in partnership provide end-to-end support and oversight of global financial crimes investigations. In conjunction with GFCC partners, the GFCSU and USIU develop and implement automated transaction monitoring rules, reports, and other processes designed to identify activity potentially indicative of criminal behavior. The GFCSU and USIU also investigate potentially suspicious financial activity and, when appropriate, file suspicious activity reports (SARs) with the Financial Crimes Enforcement Network (FinCEN), which is part of the U.S. Department of the Treasury, and/or refers matters to internal compliance partners for review and reporting globally. In addition, the GFCSU and USIU manage risk associated with politically exposed persons and persons and entities on core sanctions and risk lists through regular screening, and manage risk associated with improper payments that could be indicative of bribery, corruption, or other illicit activity by reviewing internal American Express payments and expenditures. The GFCSU and USIU together perform a critical role in ensuring that American Express complies with all applicable laws and regulations, including the Bank Secrecy Act (BSA), the USA PATRIOT Act, and the Foreign Corrupt Practices Act, and provides law enforcement with key information for the investigation and prosecution of money laundering and terrorist financing, credit card fraud, identity theft, and other criminal activity. Team Introduction Join the GFCSU/USIU Procedures and Training team as a Training & Procedures Analyst supporting global anti-financial crime initiatives. This role focuses on enhancing investigative procedures and delivering high impact training and procedural guidance aligned with the global standards set for AML, Screening, Enhanced Due Diligence, and Sanctions standards. Job Responsibilities/Tasks: * Develop and maintain investigations-related procedures and training materials in alignment with internal and regulatory standards * Support and deliver training initiatives across virtual and in-person formats for colleagues across all global markets. * Collaborate with key stakeholders to identify and implement efficiencies in investigative workflows * Serve as a liaison for the Procedures and Training team to maintain awareness of operational training and procedural needs. * Partner with global and cross-functional teams to ensure consistent application of trained process and procedure. * Contribute to ongoing process improvement efforts and support the design of new or updated procedural and training frameworks * Maintain subject matter expertise of GFCSU/USIU Investigative process by periodically conducting end-to-end suspicious activity investigations and possible SAR filing. * Demonstrate flexibility in work schedule to accommodate global training needs across multiple time zones, including early morning, evening, or occasional weekend sessions as required. Minimum Qualifications: * 2+ years of work experience in a financial services institution or payment institution in any of the following areas is highly preferred: Anti-Money Laundering, Suspicious Activity Reporting, financial crime, enhanced due diligence, or law enforcement * Experience with collaborating, creating and/or delivering effective trainings with demonstrable results. * Willingness and ability to work a varying schedule to support training delivery in international markets. * Knowledge of criminal typologies associated with financial products and services * Ability to demonstrate strategic thinking, support innovation and change, introduce and champion new processes * Ability to handle sensitive information in a confidential and professional manner * Keen attention to detail, analytical and problem-solving skills, and effective communication skills * Proficient with all Microsoft Office suite, including Word, Excel, and PowerPoint Preferred Qualifications: * Understanding of current GFCSU/USIU Polices, Processes, and Procedures, as well as a fundamental understanding of AML-related laws and regulations * Demonstrated ability to influence, gain support, and reconcile differences amongst GFCSU/USIU colleagues * Keen attention to detail, analytical and problem-solving skills, and effective communication skills * A strong candidate will also be able to manage multiple tasks simultaneously; support a risk-based culture; effectively manage change and be proactive; and be a deadline-driven team player * CAMS certified or equivalent preferred Salary Range: $65,500.00 to $102,500.00 annually + bonus + benefits The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors. We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally: * Competitive base salaries * Bonus incentives * 6% Company Match on retirement savings plan * Free financial coaching and financial well-being support * Comprehensive medical, dental, vision, life insurance, and disability benefits * Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need * 20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy * Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) * Free and confidential counseling support through our Healthy Minds program * Career development and training opportunities For a full list of Team Amex benefits, visit our Colleague Benefits Site. American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions. We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually. US Job Seekers - Click to view the "Know Your Rights" poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: *************************** * Employment eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions.
