Compliance Specialist jobs at SoFi

About Financial Crimes Compliance In Financial Crimes Compliance (FCC), you will play the lead role in identifying potentially suspicious activity, protecting vulnerable individuals, and safeguarding the integrity of the financial system. FCC is being enhanced with a new Compliance Director role to coordinate day-to-day implementation of the Company's financial crime prevention efforts, including execution of the Company's Anti-Money Laundering (AML), Sanctions, Anti-Corruption and Anti-Fraud Compliance programs. If you are passionate about financial crimes prevention, seeking a rewarding and dynamic career, and focused on making a difference, join us to lead our FCC function as part of the Legal and Compliance Team's efforts to enhance and implement new processes and tools, and further develop compliance policies and procedures, governance, and oversight. Key Responsibilities The FCC function is responsible for evaluating client relationships that pose the financial crimes risk, while also serving as a check and challenge over the first line's execution of enhanced due diligence. As the Compliance Director leading the FCC function, you will: Develop and implement Anti-Money Laundering, Sanctions, Anti-Corruption and Anti-Fraud Compliance programs and procedures for U.S. and Canada compliance Work closely with the Head(s) of Legal and Compliance in executing against multiple workstreams to mitigate relevant AML, sanctions, bribery and fraud risks Partner with business leaders and systems developers to design streamlined programs for various products. Provides training and guidance on policy and procedures to various stakeholders Implement and run all systems used for KYC/CIP, due diligence, transaction monitoring and investigations Develop a monitoring and testing program for all first-line financial crimes compliance activities Prepare financial crime and fraud metrics and reporting for management by collecting and analyzing information Review enhanced due diligence for both new and existing higher risk clients including analyzing corporate structures and other documentation as necessary Analyze and escalate financial crimes negative news as necessary Determine and provide guidance on the appropriate client risk ranking Review of client accounts for potential matches to designated sanctions targets and prohibited persons lists Engage various third-party and internal databases to assist with due diligence searches as needed Manage the build out of a small team of financial crimes professionals. Manage outsourced audits for FCC related areas. Manage the sponsor/partner bank contractual relationships as they related to FCC (BSA/AML) requirements. Qualifications What We're Looking for in You: The successful candidate should have a minimum of 5-7 years of experience in addressing financial crime and fraud risk and have a deep understanding of the AML, Sanctions, and Bribery laws and regulations. The candidate will need experience in drafting policies and procedures, conducting investigations, performing risk assessments, testing, and monitoring, third-party risk management, data analysis, and metrics reporting. Experience building FCC related programs. Experience working with payments or other financial services firms would be an advantage, but not essential. Bachelor's degree or equivalent military experience Strong analytical skills Excellent written and verbal communications skills, attention to detail and strong time management skills Ability to interact in a mature and professional manner with a variety of individuals Demonstrates initiative, good judgement, and can adhere to deadlines. Ability to interact with business unit personnel and be willing to receive and apply feedback on work product from leaders Excellent communication and business partnership skills. Teamwork skills - the candidate must be flexible in their work style and be able to work appropriately with stakeholders and colleagues at all levels and across multiple time zones. Degree in Business, Law, or professional experience and CAMS certification preferred. If not, currently CAMS certified, agree to obtain CAMS certification within first 15 months of employment EEO Statement Paymentus is an equal opportunity employer. We enthusiastically accept our responsibility to make employment decisions without regard to race, religious creed, color, age, sex, sexual orientation, national origin, ancestry, citizenship status, religion, marital status, disability, military service or veteran status, genetic information, medical condition including medical characteristics, or any other classification protected by applicable federal, state, and local laws and ordinances. Our management is dedicated to ensuring the fulfillment of this policy with respect to hiring, placement, promotion, transfer, demotion, layoff, termination, recruitment advertising, pay, and other forms of compensation, training, and general treatment during employment. Reasonable Accommodation Paymentus recognizes and supports its obligation to endeavor to accommodate job applicants and employees with known physical or mental disabilities who are able to perform the essential functions of the position, with or without reasonable accommodation. Paymentus will endeavor to provide reasonable accommodations to otherwise qualified job applicants and employees with known physical or mental disabilities, unless doing so would impose an undue hardship on the Company or pose a direct threat of substantial harm to the employee or others. An applicant or employee who believes he or she needs a reasonable accommodation of a disability should discuss the need for possible accommodation with the Human Resources Department, or his or her direct supervisor.

