Compliance Officer jobs at Trust Point

FuturePlan is the nation's largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds: high-touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined together to deliver unmatched levels of service, innovation and expertise to a fast-growing client base from coast to coast. The FuturePlan team includes more than 500 credentialed plan professionals, 60 actuaries, and one of the industry's largest in-house ERISA teams. Learn more at FuturePlan.com. Section 1: Position Summary Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. * We have several openings for this role.* Section 2: Job Functions, Essential Duties and Responsibilities * Ability to successfully complete and support the work outlined for the Compliance Associate roles * Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations. * Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information * Supports DOL, IRS, and Large plan audits * Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans * Is responsible for plan administration, compliance and testing for identified blocks of business * Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines * Prepares annual valuation and compliance reports for Clients * Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents * Supports and completes assigned quality assurance reviews * Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients. * Our I-Client service philosophy and our Core Values of People Matter, Quality First and Integrity Always should be visible in your actions on a day-to-day basis showing your support of our organizational culture. * Assist with other tasks and projects as assigned Section 3: Experience, Skills, Knowledge Requirements * Bachelor's degree preferred * 3 to 8+ years of hands-on Retirement plan testing experience will be considered * Experience doing Employer Calculations * Must have experience with 5500's and other relevant documents * Experience with cash basis and/or trust accounting * Strong Word, Excel, and Outlook skills * Strong written and oral communication skills * Strong analytical and problem-solving skills * Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters * Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements * QKA designation preferred but not required * Involvement or work towards associates QPA designation preferred * Prior experience with plan administration software, i.e. FT Williams or ASC preferred. The national average salary is $65,000 - $95,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis. Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits. We are proud to be an Equal Opportunity Employer Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate ****************** ****************** email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website. For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual work space and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 MBps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying. Ascensus provides equal employment opportunities to all associates and applicants for employment without regard to ancestry, race, color, religion, sex, (including pregnancy, childbirth, breastfeeding and/or related medical conditions), gender, gender identity, gender expression, national origin, age, physical or mental disability, medical condition (including cancer and genetic characteristics), marital status, military or veteran status, genetic information, sexual orientation, criminal conviction record or any other protected category in accordance with applicable federal, state, or local laws ("Protected Status").

FuturePlan is the nation's largest third-party administrator (TPA) of retirement plans, partnering with advisors in all 50 states. FuturePlan delivers the best of both worlds: high-touch personalized service from local TPAs backed by the strength and security of a large national firm, Ascensus. Our roots go back decades, with nearly 30 outstanding legacy firms now joined together to deliver unmatched levels of service, innovation and expertise to a fast-growing client base from coast to coast. The FuturePlan team includes more than 500 credentialed plan professionals, 60 actuaries, and one of the industry's largest in-house ERISA teams. Learn more at FuturePlan.com. Section 1: Position Summary Compliance position that has an advanced understanding of all plan types and facilitates more complex interactions with the Plan Consultants. * We have several openings for this role.* Section 2: Job Functions, Essential Duties and Responsibilities * Ability to successfully complete and support the work outlined for the Compliance Associate roles * Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations. * Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information * Supports DOL, IRS, and Large plan audits * Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans * Is responsible for plan administration, compliance and testing for identified blocks of business * Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines * Prepares annual valuation and compliance reports for Clients * Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents * Supports and completes assigned quality assurance reviews * Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients. * Our I-Client service philosophy and our Core Values of People Matter, Quality First and Integrity Always should be visible in your actions on a day-to-day basis showing your support of our organizational culture. * Assist with other tasks and projects as assigned Section 3: Experience, Skills, Knowledge Requirements * Bachelor's degree preferred * 3 to 8+ years of hands-on Retirement plan testing experience will be considered * Experience doing Employer Calculations * Must have experience with 5500's and other relevant documents * Experience with cash basis and/or trust accounting * Strong Word, Excel, and Outlook skills * Strong written and oral communication skills * Strong analytical and problem-solving skills * Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters * Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements * QKA designation preferred but not required * Involvement or work towards associates QPA designation preferred * Prior experience with plan administration software, i.e. FT Williams or ASC preferred. The national average salary is $65,000 - $95,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis. Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc. For more information, please visit careers.ascensus.com/#Benefits. We are proud to be an Equal Opportunity Employer Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate ****************** ****************** email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website. For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual work space and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 MBps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying. Ascensus provides equal employment opportunities to all associates and applicants for employment without regard to ancestry, race, color, religion, sex, (including pregnancy, childbirth, breastfeeding and/or related medical conditions), gender, gender identity, gender expression, national origin, age, physical or mental disability, medical condition (including cancer and genetic characteristics), marital status, military or veteran status, genetic information, sexual orientation, criminal conviction record or any other protected category in accordance with applicable federal, state, or local laws ("Protected Status").

