Compliance Specialist jobs at Simmons Bank - 232 jobs

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

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").

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").

Moneta is an independent Registered Investment Advisor (RIA) wholly focused on going further for our clients. We are one firm with many solutions and we provide a full spectrum of financial advisory services. Still, our true purpose is centered on building relationships and providing exceptional service to our clients around the globe. For that reason, we've built an entrepreneurial business model organized around our clients. We also have the unique ability to trace our history back nearly 150 years, which demonstrates our ability to evolve to meet the needs of those we serve. Job Description Moneta is searching for a Compliance Specialist to join our small, dynamic Compliance team handling a wide range of tasks that cover all aspects of Wealth Management Compliance for our fast-paced and rapidly growing registered investment adviser. As a member of the Compliance Department, you will work alongside our team of professionals and develop your knowledge of compliance within the financial services industry. This is a great opportunity to work independently within a closely-knit team and grow your skillset to become an expert. Essential Responsibilities Facilitates detailed analysis and preparation of client engagement agreements, as well as reviewing logged information and assisting advisor teams as needed Responsible for the execution of daily compliance-related tasks, including the review and approval of advisory fees, trade records, and completed custodial forms Develop thorough outlines of Department processes while seeking opportunities for efficiencies Performs compliance-related audits, reviews, and data scrubs Assists with supervision of financial advisors, including correspondence, marketing, technology use, and outside business activities Takes ownership of assigned responsibilities and executes independently while collaborating and openly communicating with colleagues Assist with maintenance of the Moneta policies and procedures manual Supports the Compliance Team with various projects as required Qualifications Bachelor's Degree preferred Three or more years of experience in a professional office environment Experience in operations, registrations, or compliance department of a registered investment adviser Additional Information This is a full-time, exempt position reporting to the Vice President of Compliance. Moneta is committed to providing the best possible care for our employees; part of this care includes offering comprehensive benefits that enhance the well-being of employees and their families: Paid holidays Paid time off (PTO) Employer cost-shared medical and dental insurance Employer-paid short-term disability, long-term disability, AD&D insurance, and basic life insurance 401k Match - 50% of employee contributions up to 6% of compensation Discretionary annual profit-sharing bonus Paid parental leave Professional development reimbursement Paid volunteer time off (VTO) Employee referral incentive bonus program Onsite wellness programs & rewards Employee engagement activities Moneta is a fiduciary fee-only Registered Investment Advisory firm and unable to hold securities licenses with the exception of Series 65. We also do not allow outside business activities, insurance commissions, and/or trails.

Moneta is an independent Registered Investment Advisor (RIA) wholly focused on going further for our clients. We are one firm with many solutions and we provide a full spectrum of financial advisory services. Still, our true purpose is centered on building relationships and providing exceptional service to our clients around the globe. For that reason, we've built an entrepreneurial business model organized around our clients. We also have the unique ability to trace our history back nearly 150 years, which demonstrates our ability to evolve to meet the needs of those we serve. Job Description Moneta is searching for a Compliance Specialist to join our small, dynamic Compliance team handling a wide range of tasks that cover all aspects of Wealth Management Compliance for our fast-paced and rapidly growing registered investment adviser. As a member of the Compliance Department, you will work alongside our team of professionals and develop your knowledge of compliance within the financial services industry. This is a great opportunity to work independently within a closely-knit team and grow your skillset to become an expert. Essential Responsibilities * Facilitates detailed analysis and preparation of client engagement agreements, as well as reviewing logged information and assisting advisor teams as needed * Responsible for the execution of daily compliance-related tasks, including the review and approval of advisory fees, trade records, and completed custodial forms * Develop thorough outlines of Department processes while seeking opportunities for efficiencies * Performs compliance-related audits, reviews, and data scrubs * Assists with supervision of financial advisors, including correspondence, marketing, technology use, and outside business activities * Takes ownership of assigned responsibilities and executes independently while collaborating and openly communicating with colleagues * Assist with maintenance of the Moneta policies and procedures manual * Supports the Compliance Team with various projects as required Qualifications * Bachelor's Degree preferred * Three or more years of experience in a professional office environment * Experience in operations, registrations, or compliance department of a registered investment adviser Additional Information This is a full-time, exempt position reporting to the Vice President of Compliance. Moneta is committed to providing the best possible care for our employees; part of this care includes offering comprehensive benefits that enhance the well-being of employees and their families: * Paid holidays * Paid time off (PTO) * Employer cost-shared medical and dental insurance * Employer-paid short-term disability, long-term disability, AD&D insurance, and basic life insurance * 401k Match - 50% of employee contributions up to 6% of compensation * Discretionary annual profit-sharing bonus * Paid parental leave * Professional development reimbursement * Paid volunteer time off (VTO) * Employee referral incentive bonus program * Onsite wellness programs & rewards * Employee engagement activities Moneta is a fiduciary fee-only Registered Investment Advisory firm and unable to hold securities licenses with the exception of Series 65. We also do not allow outside business activities, insurance commissions, and/or trails.