Who We Are Through our service brands Hyundai Motor Finance, Genesis Finance, and Kia Finance, Hyundai Capital America offers a wide range of financial products tailored to meet the needs of Hyundai, Genesis, and Kia customers and dealerships. We provide vehicle financing, leasing, subscription, and insurance solutions to over 2 million consumers and businesses. Embodying our commitment to grow, innovate, and diversify, we strive to reimagine the customer and dealer experience and launch innovative new products that broaden our market reach. We believe that success comes from within and are proud to support our team members through skill development and career advancement. Hyundai Capital America is an Equal Opportunity Employer committed to creating a diverse and inclusive culture for our workforce. We are a values-driven company dedicated to supporting both internal and external communities through volunteering, philanthropy, and the empowerment of our Employee Resource Groups. Together, we strive to be the leader in financing freedom of movement. We Take Care of Our People Along with competitive pay, as an employee of HCA, you are eligible for the following benefits: Medical, Dental and Vision plans that include no-cost and low-cost plan options Immediate 401(k) matching and vesting Vehicle purchase and lease discounts plus monthly vehicle allowances Paid Volunteer Time Off with company donation to a charity of your choice Tuition reimbursement What to Expect The Cybersecurity Governance Manager plays a critical role in the organization's second line of defense, ensuring policies, governance frameworks, and regulatory adherence in cybersecurity governance, risk and compliance across the organization. This role establishes oversight mechanisms, monitors compliance with industry regulations, and ensures access-related risks are effectively managed. In addition, this role ensures governance and compliance strategies are aligned with business objectives and security standards. What You Will Do 1. Cybersecurity Governance and Risk Management Manage, maintain and enforce security policies, standards and guidelines related to Cybersecurity governance processes. Develop, implement, maintain and execute a Cybersecurity Risk Register, Policy Risk Exception Process, and Procedures. Conduct risk assessments and impact analyses to identify risks, manage remediations, to ensure compliance across business systems, IT Infrastructure, and network operating environments. 2. Cybersecurity Risk Assessment Perform Global Integrated Security Framework (GSIF) assessments, monitor and ensure remediations are following GSIF ISO 27001 standards across cross-functional departments. Collaborate with Cybersecurity Risk Management, Cybersecurity Engineering Operations, and IT to ensure security best practices are integrated within each project and system deployment. Cybersecurity Governance and Risk Reporting Develop metrics and reporting for senior management and stakeholders that identify security risks and provide actionable insights to address gaps. Develop and maintain the governance mechanisms and automation tools track the Risk Register, and compliance status across the organization. Develop and maintain dashboards and regular reporting to manage management performance metrics, risk metrics. Qualifications What You Will Bring Minimum 5-7 years progressive experience in cybersecurity governance, risk management, or compliance within financial services with a deep understanding of the IT systems. Bachelor's degree in Cybersecurity, Information Security, Risk Management or a related field Master's degree a plus. Certifications such as CISSP, CISM, CRISC, CGEIT, CISA, and ITIL are highly desirable. Working knowledge of Cybersecurity risk management frameworks, Governance, Risk, and Compliance process, IT general controls (e.g. asset classification, risk assessments, vulnerability and threat analysis, risk treatment, audit controls and remediation, vendor risk management, and IT risk management & reporting). Working knowledge of Information Security & Risk Frameworks including ISO 27001/2, ISO 31000:2009, ISO 27005:2008; NIST Special Publications and Methodologies (e.g. SP800-12, 30, 37, 39, 53,150, 161). Working knowledge of California Consumer Privacy Act (CCPA), Gramm-Leach-Bliley Act (GLBA), NYDFS Cybersecurity Regulation, PCI-DSS, FFIEC, SOX, and other relevant laws and regulations. Basic understanding of financial regulatory frameworks and cybersecurity best practices. Ability to communicate complex security concepts to business leaders and technical teams. Work Environment Employees in this class are subject to extended periods of sitting, standing and walking, and using a computer. Work is performed in an office environment. The posted salary range for this job takes into account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; geographic location, and other business and organizational needs. Successful candidates may be hired anywhere in the salary range based on these factors. It is uncommon to hire candidates at or near the top of the range. California Privacy Notice This notice only applies to our applicants who reside in the State of California. The latest version of our Privacy Policy can be found here. This Privacy Policy provides you with notice, at or before the point of collection, about the categories of personal information to be collected from you, the purposes for which your personal information is collected or used, and whether that information is sold or shared, so that you can exercise meaningful control over our use of your personal information. We are providing this notice to comply with the California Consumer Privacy Act of 2018, as amended as amended by the California Privacy Rights Act of 2020 (“CCPA”). If you have any questions about CCPA regarding California residents or HCA team members, please contact the Privacy Team at Privacy2@hcs.com. Primary Location: United States-California-Irvine Work Locations: Headquarters 1 3161 Michelson Dr. Ste 1900, Irvine 92612 Job: Information Security Job Type: Regular Overtime Status: Exempt Schedule: Full-time Minimum Salary: $92,500.00 Maximum Salary: $143,500.00