$65.5k-102.5k yearly 6d ago
Analyst - Compliance Global Anti-Corruption
American Express 4.8
Sunrise, FL jobs
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career. Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express. **How will you make an impact in this role?** The Global Anti-Corruption (GAC) team is responsible for the day-to-day management of the Company's Anti-Corruption Program, providing support to leadership and colleagues and issuing guidelines on topics such as meals, gifts, and entertainment; anti-corruption third party due diligence; monitoring of external incentive programs; hiring; and payments monitoring. Specific responsibilities for analysts include writing, editing, and updating procedures; collecting and analyzing data for risk assessments; conducting entity analysis to determine state ownership; responding to questions directed to the GAC mailbox; providing specialized trainings to line of business and compliance staff; conducting ad hoc and programmatic reviews; and developing and enhancing processes for compliance controls, testing, and reporting. **Minimum Qualifications** + Bachelor's degree and/or relevant professional qualification preferred (Law Degree, Compliance/AML Diploma, CAMS Certification with a Legal/Compliance/Control/Auditing background) + Strong computer knowledge; excellent MS Word, Excel, Visio, and PowerPoint skills + Must be self-motivated, dependable, adaptable, and detail-oriented with a proven ability to work independently or within a team environment + Ability to manage competing priorities under demanding deadlines + Demonstrate excellent verbal and written communication skills **Preferred Qualifications** + 1-3 years of Anti-Corruption, Sanctions, or AML experience + Analytical skills, attention to detail and ability to review data and report. + Expert-level Excel skills (e.g. complex calculations, pivot tables creation / manipulation, macros). + Proven ability to develop presentation materials with clear and concise messaging Guardian **Qualifications** Salary Range: $65,500.00 to $102,500.00 annually bonus benefits The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors. We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally: + Competitive base salaries + Bonus incentives + 6% Company Match on retirement savings plan + Free financial coaching and financial well-being support + Comprehensive medical, dental, vision, life insurance, and disability benefits + Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need + 20 weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy + Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) + Free and confidential counseling support through our Healthy Minds program + Career development and training opportunities For a full list of Team Amex benefits, visit our Colleague Benefits Site . American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions. We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually. US Job Seekers - Click to view the " Know Your Rights " poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: *************************** Employment eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions. **Job:** Compliance **Primary Location:** US-Arizona-Phoenix **Other Locations:** US-Utah-Sandy, US-Florida-Sunrise **Schedule** Full-time **Req ID:** 25021106
$65.5k-102.5k yearly 3d ago
Analyst-Compliance -Global Sanctions Governance- NPG/M&A Support
American Express 4.8
Sunrise, FL jobs
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career. Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express. **How will you make an impact in this role?** Global Sanctions is responsible for developing and maintaining an effective, risk-based enterprise-wide sanctions program that focuses on establishing minimum standards, overseeing effective screening processes, completing the Sanctions Risk Assessment, developing and administering training, providing reporting and key risk indicators, and serving as the Subject Matter Experts to support all business and compliance teams. The **Global Sanctions Governance- Screening Implementation Analyst** will serve as the central Sanctions contact for all new products and M&A support to ensure each project is analyzed for Sanctions requirements and the appropriate sign off is provided upon confirmation of Sanctions adherence. + Will attend the NPA/M&A meetings and serve as the sanctions subject matter expert on the calls. + Review the project details to ensure sanctions requirement adherence. + Provide weekly updates on the status of the NPA projects. + Provide a detailed summary of the projects to leadership to obtain the necessary approvals. + Act as the Point of Contact for NPA/M&A questions + Support with NPA/M&A documentation. + Assist with other functions in support of the Global Sanctions Team as needed **Minimum Qualifications** + Bachelor's degree in business, Finance, Law, Risk Management, or a related field. + 3 years of experience in sanctions compliance, AML, risk management, or financial crime compliance. + Experience supporting **new product approvals (NPA)** and/or **mergers & acquisitions (M&A)** in a compliance or risk context. + Proven ability to review project details for compliance with regulatory and sanctions requirements. + Experience