Compliance Officer jobs at Wellington Group

FuturePlan is the nation's largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds: high-touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined together to deliver unmatched levels of service, innovation and expertise to a fast-growing client base from coast to coast. The FuturePlan team includes more than 500 credentialed plan professionals, 60 actuaries, and one of the industry's largest in-house ERISA teams. Learn more at FuturePlan.com. Section 1: Position Summary Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. *We have several openings for this role.* Section 2: Job Functions, Essential Duties and Responsibilities Ability to successfully complete and support the work outlined for the Compliance Associate roles Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations. Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information Supports DOL, IRS, and Large plan audits Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans Is responsible for plan administration, compliance and testing for identified blocks of business Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines Prepares annual valuation and compliance reports for Clients Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents Supports and completes assigned quality assurance reviews Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients. Our I-Client service philosophy and our Core Values of People Matter, Quality First and Integrity Always should be visible in your actions on a day-to-day basis showing your support of our organizational culture. Assist with other tasks and projects as assigned Section 3: Experience, Skills, Knowledge Requirements Bachelor's degree preferred 3 to 8+ years of hands-on Retirement plan testing experience will be considered Experience doing Employer Calculations Must have experience with 5500's and other relevant documents Experience with cash basis and/or trust accounting Strong Word, Excel, and Outlook skills Strong written and oral communication skills Strong analytical and problem-solving skills Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements QKA designation preferred but not required Involvement or work towards associates QPA designation preferred Prior experience with plan administration software, i.e. FT Williams or ASC preferred. The national average salary is $65,000 - $95,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis. Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits . We are proud to be an Equal Opportunity Employer Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate ****************** ****************** email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website.

ESSENTIAL FUNCTIONS: 1. Utilize training to become familiar with regulatory expectations in the areas of Regulatory Compliance. Develop an understanding of how changes in regulation impacts the Bank's policies, procedures, and programs. 2. Function as the HMDA Coordinator, responsible for the quarterly scrub of HMDA data provided by the respective business lines and compiling the data to prepare for annual submission. 3. Assist in the completion of the annual compliance testing program. Analyze information to identify gaps in the AmeriServ's Compliance Management System and suggest corrective actions. 4. Track Community Development activities, to include tracking investments, lending, donation and service hours. 5. Review of all marketing materials to ensure they meet applicable regulatory guidelines. 6. Manage the Ncontract Ncomply to ensure corporate policies are current, complaint management and regulation updates. 7. Review of the bank's Identity Theft Red Flags, to include review of red flags risk assessment, procedures, and training. 8. Sit as a member for both the Compliance, CRA/Fair Lending Committees and IT Tech Committee. 9. Manage the organization's annual Compliance Training Plan. 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. SUPERVISORY RESPONSIBILITY: This position requires no supervision of employees. WORK ENVIRONMENT: This job operates in a professional office environment. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. PHYSICAL DEMANDS: The employee is frequently required to: 1) Type or otherwise work with fingers; 2) Talk expressing or exchanging ideas by means of the spoken word. Those activities in which they must convey detailed or important spoken instructions to other workers or clients accurately, loudly, or quickly; 3) Hearing - perceiving the nature of sounds at normal speaking levels with/without correction. Ability to receive detailed information through oral communication and make the discriminations in sound; 4) Specific vision abilities required by this job include: viewing a computer monitor; extensive reading. Sedentary work may require occasionally lifting of up to 10 pounds and/or move up to 25 pounds. This work involves sitting most of the time with walking and sitting. TRAVEL: No travel is required for this position except for possible training and conferences. COMPETENCIES: 1. Communication Proficiency 2. Strong Computer Skills 3. Analytical Skills 4. Deadline Oriented 5. Organizational Skills 6. Independent Judgment 7. Ethical Conduct EDUCATION, TRAINING AND EXPERIENCE: Bachelor's Degree is required, along with Ten (10) years of banking related experience. Banking experience in Compliance, Audit or Operations is preferred. Database program experience is required