Newport, an Ascensus company, helps employers offer their associates a more secure financial future through retirement plans, insurance and consulting services. Newport offers comprehensive plan solutions and consulting expertise to plan sponsors and the advisors who serve them. As a provider and partner, Newport is independent, experienced, and responsive. JOB SUMMARY: Performs compliance testing, testing review, document support and government forms preparation and review for highly complex retirement plan clients. Ensures that assigned plans remain tax qualified by meeting all IRS and DOL reporting and testing requirements. Also includes reporting on all accounting and financial activity for the plan. May provide technical training. Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform these essential functions . Prepares and/or reviews non-discrimination tests, top heavy tests, coverage tests, 415 annual addition tests on the largest and/or most technically complex plans - includes New Comparability plans, Multiple Employer Plan and “high profile” plans as well as additional compliance testing that must be done such as 401(a)4. May also perform and/or review more complex contribution calculations. Ensures that assigned plans remain tax qualified by meeting all IRS and DOL reporting and testing requirements which includes reporting on all accounting and financial activity for the plan. Maintains client database and enters changes into recordkeeping software. Completes testing and ensures quality control audit is performed. Submits financial reports and Form 5500 package for review, correction, approval and submission to client and governing agency. Allocates employer profit sharing, matching and/or money purchase pension contributions based upon plan provisions and submit to plan sponsor for approval. Works with administration team to produce distributions or allocations of contributions or forfeitures based upon client approval. Ensures deadlines are identified and met. Reviews legal plan document and all employee data and determines participant eligibility. Reconciles and/or reviews all financial activity and prepares government forms for the largest and most technically complex plans. Consults on, recommends and implements resolutions to client issues, satisfaction, response and any other items necessary to assure customer loyalty. Maintains current awareness and understanding of legislative changes, IRS rulings, and expert opinions related to the processing of retirement plans. Research new issues to determine their impact on plan qualification status and communicates with supervisor on daily processing issues. Serves as technical expert to compliance analysts and provides resolutions to support business. Coordinates year end processing issues with Relationship Managers/Client Service Managers. Also assists with any client calls. Leads process improvement projects deemed necessary after annual review of internal procedures by Compliance Manager incorporating any upcoming tax law updates. Assists in the training of new processes. Writes reports, business correspondence, and procedure manuals; effectively presents information and responds to questions from groups of managers, clients, customers, and the general public. Assists less experienced Compliance Analysts with day-to-day functions. Performs other duties, as assigned, that are related to the essential operation of the department. Applies advanced mathematical concepts utilizing current spreadsheet and accounting database software programs as well as completes detailed financial reconciliations and data analysis. Utilizes technical skills and available tools to solve compliance issues. Consistently meets and/or exceeds performance expectations with the ability to work under pressure in a very fast paced environment Focuses on learning in everyday activities and events Collaborates with and openly shares knowledge with colleagues Regular, reliable, and punctual attendance Management Responsibilities: None Required Education, Experience and Certificates, Licenses, Registrations 8 years of progressive plan experience in third party administration environment required. Successful completion of the ASPPA (RPF-1 & RPF-2 exams) designation and demonstrates knowledge in areas of controlled groups, cross testing, catch-up contributions and other current technical topics. Advanced knowledge of retirement plan tax lawn (ERISA) including Revenue Code section 401(a)(4), 416, 414(b), (c), (m), (n), as well as others. Strong MS Office skills to include Excel. Preferred (but not required) education or skills for this role are Bachelor's degree in a business-related field or industry experience. QKA designation a plus. ASC preferred. Competencies Independent Diplomatic Creative Problem Solver Integrity Analytical Thinker Resourceful Team Player Utilizes Sound Judgment Results Driven Thoroughness Exhibits Personal Credibility Written and Oral Communication Skills Client Service Focused TRAVEL: Less than 5%. Other Duties Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice. Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate ****************** ****************** email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website.