preparing documentation, summaries, and weekly project updates for leadership. + Strong data analysis and documentation abilities. + Proficiency in MS Excel, Word, and PowerPoint (reporting and presentations). + Familiarity with workflow/project management tools and compliance tracking systems. + Knowledge of enterprise sanctions standards, new product governance, and due diligence processes. + Ability to identify and escalate gaps or risks related to sanctions adherence in projects. **Preferred Qualifications** + Prior experience in sanctions, PEP, or financial crimes compliance + Familiarity with international regulatory environments + Strong communication skills to act as the **point of contact** for NPA/M&A sanctions questions. + Ability to summarize and present project status clearly to leadership. + Excellent stakeholder management and collaboration across business, compliance, and legal teams. + Strong organizational skills to manage multiple reviews, approvals, and deadlines. **Qualifications** Salary Range: $65,500.00 to $102,500.00 annually bonus benefits The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors. We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally: + Competitive base salaries + Bonus incentives + 6% Company Match on retirement savings plan + Free financial coaching and financial well-being support + Comprehensive medical, dental, vision, life insurance, and disability benefits + Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need + 20 weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy + Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) + Free and confidential counseling support through our Healthy Minds program + Career development and training opportunities For a full list of Team Amex benefits, visit our Colleague Benefits Site . American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions. We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually. US Job Seekers - Click to view the " Know Your Rights " poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: *************************** Employment eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions. **Job:** Compliance **Primary Location:** US-Utah-Sandy **Other Locations:** US-Arizona-Phoenix, US-Florida-Sunrise **Schedule** Full-time **Req ID:** 25020619
$65.5k-102.5k yearly 47d ago
Director of Compliance
Grameen America Inc. 4.0
Jackson, NY jobs
Title: Director of Compliance Salary: $160,000/yr. - $180,000/yr. Commensurate with experience About Grameen America: Grameen America is a nonprofit microfinance organization dedicated to helping low-income women entrepreneurs build businesses to enable upward financial mobility. We envision an inclusive society in which all entrepreneurs, regardless of gender, race or income, have access to fair and affordable financial services. We provide affordable capital, credit- and asset-building, education and peer support to enable our members to boost their business income, create jobs and transform communities. Founded by Nobel Peace Prize laureate Muhammad Yunus in 2008, Grameen America is now the fastest growing nonprofit microfinance organization in the U.S., having achieved tremendous milestones in its first 16 years of operations, investing in 220,000 low-income women entrepreneurs while demonstrating measurable impact. Our members have repaid their loans at a rate of over 99% and have become economic drivers in their communities. For more information, please visit grameenamerica.org Position Summary: The Director of Compliance will lead the development, implementation, and oversight of Grameen America's comprehensive compliance program. The compliance professional will ensure the organization's adherence to all relevant financial regulations, state and federal, and ethical standards, particularly those governing microfinance lending, savings programs, and credit reporting. The Director will provide guidance to General Counsel and senior management, address all exams and regulatory inquiries, conduct internal audits to ensure KYC and AML compliance, support the training of employees, and maintain a robust compliance infrastructure that aligns with Grameen America's mission of empowering financially underserved women. Essential duties and responsibilities: Compliance Program Management: Develop, implement, and maintain a comprehensive, risk-based compliance program that addresses all federal, state, and local regulations relevant to microfinance and nonprofit operations, including a compliance manual. Oversee the continuous refinement of compliance policies, procedures, and internal controls for lending, savings, and credit reporting activities. Ensure compliance with specific consumer protection statutes, including the Equal Credit Opportunity Act (ECOA), relevant sections of TILA, and state-specific lending laws. Oversee compliance with NMLS directives and filings. Implement appropriate compliance and operational risk controls, policies and procedures utilizing knowledge of existing regulatory framework, emerging risks and industry best practices. Regulatory Oversight and Risk Assessment: Monitor emerging regulatory and legal changes affecting the financial services and nonprofit sectors, communicating risks and necessary changes to leadership. Manage and/or