At WSFS Bank, we empower our Associates to grow their careers, guide our customers to secure their financial futures, and actively support our Communities so they can fully thrive. Careers with WSFS Bank offer an inclusive and supportive culture, competitive salaries, advancement opportunities, and more. We are the region's locally headquartered bank and wealth management company. We are honored to consistently be named a Top Workplace by our Associates, who make a difference every day for the people, businesses, and Communities we serve. We Stand For Service is more than part of our name, it's our mission and our purpose. The Compliance Analyst II is responsible for operational support duties of the Compliance Department. The incumbent's primary function is to execute assigned compliance monitoring and testing in accordance with WSFS Bank's established procedures and schedule. This position will require collaboration with fellow Compliance and Risk Associates as well as other business lines to ensure that WSFS Bank is compliant with all applicable regulations and laws while still standing by our mission of We Stand for Service. Job Responsibilities: Conduct thorough and timely compliance reviews in accordance with established procedures and prescribed schedule to include scheduling, planning, and facilitating meetings related to assigned monitoring and testing activities (e.g., kickoff, walkthroughs, exist meetings). Assess adherence to applicable regulatory obligations, policies, and procedures. Perform control testing of policies, procedures, processes; perform transactional testing, as applicable. Prepare and submit management reports and dashboards. Document and track findings and recommendations using the Bank's governance, risk, and compliance platform. Follow up on the status of open corrective action plans and verify that issues identified during tested have been remediated by the first line. Engage cross-functionally to cultivate effective business relationships and promote the Bank's culture of compliance. Provide support to all areas of the department as directed or where service or assistance is needed. Complete annual training assigned, that would be applicable to the role, and participate in any other training opportunities, as assigned, that may arise for opportunity to learn and grow. Maintain highly proficient knowledge of all applicable banking laws, rules, and regulations. Perform a variety of routine daily tasks; review reports, prepare correspondence; and participate in special department projects. Assure compliance with applicable Bank policies, procedures and processes, and all applicable state and federal banking laws, rules, and regulations. Provide support to various business lines in the form of providing regulatory guidance when requested. Participate in various project teams as the compliance liaison. Other duties as assigned. Minimum Qualifications: Must have a Bachelor's degree or 5 years of relevant work-related experience and/or training; or the equivalent combination of education and experience. Work related experience should consist of an in-depth background in financial institution operations, security, compliance, or legal areas involving banking laws, rules, and regulations, investigations or fraud prevention. Educational experience, through in-house training sessions, formal school or financial industry related curriculum, should be applicable to the financial industry, or regulatory or law enforcement agency. Professional accreditation such as a Certified Regulatory Compliance Manager (CRCM) or Certified Risk and Compliance Management Professional (CRCMP) is preferred. Knowledge of the alphabet of consumer protection deposit and lending laws and regulations (e.g., Truth in Savings, Electronic Fund Transfer Act, Unfair, Deceptive, or Abusive Acts or Practices, Fair Credit Reporting Act, Equal Credit Opportunity Act, Home Mortgage Disclosure Act, etc.) Ability to plan and execute multiple regulatory compliance tests (under minimal supervision) at the same time and meet deadlines. Ability to build and maintain effective relationships with both internal and external partners as needed to effectively address issues and obstacles. Excellent analytical skills and the ability to document and organize information in a repeatable manner. Ability to interpret and use data to critically review, assess, and support the department and business lines. Ability to adapt to change with excellent problem-solving skills. Comfortable making independent judgements that have significant impact on Associates, business lines and/or the organization. Strong technical aptitude including familiarity with systems and the ability to quickly learn and utilize systems efficiently. Must have excellent listening ability and presentation skills. Must be self-motivated and able to work with minimal supervision. Strong knowledge of Bank administration, lending and operations products and services; related state and federal laws and regulations, and other Bank operational policies and procedures. Effective verbal, written and interpersonal communication skills with the ability to apply common sense to carry out instructions and instruct others, train personnel, write reports, correspondence and procedures, and speak clearly to customers and Associates. Good organizational and time management skills. Salary Range: $62,918.00 - $103,365.50 Individual base pay may vary on additional factors such as the candidate's experience, job-related skills, relevant education, geographic location, and other specific business and organizational needs. In addition to base salary, WSFS Financial Corporation (WSFS) and its subsidiaries may offer eligible Associates discretionary and formula-based incentive and retention awards. WSFS provides a competitive benefits package, which includes medical, dental, and vision coverage; a 401(k) plan; life, accident, and disability insurance; flexible spending accounts (FSAs) and health savings accounts (HSAs); and wellness programs. Additional benefits may include paid parental leave, military leave, vacation and other paid time off, sick leave in accordance with applicable state laws, and paid holidays. Benefit offerings are subject to eligibility requirements, legal limitations, and may vary based on an Associate's location and employment status. For more information about Associate benefits, please visit *************************************** WSFS Bank is inclusive and supportive of individual needs. If you have a physical or other impairment that might require an accommodation, including technical assistance with the WSFS Bank Careers website or submission process, please contact us via email at ********************. WSFS is an equal opportunity employer. We do not discriminate based upon race, religion, color, national origin, gender (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

Analyst - Trade & Regulatory Compliance REPORTS TO: Manager - Trade & Regulatory Compliance The Analyst - Trade and Regulatory Compliance assists in the effective execution of compliant import/export activities within the global supply chain. This position will be responsible to partner with internal and external business partners to ensure a compliant first sale program. RESPONSIBILITIES: * Assist in the maintenance of internal import/export processes, procedures, and controls; upgrade and/or improve upon internal policies and processes to ensure on-going compliance in accordance with corporate policy guidelines. * Review daily transaction documentation to ensure accurate and compliant customs declarations. * Conduct monthly in-depth audits and work with the necessary business partners to implement first sale compliance related changes as needed. * Partner with internal business partners to identify new candidates for first sale participation. * Partner with external business partners to audit existing first sale partners. * Facilitate new vendor on-boarding trainings for First Sale for Export program. * Stay abreast of US trade laws and customs regulations as well as global standards; provide updates to management of new developments and potential risks/liabilities as well as any required modifications to current procedures. * Manage the Supply Chain Compliance team's resolution of Customs entry issues and concerns. * Assist with strategic projects to improve efficiency, compliance, and cost reduction initiatives. * Collaborate with other corporate regions (e.g., Mexico, Europe, and Licensed Locations), as well as the Legal Department, the Production Team, the Tax Department, the Transportation Teams, and other internal departments on trade and regulatory compliance matters. * Lead system enhancements for continuing improvement of trade data management by working collaboratively with our cross-functional technology partners. * Review and update the AEO Import Manual and AEO Corporate Vendor Manual, First Sale Manual and SOP's. * Performs other duties as assigned. QUALIFICATIONS: * Knowledge of first sale methodology is required. * Minimum of 3 years of experience managing customs and international trade and regulatory compliance programs; experience in the apparel industry a plus * Bachelor's degree in business, supply chain or logistics and/or equivalent work experience * Excellent communication skills (both oral and written); demonstrated analytical, strategic thinking and problem-solving skills; strong organizational and time management skills; attention to detail. * Solid knowledge and working understanding of international trade rules and regulations, including customs compliance, process control, internal and external audits: classification, valuation, Incoterms, origin, PGA's, and first sale. * Positive attitude toward customer service in meeting the needs of internal and external business partners including timely follow up and sense of urgency. * Demonstrated ability to weigh risk areas and business objectives, to propose and implement realistic solutions, and to turn complex trade and regulatory compliance requirements into scalable processes. * Ability to work well and indirectly manage others in a highly cross-functional and cross-regional team environment. * Ability to drive complex, cross functional projects including setting scope, reaching consensus, executing on tasks, and presenting results. * Ability to travel domestically and internationally on occasion. PAY/BENEFITS INFORMATION: * Actual starting pay is determined by various factors, including but not limited to relevant experience and location. * Subject to eligibility requirements, associates may receive health care benefits (including medical, vision, and dental); wellness benefits; 401(k) retirement benefits; life and disability insurance; employee stock purchase program; paid time off; paid sick leave; and parental leave and benefits. * Paid Time Off, paid sick leave, and holiday pay vary by job level and type, job location, employment classification (part-time or full-time / exempt or non-exempt), and years of service. For additional information, please click here. * AEO may also provide discretionary bonuses and other incentives at its discretion. #LI-MD1 #LI-HYBRID