At Freddie Mac, our mission of Making Home Possible is what motivates us, and it's at the core of everything we do. Since our charter in 1970, we have made home possible for more than 90 million families across the country. Join an organization where your work contributes to a greater purpose. Position Overview: Do you have experience dealing with property and casualty insurance? Do you thrive in a dynamic work environment that requires an analytical, consultative approach in support of a very diverse community of internal and external clients? If you have proven experience with commercial insurance risk management and the ability to work with diverse teams as well as independently, then Freddie Mac's Multifamily Insurance Team could be a great fit for your next job opportunity. Apply now to join our team! We seek to meet the challenges of an ever-changing commercial insurance market and to set the best standards with our customers in mind. Apply now and learn why there's #MoreAtFreddieMac! Our Impact: Our team sets nationally-recognized insurance standards for our Multifamily Borrowers and Lending Partners and implements those standards across various loan products and complex securitization deals We keep abreast of insurance market trends and how those impact the Multifamily Mortgage Industry through both technical research and industry collaboration, work with our division partners on knowledge transfer, and support new initiatives and updates to Credit Policy We support tracking of catastrophic events and implementing rapid data collection on impacts to loan portfolios and insurance coverage, plus reporting results to Division leadership, Lender partners, and investors We work closely with Lender representatives and internal Division partners on complex insurance challenges and arriving at the best solutions for our customers Your Impact: Manage special projects and initiatives relevant to team core responsibilities including routine processes in place and new initiatives that arise Works on issues of diverse scope where analysis and critical thinking is required to arrive at acceptable conclusions and recommendations to enhance core business needs Acts as an advisor to subordinates and other team members related to insurance nuances/requirements, project scopes, and/or resolve technical problems Develops and administers schedules, performance requirements; may have budget responsibilities Promote improvement ideas and coordinate across functional teams to evaluate viability and implementation Maintain collaborative relationships with internal and external stakeholders and promote ideas for learning and process improvements Review borrower insurance coverage against commercial property and liability standards during loan origination and servicing; make recommendations related to acceptable exceptions Coordinate with multiple capital markets securitization teams in evaluating compliance with underwriting standards and preparation of disclosures of exceptions to deal representations and warranties Maintain professional relationships with internal and external colleagues while implementing day-to-day responsibilities, as well as resolving challenging situations that frequently require coordination across organizational lines, all while striving to continuously improve processes and user technology Lead and support new initiatives and process improvements that require critical thinking and development of sound recommendations Support updates to Division Credit Policy as well as enhancements to user technology related to insurance data and policy changes Assist internal and external customers with ad-hoc queries and advise on insurance issues and user technologies Complete research and data collection in support of analyzing factors that impact the overall Commercial Insurance Market and Company mission Qualifications: College degree or equivalent experience related to insurance, risk management, business, or other relevant field 8 to 10 years relevant experience and 2+ years management experience, preferably related to insurance risk management and the commercial/Multifamily mortgage industry Proficient subject matter expert in knowledge of commercial property and liability insurance requirements and coverage details Proven project and staff management and organization skills Excellent oral and written communication skills Insurance industry professional designations are a plus, but not required Proficiency with Microsoft Office suite applications as well as general web-based technologies Keys to Success in this Role: Strong consultative skills and ability to communicate with representatives from different technical backgrounds Ability to collaborate effectively across