Newport, an Ascensus company, helps employers offer their associates a more secure financial future through retirement plans, insurance and consulting services. Newport offers comprehensive plan solutions and consulting expertise to plan sponsors and the advisors who serve them. As a provider and partner, Newport is independent, experienced, and responsive. Section 1: Position Summary Job Summary The ERISA Compliance Specialist works with various team members to provide comprehensive governance to qualified plan sponsors. In this client-facing role, you will work as a subject matter expert in ERISA, utilizing your expertise to develop and deliver qualified plan and governance analytics, author custom reports, and present findings to clients. As a subject matter expert in ERISA, you will advise clients on compliance, plan design, and administration, presenting complex legal and regulatory information to both technical and non-technical audiences. You will be responsible for the preparation of client reports, managing projects, and providing ongoing support for corporate qualified plans, coordinating with analysts and consultants on assigned plans. Your role includes managing projects and reports, staying current with changes in ERISA and related legislation, and ensuring fiduciary best practices. Your expert guidance will help clients navigate legislative and regulatory changes, optimize retirement plan administration, and maintain compliance with plan documents and the Employee Retirement Income Security Act (ERISA). Section 2: Job Functions, Essential Duties and Responsibilities Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform these essential functions. * Works with key individuals at various defined contribution recordkeeping and administration service organizations to obtain plan related data. * Reviews and analyzes data as required for preparation of client deliverables. * Plan data acquisition, review, analysis, and observations. * Provides ongoing support for corporate qualified plans. * Coordinates with analysts and consultants on assigned plans to complete client reports and projects. * Act as a trusted advisor to clients by providing expert guidance on ERISA compliance, ensuring their employee benefit plans meet all regulatory requirements. * Continuously monitor and interpret changes in ERISA legislation to help clients adapt and maintain plan level compliance. * Interpret plan documents. * Self-manages process from start to completion of assigned client deliverables and workflow with key contacts from record-keeper and administrative services providers. * Meticulousness required for quarterly deliverables to provide custom comprehensive written analysis with plan observations and recommendations. * Compiling, proofing, and formatting various governance and fiduciary materials. * Daily duties and quarterly reporting authorship requires checking data for numerical and contextual sensibility, compliance, notation on year-over-year changes, and producing written analysis with plan observations and recommendations. * Works with internal consultant team to develop and finalize client meeting deliverables in written report format. * Works on multiple projects simultaneously in a fast-paced demanding work environment. * Regular, reliable, and punctual attendance. * 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 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. * Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice. TRAVEL: Up to 10%. Supervision * N/A Section 3: Experience, Skills, Knowledge Requirements Required Education, Experience and Certificates, Licenses, Registrations * Bachelor's degree in accounting, math, business, or related field. * 3+ years of ERISA and defined contribution qualified plan experience with emphasis on 401(k) plan administration, compliance, consulting, or legal issues. * Computer proficiency, particularly working knowledge of Word, MS-Excel, and Power Point. Preferred Education & Skills * Experience with various major 401(k) recordkeeping service front provider organizations. * Licenses (FINRA Series 6 or 7, 66) * QKA designation * Project and time management skills required * Attention to detail, accuracy, analysis, and self-revision required Technical and Core Requirements For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual workspace 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 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").