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

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

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

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

Moneta is an independent Registered Investment Advisor (RIA) wholly focused on going further for our clients. We are one firm with many solutions and we provide a full spectrum of financial advisory services. Still, our true purpose is centered on building relationships and providing exceptional service to our clients around the globe. For that reason, we've built an entrepreneurial business model organized around our clients. We also have the unique ability to trace our history back nearly 150 years, which demonstrates our ability to evolve to meet the needs of those we serve. Job Description Moneta is searching for a Compliance Specialist to join our small, dynamic Compliance team handling a wide range of tasks that cover all aspects of Wealth Management Compliance for our fast-paced and rapidly growing registered investment adviser. As a member of the Compliance Department, you will work alongside our team of professionals and develop your knowledge of compliance within the financial services industry. This is a great opportunity to work independently within a closely-knit team and grow your skillset to become an expert. Essential Responsibilities Facilitates detailed analysis and preparation of client engagement agreements, as well as reviewing logged information and assisting advisor teams as needed Responsible for the execution of daily compliance-related tasks, including the review and approval of advisory fees, trade records, and completed custodial forms Develop thorough outlines of Department processes while seeking opportunities for efficiencies Performs compliance-related audits, reviews, and data scrubs Assists with supervision of financial advisors, including correspondence, marketing, technology use, and outside business activities Takes ownership of assigned responsibilities and executes independently while collaborating and openly communicating with colleagues Assist with maintenance of the Moneta policies and procedures manual Supports the Compliance Team with various projects as required Qualifications Bachelor's Degree preferred Three or more years of experience in a professional office environment Experience in operations, registrations, or compliance department of a registered investment adviser Additional Information This is a full-time, exempt position reporting to the Vice President of Compliance. Moneta is committed to providing the best possible care for our employees; part of this care includes offering comprehensive benefits that enhance the well-being of employees and their families: Paid holidays Paid time off (PTO) Employer cost-shared medical and dental insurance Employer-paid short-term disability, long-term disability, AD&D insurance, and basic life insurance 401k Match - 50% of employee contributions up to 6% of compensation Discretionary annual profit-sharing bonus Paid parental leave Professional development reimbursement Paid volunteer time off (VTO) Employee referral incentive bonus program Onsite wellness programs & rewards Employee engagement activities Moneta is a fiduciary fee-only Registered Investment Advisory firm and unable to hold securities licenses with the exception of Series 65. We also do not allow outside business activities, insurance commissions, and/or trails.

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

Examine, verify, and document compliance with federal and state regulatory laws and adherence to internal policies and procedures. Responsibilities Stay abreast of changes to federal and state banking laws and regulations affecting the management, operations, and product offerings of the financial institution. Conduct compliance audits with operating departments to ensure adherence to laws and regulations. Develop compliance auditing plans based on thorough research on studies conducted by government agencies and professional organizations. Prepare and submit audit findings, make recommendations to management when appropriate, and perform appropriate follow-up to ensure compliance with findings and recommendations. Inform and advise Compliance Officer of conditions and status of the bank's adherence to laws and regulations. Examine policies, procedures, and practices to ensure compliance with laws and regulations. Provide support to other operating units and managers affected by compliance issues and regulatory requirements. Ensure accuracy of data and underlying documentation on the loan application registers (LARs). Maintain and generate reports from the bank's compliance software systems. Keep Compliance Officer apprised of compliance items and assist Compliance Officer as needed. Other duties may be assigned. Qualifications Four year college or university program degree; or three years compliance and/or auditing experience and/or training; or equivalent combination of education and experience An in-depth understanding of the industry's rules, guidelines, and regulations Multitasker with strong attention to detail, analytical, and statistical skills Good computer skills and experience with relevant software programs Strong communication and interpersonal skills Well-organized, efficient, self-starter, and able to work independently Dedication to objectivity Location: Dallas (Preston Rd. and LBJ Frwy/I635) Join the NDBTeam! We have a great team of friendly, talented, and inspiring people at NDBT. We take pride in offering exciting opportunities for employees to grow and follow their passions, while providing a great work-life balance as well as job stability. Founded in 1961, NDBT has a long-standing reputation in the community and strives to provide excellent customer service to our customers and communities. NDBT leadership and employees foster and contribute to our environment of mutual respect, accountability, creativity, and teamwork; and at all times to act with integrity, dignity, honor, and fairness. If this sounds like something you would like to be a part of - consider applying today. North Dallas Bank and Trust is an Equal opportunity employer. This company considers candidates regardless of race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status.