multiple, diverse teams, as well as work independently Ability to thrive in a fast-paced work environment while maintaining a positive, professional outlook Knowledge of Mortgage industry business and servicing Ability to find humor in most situations Current Freddie Mac employees please apply through the internal career site. We consider all applicants for all positions without regard to gender, race, color, religion, national origin, age, marital status, veteran status, sexual orientation, gender identity/expression, physical and mental disability, pregnancy, ethnicity, genetic information or any other protected categories under applicable federal, state or local laws. We will ensure that individuals are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation. A safe and secure environment is critical to Freddie Mac's business. This includes employee commitment to our acceptable use policy, applying a vigilance-first approach to work, supporting regulatory mandates, and using best practices to protect Freddie Mac from potential threats and risk. Employees exercise this responsibility by executing against policies and procedures and adhering to privacy & security obligations as required via training programs. CA Applicants: Qualified applications with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. Notice to External Search Firms: Freddie Mac partners with BountyJobs for contingency search business through outside firms. Resumes received outside the BountyJobs system will be considered unsolicited and Freddie Mac will not be obligated to pay a placement fee. If interested in learning more, please visit ****************** and register with our referral code: MAC. Time-type:Full time FLSA Status:Exempt Freddie Mac offers a comprehensive total rewards package to include competitive compensation and market-leading benefit programs. Information on these benefit programs is available on our Careers site. This position has an annualized market-based salary range of $150,000 - $224,000 and is eligible to participate in the annual incentive program. The final salary offered will generally fall within this range and is dependent on various factors including but not limited to the responsibilities of the position, experience, skill set, internal pay equity and other relevant qualifications of the applicant.

At Freddie Mac, our mission of Making Home Possible is what motivates us, and it's at the core of everything we do. Since our charter in 1970, we have made home possible for more than 90 million families across the country. Join an organization where your work contributes to a greater purpose. Position Overview: Do you have experience dealing with property and casualty insurance? Do you thrive in a dynamic work environment that requires an analytical, consultative approach in support of a very diverse community of internal and external clients? If you have proven experience with commercial insurance risk management and the ability to work with diverse teams as well as independently, then Freddie Mac's Multifamily Insurance Team could be a great fit for your next job opportunity. Apply now to join our team! We seek to meet the challenges of an ever-changing commercial insurance market and to set the best standards with our customers in mind. Apply now and learn why there's #MoreAtFreddieMac! Our Impact: * Our team sets nationally-recognized insurance standards for our Multifamily Borrowers and Lending Partners and implements those standards across various loan products and complex securitization deals * We keep abreast of insurance market trends and how those impact the Multifamily Mortgage Industry through both technical research and industry collaboration, work with our division partners on knowledge transfer, and support new initiatives and updates to Credit Policy * We support tracking of catastrophic events and implementing rapid data collection on impacts to loan portfolios and insurance coverage, plus reporting results to Division leadership, Lender partners, and investors * We work closely with Lender representatives and internal Division partners on complex insurance challenges and arriving at the best solutions for our customers Your Impact: * Manage special projects and initiatives relevant to team core responsibilities including routine processes in place and new initiatives that arise * Works on issues of diverse scope where analysis and critical thinking is required to arrive at acceptable conclusions and recommendations to enhance core business needs * Acts as an advisor to subordinates and other team members related to insurance nuances/requirements, project scopes, and/or resolve technical problems * Develops and administers schedules, performance