conduct regular internal audits and compliance risk assessments of KYC/AML process branch operations to ensure adherence to policies and regulatory standards. Lead investigations into operational and member-related issues Partner with operational teams to implement effective risk mitigation strategies and corrective action plans. Maintain a tracker of regulatory requests. Address and monitor all organizational-wide NMLS reporting requirements, including those in support of branch openings. Training and Education: Develop and deliver regular compliance training programs for employees, including new hires, to build and sustain a strong culture of compliance. Educate employees on best practices related to data privacy, fraud prevention, fair lending, and ethical conduct. Reporting and Collaboration: Prepare and present regular, comprehensive compliance reports to the General Counsel. Serve as the primary liaison with regulatory agencies and external auditors during examinations and inquiries. Investigate potential compliance incidents and breaches and coordinate with internal and external counsel on resolution. Identify, report and escalate risks, issues and control enhancements to operations leadership. Address inquiries, exams and audits (by regulators, and internal groups). Mission Integration: Ensure that compliance initiatives support, rather than hinder, Grameen America's mission to serve low-income women entrepreneurs. Work with program teams to ensure that program design, including savings programs and loan disbursement, adheres to all regulations while remaining accessible and affordable for members. Required skills and qualifications: Education: Juris Doctor (JD). License: Admitted to practice law in any of the states of the U.S.; in good standing. Experience: 5+ years of compliance experience in financial services, with a preference for experience in microfinance, community development finance, or nonprofit banking. Regulatory Knowledge: Deep expertise in relevant federal and state financial regulations, such as ECOA, TILA, and fair lending laws as well as CDFI regulations. Analytical Skills: Exceptional analytical and problem-solving abilities to identify potential risks and develop effective solutions. Leadership: Proven experience in a managerial or leadership role, with the ability to influence and guide teams toward a shared vision of compliance. Communication: Excellent written and verbal communication skills, with the ability to translate complex regulations into clear guidance for all employees and report effectively to General Counsel and other members of the senior leadership team. Mission Alignment: A strong commitment to Grameen America's mission of empowering low-income entrepreneurs. In Person/ Travel Requirements: Attend In-person quarterly staff meetings in New York City required. Hybrid remote/onsite schedule with required visits to NYC offices and other branches outside of NYC, based on business needs. What We Offer You: Medical, dental, and vision insurance plans Paid Holidays, vacation and sick time 401K retirement savings plans Flexible Spending Account (FSA) Wellness program with two free coaching sessions per month Opportunity for advancement And more! Grameen America is an Equal Opportunity Employer (EEO) committed to diversity and inclusion in its workplace. Grameen America employment decisions are based on job requirements and individual skills and qualifications without regard to the applicant's race, ethnicity, color, religion, sex, gender, gender identity, sexual orientation, national origin, disability, veteran status, or any other characteristic protected by applicable federal, state, or local law. Grameen America, Inc. participates in the E-Verify program. Must be able to legally work in the U.S.
$160k-180k yearly Auto-Apply 60d+ ago
Director of Compliance
Grameen America Inc. 4.0
Jackson, NY jobs
Job Description Title: Director of Compliance Salary: $160,000/yr. - $180,000/yr. Commensurate with experience About Grameen America: Grameen America is a nonprofit microfinance organization dedicated to helping low-income women entrepreneurs build businesses to enable upward financial mobility. We envision an inclusive society in which all entrepreneurs, regardless of gender, race or income, have access to fair and affordable financial services. We provide affordable capital, credit- and asset-building, education and peer support to enable our members to boost their business income, create jobs and transform communities. Founded by Nobel Peace Prize laureate Muhammad Yunus in 2008, Grameen America is now the fastest growing nonprofit microfinance organization in the U.S., having achieved tremendous milestones in its first 16 years of operations, investing in 220,000 low-income women entrepreneurs while demonstrating measurable impact. Our members have repaid their loans at a rate of over 99% and have become economic drivers in their communities. For more information, please visit grameenamerica.org Position Summary: The Director of Compliance will lead the development, implementation, and oversight of Grameen America's comprehensive compliance program. The compliance professional will ensure the organization's adherence to all relevant financial regulations, state and federal, and ethical