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

Who we are Collaborative. Respectful. A place to dream and do. These are just a few words that describe what life is like at Toyota. As one of the world's most admired brands, Toyota is growing and leading the future of mobility through innovative, high-quality solutions designed to enhance lives and delight those we serve. We're looking for talented team members who want to Dream. Do. Grow. with us. To save time applying, Toyota does not offer sponsorship of job applicants for employment-based visas or any other work authorization for this position at this time. Who we're looking for Toyota's Customs and Trade Compliance Department is looking for a passionate and highly-motivated Trade Compliance Analyst. The primary responsibility of this role is to conduct trade-related monitoring & testing, to ensure Toyota is in compliance with related Federal Regulations. Reporting to the Senior Manager, the person in this role will support the Customs and Trade Compliance department's objective to maintain a high level of compliance and proactively disclose errors to the Government. What you'll be doing * Leads or supports monitoring & testing programs for: * Trade related transactions (Import, Export, FTZ) * Classification and Country of Origin "Quality Check" * Free Trade Agreements audits * Supply Chain Security and Supply Chain Mapping * Supports post-entry activities involving entries filed for TMS and TEMA * Supports response efforts for trade related government audits (e.g. CBP Focused Assessments, Drawback Reviews) * Supports TMNA's administration, self-assessments, corrective actions, and revalidations for the Customs Trade Partnership Against Terrorism "C-TPAT" * Prepares Trade Compliance reporting for department management including, but not limited to: * Monitoring & testing findings * "Trusted Trader" annual report for TMS * Responses to trade-related surveys * Dashboards, KPIs and other reporting or escalation tools * Trade compliance information requests from TMNA stakeholders (GA, PSD, A&F, ES, etc.) What you bring * Bachelor's degree or equivalent compliance related work experience * Extensive knowledge of customs regulations * Progressive experience in trade compliance or other compliance/project management related functions * Strong communication, project management and third-party management/interaction skills * Proficiency in Microsoft Office (Word, Excel, PowerPoint) * Strong problem solving, quality, & process development experience. * Ability to travel up to 20% of the time domestically and internationally Added bonus if you have * Customs broker license * Professional trade compliance certifications (e.g. CCS) What we'll bring During your interview process, our team can fill you in on all the details of our industry-leading benefits and career development opportunities. A few highlights include: * A work environment built on teamwork, flexibility, and respect. * Professional growth and development programs to help advance your career, as well as tuition reimbursement. * Team Member Vehicle Purchase Discount * Toyota Team Member Lease Vehicle Program (if applicable) * Comprehensive health care and wellness plans for your entire family. * Toyota 401(k) Savings Plan featuring a company match, as well as an annual retirement contribution from Toyota regardless of whether you contribute. * Paid holidays and paid time off. * Referral services related to prenatal services, adoption, childcare, schools, and more. * Tax-Advantaged Accounts (Health Savings Account, Health Care FSA, Dependent Care FSA). Belonging at Toyota Our success begins and ends with our people. We embrace all perspectives and value unique human experiences. Respect for all is our North Star. Toyota is proud to have 10+ different Business Partnering Groups across 100 different North American chapter locations that support team members' efforts to dream, do and grow without questioning that they belong. Applicants for our positions are considered without regard to race, ethnicity, national origin, sex, sexual orientation, gender identity or expression, age, disability, religion, military or veteran status, or any other characteristics protected by law. Have a question, need assistance with your application or do you require any special accommodations? Please send an email to *****************************.