Spruce Street Compliance is a compliance and operations consulting firm based out of Philadelphia, PA and Washington, DC. Our firm is committed to supporting progressive causes and candidates nation-wide. Some of our past and current clients include Pennsylvania Democratic Party, For Our Future, Asian Pacific Islander Political Alliance, Becca Balint for Congress, Josh Riley for Congress, and Zohran for New York City. We are looking for a Compliance Director based in our Philadelphia office to oversee the day-to-day financial management of a client portfolio. This position will report to the firm's President. Responsibilities· Manage compliance team including Managers and Associates· Serve as primary point of contact for clients· Lead preparation and filing of federal and non-federal campaign finance reports· Maintain client bookkeeping file, budget, and cashflow· Provide financial reports to clients· Perform bank and compliance software reconciliations· Register and terminate client's federal and nonfederal registrations· Process disbursements and track outstanding invoices· Oversee and process client payroll and staff benefit programs· On-boarding and off-boarding client staff· Maintain compliance with GAAP· Oversee compliance correspondence· Create, implement, and administer efficient workflows· Develop relationships with vendors and assist with client procurement Experience and Skills· 5+ years of experience working with political or non-profit organizations, at least 3 years in financial compliance· At least 2 years experience filing FEC reports required· Strong bookkeeping/accounting and budget building and tracking experience· Extensive experience with Quickbooks Online· Prior management experience and ability to create organizational systems for a team· Extensive experience with Word and Excel, including formulas, conditional formatting, macros, etc.· Experience with Google Business Suite and Dropbox· Strong attention to detail and ability to stay organized · Ability to manage multiple projects at once and meet strict deadlines· Ability to work evenings and weekends to meet deadlines· Willingness to take initiative and problem solve· Commitment to supporting progressive causes· Commitment to working within a diverse and inclusive work space Salary range: $100,000-$120,000/annually + generous benefits package including premium health insurance, retirement program, life insurance and professional development opportunities. A background check will be conducted after a conditional offer of employment has been made to a candidate. Spruce Street Compliance is an equal opportunity employer and committed to diversity, equity, and inclusion among its staff. The firm strongly encourages candidates from diverse backgrounds to apply and will hire based on qualifications of the candidate without regard to race, religion, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, and military or veteran status.

ESSENTIAL FUNCTIONS: 1. Utilize training to become familiar with regulatory expectations in the areas of Regulatory Compliance. Develop an understanding of how changes in regulation impacts the Bank's policies, procedures, and programs. 2. Function as the HMDA Coordinator, responsible for the quarterly scrub of HMDA data provided by the respective business lines and compiling the data to prepare for annual submission. 3. Under the direction of the supervisor, assist in the completion of the annual compliance testing program. Analyze information to identify gaps in the AmeriServ's Compliance Management System and suggest corrective actions. 4. Assist in the review of all marketing materials to ensure they meet applicable regulatory guidelines. 5. Assist management in maintaining General Policy Database to ensure corporate policies are current. 6. Assist supervisor in the review of the bank's Identity Theft Red Flags, to include review of red flags risk assessment, procedures, and training. 7. Sit as a member for both the Compliance and CRA/Fair Lending Committees 8. Assist in monitoring the bank's annual Compliance Training Plan. 9. Act as an administrator of the National Mortgage Licensing System Federal Registry, to include monitoring the addition, deletion, and renewal activity of the bank's Mortgage Loan Originators (MLO's) 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. SUPERVISORY RESPONSIBILITY: This position requires no supervision of employees. WORK ENVIRONMENT: This job operates in a professional office environment. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. PHYSICAL DEMANDS: The employee is frequently required to: 1) Type or otherwise work with fingers; 2) Talk expressing or exchanging ideas by means of the spoken word. Those activities in which they must convey detailed or important spoken instructions to other workers or clients accurately, loudly, or quickly; 3) Hearing - perceiving the nature of sounds at normal speaking levels with/without correction. Ability to receive detailed information through oral communication and make the discriminations in sound; 4) Specific vision abilities required by this job include: viewing a computer monitor; extensive reading. Sedentary work may require occasionally lifting of up to 10 pounds and/or move up to 25 pounds. This work involves sitting most of the time with walking and sitting. TRAVEL: No travel is required for this position except for possible training and conferences. COMPETENCIES: 1. Communication Proficiency 2. Strong Computer Skills 3. Analytical Skills 4. Deadline Oriented 5. Organizational Skills 6. Independent Judgment 7. Ethical Conduct EDUCATION, TRAINING AND EXPERIENCE: Bachelor's Degree is required, along with two (2) years of banking related experience. Banking experience in Compliance, Audit or Operations is preferred. Database program experience is required.