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

Newport, an Ascensus company, helps employers offer their associates a more secure financial future through retirement plans, insurance and consulting services. Newport offers comprehensive plan solutions and consulting expertise to plan sponsors and the advisors who serve them. As a provider and partner, Newport is independent, experienced, and responsive. Section 1: Position Summary Job Summary The ERISA Compliance Specialist works with various team members to provide comprehensive governance to qualified plan sponsors. In this client-facing role, you will work as a subject matter expert in ERISA, utilizing your expertise to develop and deliver qualified plan and governance analytics, author custom reports, and present findings to clients. As a subject matter expert in ERISA, you will advise clients on compliance, plan design, and administration, presenting complex legal and regulatory information to both technical and non-technical audiences. You will be responsible for the preparation of client reports, managing projects, and providing ongoing support for corporate qualified plans, coordinating with analysts and consultants on assigned plans. Your role includes managing projects and reports, staying current with changes in ERISA and related legislation, and ensuring fiduciary best practices. Your expert guidance will help clients navigate legislative and regulatory changes, optimize retirement plan administration, and maintain compliance with plan documents and the Employee Retirement Income Security Act (ERISA). Section 2: Job Functions, Essential Duties and Responsibilities Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform these essential functions. * Works with key individuals at various defined contribution recordkeeping and administration service organizations to obtain plan related data. * Reviews and analyzes data as required for preparation of client deliverables. * Plan data acquisition, review, analysis, and observations. * Provides ongoing support for corporate qualified plans. * Coordinates with analysts and consultants on assigned plans to complete client reports and projects. * Act as a trusted advisor to clients by providing expert guidance on ERISA compliance, ensuring their employee benefit plans meet all regulatory requirements. * Continuously monitor and interpret changes in ERISA legislation to help clients adapt and maintain plan level compliance. * Interpret plan documents. * Self-manages process from start to completion of assigned client deliverables and workflow with key contacts from record-keeper and administrative services providers. * Meticulousness required for quarterly deliverables to provide custom comprehensive written analysis with plan observations and recommendations. * Compiling, proofing, and formatting various governance and fiduciary materials. * Daily duties and quarterly reporting authorship requires checking data for numerical and contextual sensibility, compliance, notation on year-over-year changes, and producing written analysis with plan observations and recommendations. * Works with internal consultant team to develop and finalize client meeting deliverables in written report format. * Works on multiple projects simultaneously in a fast-paced demanding work environment. * Regular, reliable, and punctual attendance. * 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 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. * Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice. TRAVEL: Up to 10%. Supervision * N/A Section 3: Experience, Skills, Knowledge Requirements Required Education, Experience and Certificates, Licenses, Registrations * Bachelor's degree in accounting, math, business, or related field. * 3+ years of ERISA and defined contribution qualified plan experience with emphasis on 401(k) plan administration, compliance, consulting, or legal issues. * Computer proficiency, particularly working knowledge of Word, MS-Excel, and Power Point. Preferred Education & Skills * Experience with various major 401(k) recordkeeping service front provider organizations. * Licenses (FINRA Series 6 or 7, 66) * QKA designation * Project and time management skills required * Attention to detail, accuracy, analysis, and self-revision required Technical and Core Requirements For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual workspace 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 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").