Job Purpose Statement The Global Trade Compliance Analyst is responsible for supporting Global import and export regulatory compliance processes and procedures which align with The Carlstar Group, LLC (CSG) Global regulatory compliance program. Essential Duties and Responsibilities: Performs monthly internal reviews (audits) for US and CA import declarations as they relate to organizational obligations in various Customs programs. Develop and lead CSG collaborative interdepartmental compliance and reporting of regulatory programs such as conflict minerals, Prop 65, RoHS, and other programs as they arise. Perform origin content and FTA qualification review of CSG products. Generate and distribute certificates to customer and suppliers as required. Manage CSG customs brokers for US and Canada import operations Develop and lead CSG in-house training programs as they pertain to various regulatory compliance initiatives for import and export operations. Provide HTS and Schedule B guidance for import and export activities of CSG business units. Performs Monthly internal reviews (audits) for US, CA and EU import declarations as they relate to organizational obligations in various Customs programs. Supports the development of internal controls for deficiencies identified during ISA internal reviews. Reviews DC receiving reports in the US and CA for overage/shortage deficiencies for entry adjustment obligations to CBP and CBSA. Supports global compliance record keeping obligations as it relates to import and export activities. Tracks and interprets international laws or regulations impacting the business, including those impacting marketing, imports/exports and offers suggestions to functional managers seeking to ensure compliance Conducts periodic tests and audits of organizational operations. Conducts initial reviews of alleged compliance violations and escalates to executive leadership as needed. Handles complex issues and problems, and refers only the most complex issues to Trade Compliance Department Manager. Performs denied/restricted export screening operations for products shipped from the US to global customer base (EAR, BIS, DOC DDTC, and DOS). Works closely with the department analyst and Trade Compliance Department Manager to maintain and support CSG C-TPAT security program initiatives Perform ISF daily compliance review and management of vendor and service provider performance Prepares all post summary corrections for US, CA and EU entry deficiencies and supports internal controls development to address declaration deficiencies. Ability to travel 15% (domestic and international) Qualifications Required Education and Experience: Bachelor's degree required or equivalent, required Minimum 4 years of Global Regulatory Compliance or related experience Customs Brokers License, preferred Exceptional Problem solving and computer/skillsets Demonstrated self-starter with leadership qualities

Are you passionate about making a positive impact in the community you live in? Do you want to be on the forefront of paving the way to financial freedom for the members we serve? At GECU, our Core Values drive our Culture: Advocate, Integrity, Accountable, Dedicated and Passionate. Come grow your career with an award- winning team! This position is a job family; there are four levels to the position. Level I BASIC RESPONSIBILITIES Responsible for the research relating to federal laws and regulations and responsible for all research pertaining to state regulatory and legal compliance issues. Updates and maintains credit union policies. TYPICAL DUTIES Assists in compliance and regulatory research on federal laws and regulations for all areas of the credit union. Assists in the compliance research for the development and implementation of new and prospective products and services. Assists in maintaining all documentation for state and federal examiner reviews. Assists with follow-up audits on findings identified during compliance assessments, state and federal examinations and the BSA/AML/OFAC/PATRIOT Act independent test. Assists in the development of programs for all areas of the credit union. Assists in the research for departmental compliance questions. Organizes catalogues and maintains documentation supporting the credit union's compliance department to include legal opinions, compliance consultant opinions, vendor contracts, etc. Assists in preparing and updating changes to the board of directors approved policies, charters, resolutions, bylaws, and articles of incorporation affecting the credit union. Assists with the gathering of compliance information for the development of required compliance training. Attends in-house classes to gain knowledge of credit union products and services. Assists with departmental compliance review of applicable policies, Texas statutes, and credit union Bylaws. Assists with the review of credit union forms and required disclosures. Assists in the review of advertising and marketing materials for compliance requirements. Performs monthly verification of compliance page on the Intranet. Conducts department monthly “General Inspection” and ensures appropriate corrective action is taken as warranted. Coordinates pickup and storage of quarterly assessment documents with Document Management and ensures appropriate retention. Maintains department supplies and submits supply orders approved by the Vice President - Compliance through the appropriate channels. Assists the Vice President - Compliance with any clerical or administrative duties. Maintains high level of confidentiality. Maintain and understand compliance to ensure that work complies with GECU's established policies, procedures and applicable regulations, to include Bank Secrecy Act (BSA), Anti-Money Laundering (AML), Member Identification Program (MIP), and Office of Foreign Asset Control (OFAC). Other duties may be assigned or required in connection with the general operation of the credit union. Level II Level III Level IV