Summary of Basic Function: Responsible for maintaining internal compliance standards including BSA and AML and regulatory compliance, maintaining adherence to the institution's policies and procedures, consumer regulations, and Federal and state regulations, documentation of audits and reporting, and developing/facilitating compliance and BSA/AML training for Bank staff. Supports overall program effectiveness of the Bank's Compliance Program. Essential Duties and Responsibilities: Performs periodic compliance and BSA/AML audits, risk assessments and conducts ongoing compliance monitoring activities Prepares compliance work papers and reports Works with business areas to identify corrective actions to be taken for any identified procedural or training weaknesses Assists in the identification, implementation, and monitoring of compliance controls Regularly tracks and monitors outstanding compliance issues to ensure remediation and corrective action is completed by expected remediation date Collaborates with various business areas to assist in the development and maintenance of compliance policies and procedures Assists with the annual review of Compliance Department policies and procedures Assists with compiling compliance related data for management reporting Assesses training needs relating to Deposit Compliance and BSA/AML; develop and facilitate training as needed Responsible for accurate completion and timely filing of CTRs and SARs Reviews alerts and conducts investigations for potentially suspicious activity as detected by Verafin and staff Utilizes analytical skills to detect, mitigate, and prevent fraud Conducts initial and ongoing enhanced due diligence reviews for exempt customers and customers identified as high risk according to review policies Additional tasks and responsibilities may be assigned based on business need Knowledge, Skills, Abilities and Requirements: Bachelor's degree and/or 3-4 years previous related experience in banking operations, compliance, fraud or audit related functions Excellent written and verbal communication skills Strong analytical and problem-solving abilities Attention to detail and strong organizational skills Ability to work independently and manage multiple priorities Working knowledge of BSA/AML, OFAC, and other relevant regulations Prior experience utilizing BSA/AML software is a plus Physical Demands and Work Environment: This position offers hybrid flexibility, with the ability to work both remotely and on site in the office. Physical Requirements: prolonged standing (5-8 hours per day), frequent use of hands to manipulate/grasp objects, ability to communicate face to face and on the phone with clients, occasional bending and lifting from floor height, frequent forward reach, frequent lifting of 1-10lbs, occasional lifting of up to 50lbs, ability to see and read fine print, must be able to distinguish and count currency. Work may be performed in an office environment with normal noise levels. Involves prolonged sitting and computer usage. The position is headquartered in Pittsburgh, Pennsylvania, and incumbent will need to live within a commutable distance. Benefits At Brentwood Bank, we know that great people make a great organization. We value our people and offer our employees a broad range of benefits to support wellness for individuals and families. Our People and Culture Brentwood Bank is committed to a diverse, equitable, and inclusive culture that empowers our people to contribute their unique ideas and perspectives to make a difference. Brentwood Bank creates a strong relationship within the communities we serve and will continue to contribute our time, talent, and financial support to improve the areas where we live and work. Here, you will work alongside company leaders and industry pioneers who have proven experience and are committed to continuous innovation. Employees feel valued in all aspects of their lives, including both their professional and personal aspirations. We are looking to hire the best and brightest to help us continue to evolve and drive superior services. Professional Development From entry-level employees to senior leaders, we believe there is always room to learn. We offer opportunities to build new skills, take on leadership opportunities, and grow connect through mentorship. From on-the-job training to formal development programs, our professionals have a variety of opportunities to continue to grow throughout their career.

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").

Spruce Street Compliance is a compliance and operations consulting firm based out of Philadelphia, PA and Washington, DC. Our firm is committed to supporting progressive causes and candidates nation-wide. Some of our past and current clients include Pennsylvania Democratic Party, For Our Future, Asian Pacific Islander Political Alliance, Becca Balint for Congress, Josh Riley for Congress, and Zohran for New York City. We are looking for a Compliance Manager based in our Philadelphia office to help oversee the day-to-day financial management of a client portfolio. This position will report to the firm's Compliance Director and President. Responsibilities· Manage the day-to-day operations and financial activity for clients· Oversee a team of Associates with income record-keeping into compliance databases and accounting files· Process disbursements and track outstanding invoices· Assist Compliance Director in managing client's budget and tracking cash flow· On-boarding and off-boarding client staff· Process client payroll and 1099s· Perform bank and compliance software reconciliations· Prepare and file federal and non-federal campaign finance reports· Contribute to regular finance reports for clients· Maintain compliance with GAAP· Oversee compliance correspondence· Assist Compliance Director with client procurement and maintaining vendor relationships Experience and Skills· 2-4 years of experience working with political or non-profit organizations· At least one year of experience with non-profit and/or campaign finance compliance· Bookkeeping experience· Previous experience with Quickbooks Online preferred· Moderate to advanced experience with Excel, Google Business Suite, and Dropbox· Strong attention to detail and ability to stay organized· Ability to manage multiple projects at once and meet strict deadlines· Ability to work evenings and weekends to meet deadlines· Commitment to supporting progressive causes· Commitment to working within a diverse and inclusive work space Salary range: $68,000-$85,000//annually + generous benefits package including premium health insurance, retirement program, life insurance and professional development opportunities. A background check will be conducted after a conditional offer of employment has been made to a candidate Spruce Street Compliance is an equal opportunity employer and committed to diversity, equity, and inclusion among its staff. The firm strongly encourages candidates from diverse backgrounds to apply and will hire based on qualifications of the candidate without regard to race, religion, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, and military or veteran status.

Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests. Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment - one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there. Who We Are We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life. Today, we're part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what's important to them. We're empowered by a vast agent network covering North America, with diversity to match. Together with our nonprofit research institute and foundation, we tune in, step up, and are a force for good - for our customers and the communities where we live, work, and play. United in our purpose, we help people create the financial freedom to live life on their terms. What We Do Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs. Transamerica employs nearly 7,000 people. It's part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide.* For more information, visit transamerica.com. Summary Supports Transamerica's retirement compliance program for record-keeping and fiduciary administration services provided to our qualified retirement plan clients. Helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and applicable regulatory requirements. Possesses and applies broad knowledge of business and regulatory concepts and principles; works with minimal instruction or guidance with applicable latitude for unreviewed action or decisions; performs more complex assignments with minimal direction and guidance from management. Responsibilities: * Perform risk-based independent compliance testing for the record-keeping and fiduciary administration affiliates. * Maintain and update assigned compliance risk assessments, as part of the team's annual compliance monitoring plan. * Monitor federal/state laws and regulations, as well as applicable rulings, notices and guidance, as they pertain to qualified retirement plan administration and record-keeping services, and advise senior leadership of impact to current processes. * Evaluate process workflows/maps to identify potential areas of risk (e.g. - regulatory, legal, operational, reputational, etc.) and effectiveness of key controls. * Act as a trusted advisor to the record-keeping and fiduciary administration affiliates regarding best practices and remediation of regulatory compliance concerns. * Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives. * Update and maintain complete and accurate compliance logs or files. * Assist team members with research and assigned tasks. * Create and present compliance training, as necessary. * May assist management with highly complex projects and coaching/development of staff. * Maintain open communication with business process owners on testing scope, objectives and progress. * Coordinate and conduct meetings and interviews with business process owners and staff; gather data, procedures and other documentation necessary for performing assigned compliance testing. * Propose testing scope, review internal controls and compare records, operating practices, and documentation with test attributes applicable to assigned audits. * Document tests and findings; appraise adequacy of internal compliance controls, propose recommendations and coordinate/document corrective action plans. * Draft compliance reports and present/discuss findings with business process owners and senior management. * Active participation in the periodic compliance risk assessment process, development of annual testing plans, scheduling/assignment of testing, and design of compliance testing programs. Qualifications: * Bachelor's degree or equivalent education and experience. * Four years of qualified retirement plan administration experience. * Working knowledge and oversight experience in the following regulatory compliance areas as applicable to qualified retirement plans: ERISA/DOL/IRS regulatory and qualification requirements for single employer and MEP/PEP retirement programs, EPCRS guidelines, and applicable plan/participant reporting and disclosure requirements. * Written and verbal communication skills. * Successfully present complex technical information to non-technical audiences. * Analytical and research skills. * Proficiency using MS Office tools. Preferred Qualifications: * Industry certifications preferred (e.g. - QPA, QKA, QKC) Working Conditions: * Hybrid working environment: Baltimore, Cedar Rapids, Philadelphia, Denver Compensation: * The Salary for this position generally ranges between $82,000 - $90,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law. * Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company's discretion. #LI-BD1 Applicants must possess legal authorization to work for our company in the U.S. without the need for immigration sponsorship or otherwise serving as an employer of record for immigration employment purposes. At this time, this role is not eligible for immigration-related employment authorization sponsorship. This is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request. What We Offer For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees. Compensation Benefits * Competitive Pay * Bonus for Eligible Employees Benefits Package * Pension Plan * 401k Match * Employee Stock Purchase Plan * Tuition Reimbursement * Disability Insurance * Medical Insurance * Dental Insurance * Vision Insurance * Employee Discounts * Career Training & Development Opportunities Health and Work/Life Balance Benefits * Paid Time Off starting at 160 hours annually for employees in their first year of service. * Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays). * Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars * Parental Leave - fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child. * Adoption Assistance * Employee Assistance Program * College Coach Program * Back-Up Care Program * PTO for Volunteer Hours * Employee Matching Gifts Program * Employee Resource Groups * Inclusion and Diversity Programs * Employee Recognition Program * Referral Bonus Programs Inclusion & Diversity We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We're thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women. To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all. Giving Back We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work. Transamerica's Parent Company Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 million people across the globe.* It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity. * As of December 31, 2023

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.