Newport, an Ascensus company, helps employers offer their associates a more secure financial future through retirement plans, insurance and consulting services. Newport offers comprehensive plan solutions and consulting expertise to plan sponsors and the advisors who serve them. As a provider and partner, Newport is independent, experienced, and responsive. Section 1: Position Summary Job Summary The ERISA Compliance Specialist works with various team members to provide comprehensive governance to qualified plan sponsors. In this client-facing role, you will work as a subject matter expert in ERISA, utilizing your expertise to develop and deliver qualified plan and governance analytics, author custom reports, and present findings to clients. As a subject matter expert in ERISA, you will advise clients on compliance, plan design, and administration, presenting complex legal and regulatory information to both technical and non-technical audiences. You will be responsible for the preparation of client reports, managing projects, and providing ongoing support for corporate qualified plans, coordinating with analysts and consultants on assigned plans. Your role includes managing projects and reports, staying current with changes in ERISA and related legislation, and ensuring fiduciary best practices. Your expert guidance will help clients navigate legislative and regulatory changes, optimize retirement plan administration, and maintain compliance with plan documents and the Employee Retirement Income Security Act (ERISA). Section 2: Job Functions, Essential Duties and Responsibilities Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform these essential functions . Works with key individuals at various defined contribution recordkeeping and administration service organizations to obtain plan related data. Reviews and analyzes data as required for preparation of client deliverables. Plan data acquisition, review, analysis, and observations. Provides ongoing support for corporate qualified plans. Coordinates with analysts and consultants on assigned plans to complete client reports and projects. Act as a trusted advisor to clients by providing expert guidance on ERISA compliance, ensuring their employee benefit plans meet all regulatory requirements. Continuously monitor and interpret changes in ERISA legislation to help clients adapt and maintain plan level compliance. Interpret plan documents. Self-manages process from start to completion of assigned client deliverables and workflow with key contacts from record-keeper and administrative services providers. Meticulousness required for quarterly deliverables to provide custom comprehensive written analysis with plan observations and recommendations. Compiling, proofing, and formatting various governance and fiduciary materials. Daily duties and quarterly reporting authorship requires checking data for numerical and contextual sensibility, compliance, notation on year-over-year changes, and producing written analysis with plan observations and recommendations. Works with internal consultant team to develop and finalize client meeting deliverables in written report format. Works on multiple projects simultaneously in a fast-paced demanding work environment. Regular, reliable, and punctual attendance. 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 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. Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice. TRAVEL: Up to 10%. Supervision N/A Section 3: Experience, Skills, Knowledge Requirements Required Education, Experience and Certificates, Licenses, Registrations Bachelor's degree in accounting, math, business, or related field. 3+ years of ERISA and defined contribution qualified plan experience with emphasis on 401(k) plan administration, compliance, consulting, or legal issues. Computer proficiency, particularly working knowledge of Word, MS-Excel, and Power Point. Preferred Education & Skills Experience with various major 401(k) recordkeeping service front provider organizations. Licenses (FINRA Series 6 or 7, 66) QKA designation Project and time management skills required Attention to detail, accuracy, analysis, and self-revision required Technical and Core Requirements For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual workspace 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 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.

Newport, an Ascensus company, helps employers offer their associates a more secure financial future through retirement plans, insurance and consulting services. Newport offers comprehensive plan solutions and consulting expertise to plan sponsors and the advisors who serve them. As a provider and partner, Newport is independent, experienced, and responsive. JOB SUMMARY: Performs compliance testing, testing review, document support and government forms preparation and review for highly complex retirement plan clients. Ensures that assigned plans remain tax qualified by meeting all IRS and DOL reporting and testing requirements. Also includes reporting on all accounting and financial activity for the plan. May provide technical training. Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform these essential functions . Prepares and/or reviews non-discrimination tests, top heavy tests, coverage tests, 415 annual addition tests on the largest and/or most technically complex plans - includes New Comparability plans, Multiple Employer Plan and “high profile” plans as well as additional compliance testing that must be done such as 401(a)4. May also perform and/or review more complex contribution calculations. Ensures that assigned plans remain tax qualified by meeting all IRS and DOL reporting and testing requirements which includes reporting on all accounting and financial activity for the plan. Maintains client database and enters changes into recordkeeping software. Completes testing and ensures quality control audit is performed. Submits financial reports and Form 5500 package for review, correction, approval and submission to client and governing agency. Allocates employer profit sharing, matching and/or money purchase pension contributions based upon plan provisions and submit to plan sponsor for approval. Works with administration team to produce distributions or allocations of contributions or forfeitures based upon client approval. Ensures deadlines are identified and met. Reviews legal plan document and all employee data and determines participant eligibility. Reconciles and/or reviews all financial activity and prepares government forms for the largest and most technically complex plans. Consults on, recommends and implements resolutions to client issues, satisfaction, response and any other items necessary to assure customer loyalty. Maintains current awareness and understanding of legislative changes, IRS rulings, and expert opinions related to the processing of retirement plans. Research new issues to determine their impact on plan qualification status and communicates with supervisor on daily processing issues. Serves as technical expert to compliance analysts and provides resolutions to support business. Coordinates year end processing issues with Relationship Managers/Client Service Managers. Also assists with any client calls. Leads process improvement projects deemed necessary after annual review of internal procedures by Compliance Manager incorporating any upcoming tax law updates. Assists in the training of new processes. Writes reports, business correspondence, and procedure manuals; effectively presents information and responds to questions from groups of managers, clients, customers, and the general public. Assists less experienced Compliance Analysts with day-to-day functions. Performs other duties, as assigned, that are related to the essential operation of the department. Applies advanced mathematical concepts utilizing current spreadsheet and accounting database software programs as well as completes detailed financial reconciliations and data analysis. Utilizes technical skills and available tools to solve compliance issues. Consistently meets and/or exceeds performance expectations with the ability to work under pressure in a very fast paced environment Focuses on learning in everyday activities and events Collaborates with and openly shares knowledge with colleagues Regular, reliable, and punctual attendance Management Responsibilities: None Required Education, Experience and Certificates, Licenses, Registrations 8 years of progressive plan experience in third party administration environment required. Successful completion of the ASPPA (RPF-1 & RPF-2 exams) designation and demonstrates knowledge in areas of controlled groups, cross testing, catch-up contributions and other current technical topics. Advanced knowledge of retirement plan tax lawn (ERISA) including Revenue Code section 401(a)(4), 416, 414(b), (c), (m), (n), as well as others. Strong MS Office skills to include Excel. Preferred (but not required) education or skills for this role are Bachelor's degree in a business-related field or industry experience. QKA designation a plus. ASC preferred. Competencies Independent Diplomatic Creative Problem Solver Integrity Analytical Thinker Resourceful Team Player Utilizes Sound Judgment Results Driven Thoroughness Exhibits Personal Credibility Written and Oral Communication Skills Client Service Focused TRAVEL: Less than 5%. Other Duties Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice. Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate ****************** ****************** email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website.