standards, particularly those governing microfinance lending, savings programs, and credit reporting. The Director will provide guidance to General Counsel and senior management, address all exams and regulatory inquiries, conduct internal audits to ensure KYC and AML compliance, support the training of employees, and maintain a robust compliance infrastructure that aligns with Grameen America's mission of empowering financially underserved women. Essential duties and responsibilities: Compliance Program Management: Develop, implement, and maintain a comprehensive, risk-based compliance program that addresses all federal, state, and local regulations relevant to microfinance and nonprofit operations, including a compliance manual. Oversee the continuous refinement of compliance policies, procedures, and internal controls for lending, savings, and credit reporting activities. Ensure compliance with specific consumer protection statutes, including the Equal Credit Opportunity Act (ECOA), relevant sections of TILA, and state-specific lending laws. Oversee compliance with NMLS directives and filings. Implement appropriate compliance and operational risk controls, policies and procedures utilizing knowledge of existing regulatory framework, emerging risks and industry best practices. Regulatory Oversight and Risk Assessment: Monitor emerging regulatory and legal changes affecting the financial services and nonprofit sectors, communicating risks and necessary changes to leadership. Manage and/or conduct regular internal audits and compliance risk assessments of KYC/AML process branch operations to ensure adherence to policies and regulatory standards. Lead investigations into operational and member-related issues Partner with operational teams to implement effective risk mitigation strategies and corrective action plans. Maintain a tracker of regulatory requests. Address and monitor all organizational-wide NMLS reporting requirements, including those in support of branch openings. Training and Education: Develop and deliver regular compliance training programs for employees, including new hires, to build and sustain a strong culture of compliance. Educate employees on best practices related to data privacy, fraud prevention, fair lending, and ethical conduct. Reporting and Collaboration: Prepare and present regular, comprehensive compliance reports to the General Counsel. Serve as the primary liaison with regulatory agencies and external auditors during examinations and inquiries. Investigate potential compliance incidents and breaches and coordinate with internal and external counsel on resolution. Identify, report and escalate risks, issues and control enhancements to operations leadership. Address inquiries, exams and audits (by regulators, and internal groups). Mission Integration: Ensure that compliance initiatives support, rather than hinder, Grameen America's mission to serve low-income women entrepreneurs. Work with program teams to ensure that program design, including savings programs and loan disbursement, adheres to all regulations while remaining accessible and affordable for members. Required skills and qualifications: Education: Juris Doctor (JD). License: Admitted to practice law in any of the states of the U.S.; in good standing. Experience: 5+ years of compliance experience in financial services, with a preference for experience in microfinance, community development finance, or nonprofit banking. Regulatory Knowledge: Deep expertise in relevant federal and state financial regulations, such as ECOA, TILA, and fair lending laws as well as CDFI regulations. Analytical Skills: Exceptional analytical and problem-solving abilities to identify potential risks and develop effective solutions. Leadership: Proven experience in a managerial or leadership role, with the ability to influence and guide teams toward a shared vision of compliance. Communication: Excellent written and verbal communication skills, with the ability to translate complex regulations into clear guidance for all employees and report effectively to General Counsel and other members of the senior leadership team. Mission Alignment: A strong commitment to Grameen America's mission of empowering low-income entrepreneurs. In Person/Travel Requirements: Attend In-person quarterly staff meetings in New York City required. Hybrid remote/onsite schedule with required visits to NYC offices and other branches outside of NYC, based on business needs. What We Offer You: Medical, dental, and vision insurance plans Paid Holidays, vacation and sick time 401K retirement savings plans Flexible Spending Account (FSA) Wellness program with two free coaching sessions per month Opportunity for advancement And more! Grameen America is an Equal Opportunity Employer (EEO) committed to diversity and inclusion in its workplace. Grameen America employment decisions are based on job requirements and individual skills and qualifications without regard to the applicant's race, ethnicity, color, religion, sex, gender, gender identity, sexual orientation, national origin, disability, veteran status, or any other characteristic protected by applicable federal, state, or local law. Grameen America, Inc. participates in the E-Verify program. Must be able to legally work in the U.S.