Primary Office Location: 626 Washington Place. Pittsburgh, Pennsylvania. 15219. Join our team. Make a difference - for us and for your future. AML and Sanctions Compliance Program Manager Business Unit: Compliance Reports to: Managing Director of AML Risk Management Position Overview: This position is primarily responsible for managing a team of AML professionals responsible for providing Line of Business specific (i.e. Retail, Commercial) or enterprise-wide oversight for money laundering and sanctions laws and regulations. The incumbent is responsible for monitoring, testing and the BSA/AML/Sanctions risk assessments. The incumbent is a subject matter expert and interacts with senior leaders in the organization and regulatory agencies. Primary Responsibilities: Responsible for BSA/AML/Sanctions Risk Assessments. Oversee issue remediation/control enhancement activities appropriately and in a timely manner, identifying common themes and widespread trends. Contribute to a plan which defines the scope and risk-based focus of the second line's activities. Assist in the review and approval of complex deals and similar escalations. Evaluate new products and business initiatives submitted through respective channels for AML, financial crime, and Sanctions risks. Summarize complex topics concisely and drive practical outcomes. Where required, attend internal or external committee meetings on behalf of management or the organization. Conceptualize and assist with the implementation of technology based solutions which enhance the efficiency and strength of processes and controls supporting compliance. Take an active leadership role in identifying regulatory changes and advising 1st line leaders to ensure regulatory requirements are addressed in their respective processes and controls. Responsible for the governance of policies, standards, and procedures to ensure regulatory risk requirements are appropriately addressed. Participate in industry forums regarding regulatory expectations, emerging legislation and regulation, political scrutiny, litigation, and key influencers (trade associations, PACs, lobbyists, consumer groups, and media) in the subject area to identify and mitigate emerging risks. Advises business leaders on those changes, directs the appropriate areas to implement or enhance controls. Oversee/lead regulatory exams/audits/inquiries and may provide consultation to business leaders in preparation for regulatory exams/audits/inquiries. Inspect commitments made regarding actions in responses to MRAs and other actions are completed. The position will focus on succession planning, leadership and team development, coaching, assessment, employee engagement and the use of the appropriate talent management, team and leadership tools and practices to lead leaders, teams and organization to drive performance excellence. May serve as BSA Officer of affiliate or subsidiary. Performs other related duties and projects as assigned. All employees have the responsibility and the accountability to serve as risk managers for their businesses by understanding, reporting, responding to, managing and monitoring the risk they encounter daily as required by F.N.B. Corporation's risk management program. F.N.B. Corporation is committed to achieving superior levels of compliance by adhering to regulatory laws and guidelines. Compliance with regulatory laws and company procedures is a required component of all position descriptions. Minimum Level of Education Required to Perform the Primary Responsibilities of this Position: BA or BS Minimum # of Years of Job Related Experience Required to Perform the Primary Responsibilities of this Position: 5 Skills Required to Perform the Primary Responsibilities of this Position: Excellent management skills Excellent communication skills, both written and verbal Excellent organizational, analytical and interpersonal skills Excellent project management skills Ability to work and multi-task in a fast paced environment Detail-oriented Superior organizational skills, proven leader, and a strong regulatory and compliance or equivalent background preferably in the following areas: monitoring & testing, governance and oversight, risk assessments and reporting. Licensures/Certifications Required to Perform the Primary Responsibilities of this Position: CAMS Physical Requirements or Work Conditions Beyond Traditional Office Work: N/A Equal Employment Opportunity (EEO): It is the policy of F.N.B. Corporation (FNB) and its affiliates not to discriminate against any employee or applicant for employment because of age, race, color, religion, sex, national origin, disability, veteran status or any other category protected by law. It is also the policy of FNB and its affiliates to employ and advance in employment all persons regardless of their status as individuals with disabilities or veterans, and to base all employment decisions only on valid job requirements. FNB provides all applicants and employees a discrimination and harassment free workplace.

The Compliance Specialist supports the Bank's Compliance Management System by assisting in the development, execution, and maintenance of second-line control functions designed to monitor adherence to consumer protection laws and regulations. Reporting to the Chief Compliance Officer, this position emphasizes operational support and process management, with the incumbent working closely with compliance officers and business line partners to ensure that day-to-day control activities are completed accurately, timely, and in accordance with internal standards and regulatory expectations. Candidate will have the opportunity to work a hybrid schedule after successfully completing training and supervisor approval. This position is ideal for a detail-oriented, analytical individual seeking to build a career in regulatory compliance through hands-on exposure to operational processes within a community bank. Additional responsibilities include supporting compliance-related operational tasks as directed by the Chief Compliance Officer. Education and Experience Requirements: High School diploma or equivalent required; Associate's or Bachelor's degree preferred. Minimum of one-year experience working at a financial institution as a paralegal, auditor, risk/compliance specialist, or in either a retail or operations role. Knowledge, Skill, and Ability Requirements: Proficient Microsoft Office Suite and database programs. Strong attention to detail, critical thinking skills, and ability to follow procedures with accuracy and consistency. Ability to learn and master tasks and terms quickly, meet deadlines and work under pressure, as well as adapt to evolving regulatory and operational priorities. Ability to learn to utilize tools, techniques, processes, and technology for extracting and gathering data for analysis and reporting to ensure alignment with policies and regulatory requirements. Excellent communication skills, both verbal and written. Ability to work independently and to prioritize projects. Demonstrated ability to work collaboratively across departments while exercising sound judgment. Ability to maintain a high level of confidentiality. Essential Functions: Assist in maintaining and executing the Bank's second-line operational compliance controls, as well as conducting data analysis to ensure controls are working as intended. Document and track compliance issues, ensuring that issue management records are accurate, complete, and updated throughout the lifecycle. Assist operational departments with responses to compliance audits and examinations. Report to the Compliance Committee on periodic control performance and evolving regulatory priorities as directed by the Chief Compliance Officer. Perform research pertaining to compliance issues. Assist in drafting and implementing procedures for compliance matters. Assist in other tasks as directed by the Chief Compliance Officer. All employees have the responsibility and the accountability to serve as risk managers for their businesses by understanding, reporting, responding to, managing, and monitoring the risk they encounter daily as required by Dollar Bank's risk management program. Compliance with regulatory laws and company procedures is a required component of all position descriptions.