Newport, an Ascensus company, helps employers offer their associates a more secure financial future through retirement plans, insurance and consulting services. Newport offers comprehensive plan solutions and consulting expertise to plan sponsors and the advisors who serve them. As a provider and partner, Newport is independent, experienced, and responsive. JOB SUMMARY: Performs compliance testing, testing review, document support and government forms preparation and review for highly complex retirement plan clients. Ensures that assigned plans remain tax qualified by meeting all IRS and DOL reporting and testing requirements. Also includes reporting on all accounting and financial activity for the plan. May provide technical training. Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform these essential functions . Prepares and/or reviews non-discrimination tests, top heavy tests, coverage tests, 415 annual addition tests on the largest and/or most technically complex plans - includes New Comparability plans, Multiple Employer Plan and “high profile” plans as well as additional compliance testing that must be done such as 401(a)4. May also perform and/or review more complex contribution calculations. Ensures that assigned plans remain tax qualified by meeting all IRS and DOL reporting and testing requirements which includes reporting on all accounting and financial activity for the plan. Maintains client database and enters changes into recordkeeping software. Completes testing and ensures quality control audit is performed. Submits financial reports and Form 5500 package for review, correction, approval and submission to client and governing agency. Allocates employer profit sharing, matching and/or money purchase pension contributions based upon plan provisions and submit to plan sponsor for approval. Works with administration team to produce distributions or allocations of contributions or forfeitures based upon client approval. Ensures deadlines are identified and met. Reviews legal plan document and all employee data and determines participant eligibility. Reconciles and/or reviews all financial activity and prepares government forms for the largest and most technically complex plans. Consults on, recommends and implements resolutions to client issues, satisfaction, response and any other items necessary to assure customer loyalty. Maintains current awareness and understanding of legislative changes, IRS rulings, and expert opinions related to the processing of retirement plans. Research new issues to determine their impact on plan qualification status and communicates with supervisor on daily processing issues. Serves as technical expert to compliance analysts and provides resolutions to support business. Coordinates year end processing issues with Relationship Managers/Client Service Managers. Also assists with any client calls. Leads process improvement projects deemed necessary after annual review of internal procedures by Compliance Manager incorporating any upcoming tax law updates. Assists in the training of new processes. Writes reports, business correspondence, and procedure manuals; effectively presents information and responds to questions from groups of managers, clients, customers, and the general public. Assists less experienced Compliance Analysts with day-to-day functions. Performs other duties, as assigned, that are related to the essential operation of the department. Applies advanced mathematical concepts utilizing current spreadsheet and accounting database software programs as well as completes detailed financial reconciliations and data analysis. Utilizes technical skills and available tools to solve compliance issues. Consistently meets and/or exceeds performance expectations with the ability to work under pressure in a very fast paced environment Focuses on learning in everyday activities and events Collaborates with and openly shares knowledge with colleagues Regular, reliable, and punctual attendance Management Responsibilities: None Required Education, Experience and Certificates, Licenses, Registrations 8 years of progressive plan experience in third party administration environment required. Successful completion of the ASPPA (RPF-1 & RPF-2 exams) designation and demonstrates knowledge in areas of controlled groups, cross testing, catch-up contributions and other current technical topics. Advanced knowledge of retirement plan tax lawn (ERISA) including Revenue Code section 401(a)(4), 416, 414(b), (c), (m), (n), as well as others. Strong MS Office skills to include Excel. Preferred (but not required) education or skills for this role are Bachelor's degree in a business-related field or industry experience. QKA designation a plus. ASC preferred. Competencies Independent Diplomatic Creative Problem Solver Integrity Analytical Thinker Resourceful Team Player Utilizes Sound Judgment Results Driven Thoroughness Exhibits Personal Credibility Written and Oral Communication Skills Client Service Focused TRAVEL: Less than 5%. Other Duties Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice. Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate ****************** ****************** email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website.