requirements; may have budget responsibilities * Promote improvement ideas and coordinate across functional teams to evaluate viability and implementation * Maintain collaborative relationships with internal and external stakeholders and promote ideas for learning and process improvements * Review borrower insurance coverage against commercial property and liability standards during loan origination and servicing; make recommendations related to acceptable exceptions * Coordinate with multiple capital markets securitization teams in evaluating compliance with underwriting standards and preparation of disclosures of exceptions to deal representations and warranties * Maintain professional relationships with internal and external colleagues while implementing day-to-day responsibilities, as well as resolving challenging situations that frequently require coordination across organizational lines, all while striving to continuously improve processes and user technology * Lead and support new initiatives and process improvements that require critical thinking and development of sound recommendations * Support updates to Division Credit Policy as well as enhancements to user technology related to insurance data and policy changes * Assist internal and external customers with ad-hoc queries and advise on insurance issues and user technologies * Complete research and data collection in support of analyzing factors that impact the overall Commercial Insurance Market and Company mission Qualifications: * College degree or equivalent experience related to insurance, risk management, business, or other relevant field * 8 to 10 years relevant experience and 2+ years management experience, preferably related to insurance risk management and the commercial/Multifamily mortgage industry * Proficient subject matter expert in knowledge of commercial property and liability insurance requirements and coverage details * Proven project and staff management and organization skills * Excellent oral and written communication skills * Insurance industry professional designations are a plus, but not required * Proficiency with Microsoft Office suite applications as well as general web-based technologies Keys to Success in this Role: * Strong consultative skills and ability to communicate with representatives from different technical backgrounds * Ability to collaborate effectively across multiple, diverse teams, as well as work independently * Ability to thrive in a fast-paced work environment while maintaining a positive, professional outlook * Knowledge of Mortgage industry business and servicing * Ability to find humor in most situations Current Freddie Mac employees please apply through the internal career site. We consider all applicants for all positions without regard to gender, race, color, religion, national origin, age, marital status, veteran status, sexual orientation, gender identity/expression, physical and mental disability, pregnancy, ethnicity, genetic information or any other protected categories under applicable federal, state or local laws. We will ensure that individuals are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation. A safe and secure environment is critical to Freddie Mac's business. This includes employee commitment to our acceptable use policy, applying a vigilance-first approach to work, supporting regulatory mandates, and using best practices to protect Freddie Mac from potential threats and risk. Employees exercise this responsibility by executing against policies and procedures and adhering to privacy & security obligations as required via training programs. CA Applicants: Qualified applications with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. Notice to External Search Firms: Freddie Mac partners with BountyJobs for contingency search business through outside firms. Resumes received outside the BountyJobs system will be considered unsolicited and Freddie Mac will not be obligated to pay a placement fee. If interested in learning more, please visit ****************** and register with our referral code: MAC. Time-type:Full time FLSA Status:Exempt Freddie Mac offers a comprehensive total rewards package to include competitive compensation and market-leading benefit programs. Information on these benefit programs is available on our Careers site. This position has an annualized market-based salary range of $150,000 - $224,000 and is eligible to participate in the annual incentive program. The final salary offered will generally fall within this range and is dependent on various factors including but not limited to the responsibilities of the position, experience, skill set, internal pay equity and other relevant qualifications of the applicant.