The Compliance Specialist supports the Bank's Compliance Management System by assisting in the development, execution, and maintenance of second-line control functions designed to monitor adherence to consumer protection laws and regulations. Reporting to the Chief Compliance Officer, this position emphasizes operational support and process management, with the incumbent working closely with compliance officers and business line partners to ensure that day-to-day control activities are completed accurately, timely, and in accordance with internal standards and regulatory expectations. Candidate will have the opportunity to work a hybrid schedule after successfully completing training and supervisor approval. This position is ideal for a detail-oriented, analytical individual seeking to build a career in regulatory compliance through hands-on exposure to operational processes within a community bank. Additional responsibilities include supporting compliance-related operational tasks as directed by the Chief Compliance Officer. Education and Experience Requirements: High School diploma or equivalent required; Associate's or Bachelor's degree preferred. Minimum of one-year experience working at a financial institution as a paralegal, auditor, risk/compliance specialist, or in either a retail or operations role. Knowledge, Skill, and Ability Requirements: Proficient Microsoft Office Suite and database programs. Strong attention to detail, critical thinking skills, and ability to follow procedures with accuracy and consistency. Ability to learn and master tasks and terms quickly, meet deadlines and work under pressure, as well as adapt to evolving regulatory and operational priorities. Ability to learn to utilize tools, techniques, processes, and technology for extracting and gathering data for analysis and reporting to ensure alignment with policies and regulatory requirements. Excellent communication skills, both verbal and written. Ability to work independently and to prioritize projects. Demonstrated ability to work collaboratively across departments while exercising sound judgment. Ability to maintain a high level of confidentiality. Essential Functions: Assist in maintaining and executing the Bank's second-line operational compliance controls, as well as conducting data analysis to ensure controls are working as intended. Document and track compliance issues, ensuring that issue management records are accurate, complete, and updated throughout the lifecycle. Assist operational departments with responses to compliance audits and examinations. Report to the Compliance Committee on periodic control performance and evolving regulatory priorities as directed by the Chief Compliance Officer. Perform research pertaining to compliance issues. Assist in drafting and implementing procedures for compliance matters. Assist in other tasks as directed by the Chief Compliance Officer. All employees have the responsibility and the accountability to serve as risk managers for their businesses by understanding, reporting, responding to, managing, and monitoring the risk they encounter daily as required by Dollar Bank's risk management program. Compliance with regulatory laws and company procedures is a required component of all position descriptions. Schedule Information Monday through Friday 8:45 AM to 5:00PM EEO Statement Dollar Bank is an Equal Opportunity Employer. Minority/Female/Veteran/Disabled Benefits Information Full-time employees are eligible for a comprehensive benefits package including medical, dental, vision, 401(k) with immediate vesting, tuition reimbursement, and gym membership reimbursement. Part-time employees qualify for 401(k) with immediate vesting, tuition reimbursement, and gym reimbursement. For more information, please visit ************************************************

At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One. Job Description The Network Compliance Manager is responsible for maintaining a high degree of knowledge of Payment Network (Visa, Mastercard, American Express) operations, products, and services. Ensures compliance with Network Operating Rules and Regulations for all Payment Network brands issued by PCS. Leads bi-annual release event projects for PCS. Responsible for review and distribution of all Network communications and works with internal stakeholders to identify impacts and solutions to achieve compliance. Manages PCS noncompliance and negotiates waivers with Payment Networks as needed to mitigate fine exposure. Responsibilities: * Network Compliance and Communication Management * Compliance with Network Operating Rules and Regulations for all Payment Network brands issued by PCS * Oversight of regular system enhancements required by the Payment Networks, including identification, communication and management of related technical, financial, and operational impacts * Review and analyze all network communications (mandates and bulletins) and master content, including business justification behind changes * Review and distribute network communications, assess business impacts, research questions, and resolve issues through proactive engagement of internal and external stakeholders * Manage Digital Certificate lifecycles, working with internal and external stakeholders to ensure certificates are updated/replaced ahead of expiration to support business continuity * Maintain thorough and comprehensive project documentation * Noncompliance and Waiver Management * Identify and research business solutions, facilitate cross team coordination, and support project implementations * Own Network Compliance-related Internal Controls and manage periodic audits and control testing by the BLQA group Preferred Skills and Education: * Bachelor's degree in management or related field * 8 years' experience in Product or Project Management or Operations * 5+ years of experience managing resources in the payments and/or operational area * Comfort and acumen in dealing with fast-paced, highly ambiguous and rapidly evolving environment typical of early-stage business formation * Strong working knowledge of the financial industry, card processing, card networks, and operations, including an understanding of how the money moves between platforms and related interchange and other card fee structures * Demonstrated ability to ensure compliance controls and interpret regulatory requirements * Strong written and verbal communication skills, including the ability to present across all levels of the organization * Analytical, Critical thinking and problem-solving skills * Highly organized with the ability to handle multiple projects simultaneously and experience implementing process changes and improvements * Demonstrated ability to develop effective working relationships with business stakeholders at all levels, including executive managers and vendors, and excel in a large, complex organization Keys to Success: * Building long-term collaborative relationships * Willingness to jump in and learn - often on short notice * Engage across the organization * Critical Thinking * Self-leadership * Drive results * Foster innovation * Personal energy * Curiosity * Resourcefulness Location Expectations The role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days. If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants. Benefits: Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours): * Healthcare (medical, dental, vision) * Basic term and optional term life insurance * Short-term and long-term disability * Pregnancy disability and parental leave * 401(k) and employer-funded retirement plan * Paid vacation (from two to five weeks depending on salary grade and tenure) * Up to 11 paid holiday opportunities * Adoption assistance * Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law. E-Verify U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program. The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $111,605.00 - $131,300.00 U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies. Posting may be closed earlier due to high volume of applicants.