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

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 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 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.

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 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 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.

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

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 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 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.

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 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 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.

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

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

Summary: This position is primarily responsible for assisting the Compliance Officer in maintaining bank policies and procedures to ensure consistent and efficient efforts in regard to regulatory compliance throughout the bank. This role typically operates in an office setting, with occasional travel conducting audits or attending training sessions. Reports to: Compliance Officer (CO) Essential Duties and Responsibilities: * Follows and incorporates First Bank's Core Values and established policies and procedures. * Assists the CO in staying updated on regulatory changes and assists the CO with making necessary adjustments. * Assists the CO in preparing and generating reports as required by the Board of Directors, Executive Management and governmental rules and regulations. * Assists the CO in scheduling and preparing materials for meetings with departments and supervisors, as necessary, to provide information and training on compliance changes that affect them or the operation of their departments. * Assists the CO in ensuring the Bank's website stays compliant as it relates to compliance. * Assists the CO in maintaining the compliance of laws and regulations relating to Deposit, Loan, Advertising, and CRA Compliance as they apply to the Bank. * Assists the CO in monitoring policies and programs that ensure the Bank's compliance with laws, regulations and rules governing operations and product offerings. * Research federal and state banking laws and regulations as needed. * As necessary, inform departments and management about compliance changes that affect them. * Assists the CO in maintaining the Compliance Management System and assists with preparing reports detailing the findings and corrective actions. * Regularly perform various audits/reviews to ensure policies and procedures are complying with federal laws and regulations. * Assists the CO with managing third party audits, including ensuring requests are completed and uploaded as required. * Assists the CO in maintaining all aspects of the CRA program, including coordinating meetings for the CO with various nonprofit organizations. * Provide training and guidance to employees on compliance-related matters. * Must be self-motivated, able to work with others, and handle different projects at one time. * Must maintain regular and reliable attendance. * Must be able to meet deadlines. * Other job duties as assigned. Requirements Qualifications/Requirements: * Strong knowledge of relevant laws, regulations, and industry standards. * Willing to learn, adhere to, and maintain knowledge of Bank policies and procedures. * Ability to read, analyze and interpret government regulations, trade journals and legal documents. * Ability to respond to coworkers in a professional and respectful manner. * Ability to effectively present information and respond to questions from coworkers. * Excellent analytical, problem-solving, and communication skills. * Computer literate. Able to operate various in-house software and spreadsheet programs. (Microsoft Office Suite and Teams) * Excellent organizational and time management skills. * Time off requests revolve around the timing of audits/exams. * Must be able to drive to the other branches for audits/reviews as necessary. * As the Compliance Officer home location is in the Fort Myers Branch, this position will train and meet at the Fort Myers location often. Education/Training/Experience: * Associate or bachelor's degree preferred. * Two plus years of proven experience in compliance, risk management, or a similar role. * Regulatory Certifications are a plus.

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.