We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, culture and talent experience and our ability to be compelling to our clients. You'll find an environment that inspires and empowers you to thrive both personally and professionally. There's no one like you and that's why there's nowhere like RSM. To address the critical needs of our clients, RSM US LLP has established the Security, Privacy, and Risk group, consisting of over 300 professionals dedicated to cybersecurity. Our experienced consultants, located nationwide, help clients prevent, detect, and respond to security threats that may impact their critical systems and data. We serve a diverse range of industries and are relied upon for expertise in security testing, architecture, governance, compliance, and digital forensics. We are seeking a Manager to join our Security, Privacy & Risk practice, focusing on Government Contractors serving commercial entities with an emphasis on cybersecurity frameworks and data protection requirements. The Manager of FedCyber will oversee the delivery of various cybersecurity services while understanding the specific risks related to cyber regulatory expectations that impact government contractors serving defense and civilian agencies. This role involves assisting organizations in establishing effective data protection programs to safeguard critical assets. Candidates should possess a range of skills, including performing and overseeing cybersecurity governance assessments (e.g., FedRAMP, FISMA, CMMC, MARS-E), vulnerability assessments, penetration testing, and incident response. Additionally, experience in managing teams that deliver technical deployments of SIEM, DLP, and Identity Management solutions is highly desirable. Responsibilities will be based on background but will typically include: Oversee the delivery and management of various cybersecurity engagements and team members, ensuring high-quality work products that meet client expectations. Manage and grow key client accounts / relationships to facilitate the transformation of the clients cyber agenda Communicate effectively with client management and project leaders to build strong client relationships. Cultivate deep client relationships to exceed satisfaction levels. Support new business development activities as outlined in the goal-setting process. Manage cybersecurity governance and compliance assessments against various regulatory and industry standards, including FISMA, FedRAMP, CMMC, MARS-E, NYDFS, HIPAA/HITECH, and NERC/CIP. Assist clients in designing and implementing cybersecurity remediation strategies to enhance the overall maturity of their cybersecurity programs by identifying suitable technologies, policies, and organizational structures. Identify and clearly articulate findings to senior management and clients, both in writing and verbally. Help pinpoint improvement opportunities for assigned clients. Required qualifications: Bachelor's degree in Information Technology, Computer Science, Cybersecurity, or a related field from an accredited college or university. 5 to 7+ years of relevant experience in cybersecurity governance and compliance consulting, or equivalent academic experience with an advanced degree. Certifications in cybersecurity, such as Certified Information Systems Security Professional (CISSP), Certified Information Security Manager (CISM), Certified Information Systems Auditor (CISA), Certified CMMC Professional (CCP), and Certified CMMC Assessor (CCA). Willingness to travel up to 30% to client sites to support various engagements. Technical expertise and the ability to discuss topics in one or more of the following areas: network and IT infrastructure, application and database design, IT governance and risk management, third-party management, incident response, and knowledge of standard network and IT security components. Familiarity with key cybersecurity compliance standards and regulations, including but not limited to FedRAMP, CMMC, NIST CSF, and GLBA. Strong interpersonal skills with a proven track record in a professional services firm, large consultancy, or similar environment. Demonstrated ability to collaborate effectively, especially with cross-functional teams. At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life's demands, while also maintaining your ability to serve clients. Learn more about our total rewards at ************************************************** All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at ************ or send us an email at *****************. RSM does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders). If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate. RSM will consider for employment qualified applicants with arrest or conviction records in accordance with the requirements of applicable law, including but not limited to, the California Fair Chance Act, the Los Angeles Fair Chance Initiative for Hiring Ordinance, the Los Angeles County Fair Chance Ordinance for Employers, and the San Francisco Fair Chance Ordinance. For additional information regarding RSM's background check process, including information about job duties that necessitate the use of one or more types of background checks, click here. At RSM, an employee's pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range. Compensation Range: $107,000 - $214,500 Individuals selected for this role will be eligible for a discretionary bonus based on firm and individual performance.