At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One. **Job Description** The Network Compliance Manager is responsible for maintaining a high degree of knowledge of Payment Network (Visa, Mastercard, American Express) operations, products, and services. Ensures compliance with Network Operating Rules and Regulations for all Payment Network brands issued by PCS. Leads bi-annual release event projects for PCS. Responsible for review and distribution of all Network communications and works with internal stakeholders to identify impacts and solutions to achieve compliance. Manages PCS noncompliance and negotiates waivers with Payment Networks as needed to mitigate fine exposure. **Responsibilities** : + Network Compliance and Communication Management + Compliance with Network Operating Rules and Regulations for all Payment Network brands issued by PCS + Oversight of regular system enhancements required by the Payment Networks, including identification, communication and management of related technical, financial, and operational impacts + Review and analyze all network communications (mandates and bulletins) and master content, including business justification behind changes + Review and distribute network communications, assess business impacts, research questions, and resolve issues through proactive engagement of internal and external stakeholders + Manage Digital Certificate lifecycles, working with internal and external stakeholders to ensure certificates are updated/replaced ahead of expiration to support business continuity + Maintain thorough and comprehensive project documentation + Noncompliance and Waiver Management + Identify and research business solutions, facilitate cross team coordination, and support project implementations + Own Network Compliance-related Internal Controls and manage periodic audits and control testing by the BLQA group **Preferred Skills and Education:** + Bachelor's degree in management or related field + 8 years' experience in Product or Project Management or Operations + 5+ years of experience managing resources in the payments and/or operational area + Comfort and acumen in dealing with fast-paced, highly ambiguous and rapidly evolving environment typical of early-stage business formation + Strong working knowledge of the financial industry, card processing, card networks, and operations, including an understanding of how the money moves between platforms and related interchange and other card fee structures + Demonstrated ability to ensure compliance controls and interpret regulatory requirements + Strong written and verbal communication skills, including the ability to present across all levels of the organization + Analytical, Critical thinking and problem-solving skills + Highly organized with the ability to handle multiple projects simultaneously and experience implementing process changes and improvements + Demonstrated ability to develop effective working relationships with business stakeholders at all levels, including executive managers and vendors, and excel in a large, complex organization **Keys to Success:** + Building long-term collaborative relationships + Willingness to jump in and learn - often on short notice + Engage across the organization + Critical Thinking + Self-leadership + Drive results + Foster innovation + Personal energy + Curiosity + Resourcefulness **Location Expectations** The role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days. If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants (****************************************************************************** . **Benefits:** Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours): + Healthcare (medical, dental, vision) + Basic term and optional term life insurance + Short-term and long-term disability + Pregnancy disability and parental leave + 401(k) and employer-funded retirement plan + Paid vacation (from two to five weeks depending on salary grade and tenure) + Up to 11 paid holiday opportunities + Adoption assistance + Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law. **E-Verify** U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program (********************************************************************** . The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $111,605.00 - $131,300.00 U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies. **Posting may be closed earlier due to high volume of applicants.**

Salary Grade: Manager IV Duties: Is responsible for developing, implementing, and maintaining the Bank's compliance management program to ensure adherence with all applicable federal and state banking laws, regulations, and internal policies. This individual will serve as a subject matter expert on regulatory compliance, monitor ongoing activities, conduct risk assessments, and provide guidance to management and staff to promote a strong culture of compliance across the organization. Skills: Strong knowledge of federal and state banking laws and regulations, including but not limited to: CRA, Fair Lending, Reg Z (TILA), Reg E (EFTA), TISA, RESPA, HMDA, UDAAP, FDPA, and Privacy regulations. Experience interacting with regulatory agencies and responding to exams. Excellent analytical, problem-solving, and critical-thinking skills. Strong written and verbal communication skills with the ability to present complex issues clearly. High ethical standards and integrity; ability to exercise sound judgment. Proven ability to build collaborative relationships across business lines. Detail-oriented with strong organizational skills. Experience: 5-7+ years of experience in banking compliance, internal audit, or risk management. Education: 4-year degree in Business, Finance, Accounting, or related field (advanced degree or JD preferred) or 10 years compliance management experience.

Primary Office Location: 626 Washington Place. Pittsburgh, Pennsylvania. 15219. Join our team. Make a difference - for us and for your future. AML Compliance Specialist 1 Business Unit: Compliance Reports to: Varies Based on Assignment The AML Compliance Specialist is a mid-level professional role responsible for establishing internal procedures to prevent money laundering and assisting in all matters concerning financial crimes in coordination with the broader Anti-Money Laundering (AML) department. The overall objective is to utilize established disciplinary knowledge to evaluate risk exposure and formulate strategic recommendations on policies, procedures, and practices. Primary Responsibilities: Complete risk assessments that evaluate the AML and sanctions risk factors and the effectiveness of controls designed to manage those risks. Utilize knowledge of regulatory compliance, analytical reasoning, project management skills, and the financial services industry, to implement and administer compliance processes. Use interpersonal skills as part of a cross-functional team whereby you interact with specific lines of business and management to understand current and prospective practices, consider the impact of new or impending regulatory standards and recommend control enhancements as necessary. Serve as a line of business contact and provide regulatory compliance advice for products, services, and customers. Evaluate and respond to escalated matters, further escalate as required, and advise senior management on next steps as needed. Develop policies, procedures, and training material that support AML risk management. Performs other related duties and projects as assigned. All employees have the responsibility and the accountability to serve as risk managers for their businesses by understanding, reporting, responding to, managing and monitoring the risk they encounter daily as required by F.N.B. Corporation's risk management program. F.N.B. Corporation is committed to achieving superior levels of compliance by adhering to regulatory laws and guidelines. Compliance with regulatory laws and company procedures is a required component of all position descriptions. Minimum Level of Education Required to Perform the Primary Responsibilities of this Position: BA or BS Minimum # of Years of Job Related Experience Required to Perform the Primary Responsibilities of this Position: 3 Skills Required to Perform the Primary Responsibilities of this Position: Excellent project management skills Excellent communication skills, both written and verbal Excellent customer service skills Ability to use general office equipment Ability to use a personal computer and job-related software MS Word - Basic Level MS Excel - Intermediate Level MS PowerPoint - Basic Level Experience in a job related position. Background in banking, business or criminology preferred. Licensures/Certifications Required to Perform the Primary Responsibilities of this Position: N/A Physical Requirements or Work Conditions Beyond Traditional Office Work: N/A Equal Employment Opportunity (EEO): It is the policy of F.N.B. Corporation (FNB) and its affiliates not to discriminate against any employee or applicant for employment because of age, race, color, religion, sex, national origin, disability, veteran status or any other category protected by law. It is also the policy of FNB and its affiliates to employ and advance in employment all persons regardless of their status as individuals with disabilities or veterans, and to base all employment decisions only on valid job requirements. FNB provides all applicants and employees a discrimination and harassment free workplace.