$160k-180k yearly 17d ago
Director of Compliance
Grameen America Inc. 4.0
Jackson, NY jobs
Title: Director of Compliance Salary: $160,000/yr. - $180,000/yr. Commensurate with experience About Grameen America: Grameen America is a nonprofit microfinance organization dedicated to helping low-income women entrepreneurs build businesses to enable upward financial mobility. We envision an inclusive society in which all entrepreneurs, regardless of gender, race or income, have access to fair and affordable financial services. We provide affordable capital, credit- and asset-building, education and peer support to enable our members to boost their business income, create jobs and transform communities. Founded by Nobel Peace Prize laureate Muhammad Yunus in 2008, Grameen America is now the fastest growing nonprofit microfinance organization in the U.S., having achieved tremendous milestones in its first 16 years of operations, investing in 220,000 low-income women entrepreneurs while demonstrating measurable impact. Our members have repaid their loans at a rate of over 99% and have become economic drivers in their communities. For more information, please visit grameenamerica.org Position Summary: The Director of Compliance will lead the development, implementation, and oversight of Grameen America's comprehensive compliance program. The compliance professional will ensure the organization's adherence to all relevant financial regulations, state and federal, and ethical standards, particularly those governing microfinance lending, savings programs, and credit reporting. The Director will provide guidance to General Counsel and senior management, address all exams and regulatory inquiries, conduct internal audits to ensure KYC and AML compliance, support the training of employees, and maintain a robust compliance infrastructure that aligns with Grameen America's mission of empowering financially underserved women. Essential duties and responsibilities: Compliance Program Management: Develop, implement, and maintain a comprehensive, risk-based compliance program that addresses all federal, state, and local regulations relevant to microfinance and nonprofit operations, including a compliance manual. Oversee the continuous refinement of compliance policies, procedures, and internal controls for lending, savings, and credit reporting activities. Ensure compliance with specific consumer protection statutes, including the Equal Credit Opportunity Act (ECOA), relevant sections of TILA, and state-specific lending laws. Oversee compliance with NMLS directives and filings. Implement appropriate compliance and operational risk controls, policies and procedures utilizing knowledge of existing regulatory framework, emerging risks and industry best practices. Regulatory Oversight and Risk Assessment: Monitor emerging regulatory and legal changes affecting the financial services and nonprofit sectors, communicating risks and necessary changes to leadership. Manage and/or conduct regular internal audits and compliance risk assessments of KYC/AML process branch operations to ensure adherence to policies and regulatory standards. Lead investigations into operational and member-related issues Partner with operational teams to implement effective risk mitigation strategies and corrective action plans. Maintain a tracker of regulatory requests. Address and monitor all organizational-wide NMLS reporting requirements, including those in support of branch openings. Training and Education: Develop and deliver regular compliance training programs for employees, including new hires, to build and sustain a strong culture of compliance. Educate employees on best practices related to data privacy, fraud prevention, fair lending, and ethical conduct. Reporting and Collaboration: Prepare and present regular, comprehensive compliance reports to the General Counsel. Serve as the primary liaison with regulatory agencies and external auditors during examinations and inquiries. Investigate potential compliance incidents and breaches and coordinate with internal and external counsel on resolution. Identify, report and escalate risks, issues and control enhancements to operations leadership. Address inquiries, exams and audits (by regulators, and internal groups). Mission Integration: Ensure that compliance initiatives support, rather than hinder, Grameen America's mission to serve low-income women entrepreneurs. Work with program teams to ensure that program design, including savings programs and loan disbursement, adheres to all regulations while remaining accessible and affordable for members. Required skills and qualifications: Education: Juris Doctor (JD). License: Admitted to practice law in any of the states of the U.S.; in good standing. Experience: 5+ years of compliance experience in financial services, with a preference for experience in microfinance, community development finance, or nonprofit banking. Regulatory Knowledge: Deep expertise in relevant federal and state financial regulations, such as ECOA, TILA, and fair lending laws as well as CDFI regulations. Analytical Skills: Exceptional analytical and problem-solving abilities to identify potential risks and develop effective solutions. Leadership: Proven experience in a managerial or leadership role, with the ability to influence and guide teams toward a shared vision of compliance. Communication: Excellent written and verbal communication skills, with the ability to translate complex regulations into clear guidance for all employees and report effectively to General Counsel and other members of the senior leadership team. Mission Alignment: A strong commitment to Grameen America's mission of empowering low-income entrepreneurs. In Person/Travel Requirements: Attend In-person quarterly staff meetings in New York City required. Hybrid remote/onsite schedule with required visits to NYC offices and other branches outside of NYC, based on business needs. What We Offer You: Medical, dental, and vision insurance plans Paid Holidays, vacation and sick time 401K retirement savings plans Flexible Spending Account (FSA) Wellness program with two free coaching sessions per month Opportunity for advancement And more! Grameen America is an Equal Opportunity Employer (EEO) committed to diversity and inclusion in its workplace. Grameen America employment decisions are based on job requirements and individual skills and qualifications without regard to the applicant's race, ethnicity, color, religion, sex, gender, gender identity, sexual orientation, national origin, disability, veteran status, or any other characteristic protected by applicable federal, state, or local law. Grameen America, Inc. participates in the E-Verify program. Must be able to legally work in the U.S.
$160k-180k yearly Auto-Apply 60d+ ago