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

Position: Compliance Manager Location: Austin, TX (In-Office) Schedule: Full-Time, Monday-Friday Compensation: $90,000 annually + benefits Relocation Assistance: Available Our client is seeking an experienced Compliance Manager to lead and oversee the compliance management system within a residential mortgage environment. This role is responsible for ensuring adherence to federal, state, and investor regulations while serving as the primary compliance resource to leadership and operational teams. This is a fully in-office role and plays a critical role in safeguarding company operations through proactive risk identification, regulatory oversight, and clear internal guidance. Key Responsibilities Regulatory Oversight & Monitoring • Interpret and monitor federal and state mortgage regulations (CFPB, FHA, VA, Fannie Mae, Freddie Mac, state agencies) • Maintain a compliance calendar and implement regulatory changes • Serve as primary contact for regulators, auditors, and investors Policy Development & Implementation • Develop, update, and enforce compliance policies and procedures • Ensure Loan Officer Compensation plans comply with CFPB and state requirements • Oversee RESPA/TILA, HMDA, ECOA, Fair Lending, AML, advertising, and record retention Training & Communication • Design and deliver compliance training across the organization • Provide ongoing compliance guidance to leadership and staff • Communicate regulatory updates clearly and practically Auditing & Risk Management • Conduct internal audits and QC reviews • Oversee responses to investor and agency audits • Maintain corrective action plans and track resolution Licensing & Corporate Compliance • Manage company and branch licensing and renewals • Oversee MLO licensing tracking and compliance • Maintain corporate compliance records • Prepare and oversee MCR reports Qualifications • Bachelor's degree in business, finance, law, or related field • 5+ years of mortgage compliance experience • Strong knowledge of federal and state mortgage regulations • Experience managing audits, licensing, and CMS • Ability to work in-office Monday-FridayThank you for your interest! If your background aligns with our clients needs, one of our Recruiters will reach out. Please Check your spam folder and voicemail for messages from our recruiters. Unfortunately due to high volumes of applicants, we may not be able to respond to those who are not a fit. If you do not hear from us regarding this application, please know we do appreciate your interest and encourage you to continue to keep an eye on our website for new opportunities.

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Role Overview The Marketing Compliance Analyst will be a key member of PIMCO's Legal and Compliance Department, based in our Austin, TX office. This role supports the Compliance Marketing Review team, ensuring that all marketing and advertising materials-including social media-meet regulatory requirements and internal standards. The position offers early-career exposure to diverse investment products and global compliance initiatives, providing an excellent opportunity to develop expertise in marketing compliance within a leading investment management firm. Key Responsibilities Social media monitoring: Surveil social media activity for compliance with applicable regional regulations and firm policy. Disclosure governance: Develop, socialize and incorporate global marketing disclaimer. Develop and enhance technology processes: Partner with team members to develop and/or enhance technology processes for compliance testing of marketing materials. Marketing Material Review: Evaluate and monitor marketing and advertising content for compliance with regulatory requirements and firm policies. Compliance Implementation: Assist in applying compliance requirements across investment advisory and distribution activities. Project Participation: Contribute to compliance initiatives and projects aimed at enhancing programs and processes. Cross-Functional Collaboration: Partner with global teams, including marketing, product management, and operations, to deliver practical compliance solutions. Advisory Support: Provide timely, accurate, and actionable compliance advice in a fast-paced environment. Relationship Building: Foster strong partnerships within Legal & Compliance and across business units. Requirements Education: Bachelor's Degree or International Degree equivalent. Licensing: FINRA Series 7 and 24 (firm-sponsored; study time supported). Prior marketing compliance experience in investment management or financial services is a plus. Knowledge of diverse investment products and strategies (mutual funds, ETFs, private funds, fixed income, equities, alternatives) is advantageous. Strong organizational and multitasking abilities. Excellent written and verbal communication skills. Ability to work independently while collaborating effectively within a team. High sense of accountability, urgency, and adaptability. PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance. Salary Range: $ 75,000.00 - $ 81,000.00 Equal Employment Opportunity and Affirmative Action Statement PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws. Applicants with Disabilities PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at ************ and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.