About the Role: The Corporate Compliance Analyst will provide assistance and guidance to Baird associates throughout their journey with the firm regarding compliance issues, firm policies and procedures, and industry regulations. The role will manage associate disclosure obligations and the registration status of individuals, branches, and the firm in securities, investment advisory, municipal advisory, and insurance businesses. The position requires interaction with associates throughout the firm's five business lines, Compliance, and the firm's corporate resource groups. This position offers flexibility with 3 days per week in our Milwaukee office and 2 days remote. During onboarding and training, you may be asked to come into the office more frequently. The Impact You'll Make: Maintain and monitor the registration status of individuals during the onboarding process, their employment with Baird and through the termination process. Oversee various continuing education programs to ensure regulatory requirements are met. Review, interpret, and analyze associate disclosures items to ensure compliance with policies and guidelines. Prepare and distribute written correspondence to appropriate parties during the review and resolution process for associate disclosures. Ensure associate responsibilities are completed and documented in accordance with the firm's policies. Review, edit and draft policies, procedures and communications. Actively participate in, and complete research as required, for projects including regulatory inquiries and examinations. What You'll Bring to Baird: 1-2 years of compliance or financial services broker-dealer and/or investment advisor experience. Bachelor's degree or equivalent of education and work experience. Strong organizational, critical thinking and problem-solving skills. Applies analytical skills and knowledge of the associate experience to complete reviews. High degree of curiosity and attention to detail. Actively collaborate with Baird associates. Demonstrated ability to handle difficult situations with candor and professionalism. Strong verbal and written communication skills. Ability to work independently and manage multiple priorities simultaneously. Proficient with technology including Microsoft Office products (especially Word and Excel). Experience with compliance software and tools is preferred. SIE qualification exam, or recommended to obtain within two years. Knowledge of FINRA/SEC rules, regulations, and practices along with broker-dealer rules and products is preferred. #LI-RE1 Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.

About the Role: The Corporate Compliance Analyst will provide assistance and guidance to Baird associates throughout their journey with the firm regarding compliance issues, firm policies and procedures, and industry regulations. The role will manage associate disclosure obligations and the registration status of individuals, branches, and the firm in securities, investment advisory, municipal advisory, and insurance businesses. The position requires interaction with associates throughout the firm's five business lines, Compliance, and the firm's corporate resource groups. This position offers flexibility with 3 days per week in our Milwaukee office and 2 days remote. During onboarding and training, you may be asked to come into the office more frequently. The Impact You'll Make: Maintain and monitor the registration status of individuals during the onboarding process, their employment with Baird and through the termination process. Oversee various continuing education programs to ensure regulatory requirements are met. Review, interpret, and analyze associate disclosures items to ensure compliance with policies and guidelines. Prepare and distribute written correspondence to appropriate parties during the review and resolution process for associate disclosures. Ensure associate responsibilities are completed and documented in accordance with the firm's policies. Review, edit and draft policies, procedures and communications. Actively participate in, and complete research as required, for projects including regulatory inquiries and examinations. What You'll Bring to Baird: 1-2 years of compliance or financial services broker-dealer and/or investment advisor experience. Bachelor's degree or equivalent of education and work experience. Strong organizational, critical thinking and problem-solving skills. Applies analytical skills and knowledge of the associate experience to complete reviews. High degree of curiosity and attention to detail. Actively collaborate with Baird associates. Demonstrated ability to handle difficult situations with candor and professionalism. Strong verbal and written communication skills. Ability to work independently and manage multiple priorities simultaneously. Proficient with technology including Microsoft Office products (especially Word and Excel). Experience with compliance software and tools is preferred. SIE qualification exam, or recommended to obtain within two years. Knowledge of FINRA/SEC rules, regulations, and practices along with broker-dealer rules and products is preferred. #LI-RE1 Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.

About the Role: The Corporate Compliance Analyst will provide assistance and guidance to Baird associates throughout their journey with the firm regarding compliance issues, firm policies and procedures, and industry regulations. The role will manage associate disclosure obligations and the registration status of individuals, branches, and the firm in securities, investment advisory, municipal advisory, and insurance businesses. The position requires interaction with associates throughout the firm's five business lines, Compliance, and the firm's corporate resource groups. This position offers flexibility with 3 days per week in our Milwaukee office and 2 days remote. During onboarding and training, you may be asked to come into the office more frequently. The Impact You'll Make: * Maintain and monitor the registration status of individuals during the onboarding process, their employment with Baird and through the termination process. * Oversee various continuing education programs to ensure regulatory requirements are met. * Review, interpret, and analyze associate disclosures items to ensure compliance with policies and guidelines. * Prepare and distribute written correspondence to appropriate parties during the review and resolution process for associate disclosures. * Ensure associate responsibilities are completed and documented in accordance with the firm's policies. * Review, edit and draft policies, procedures and communications. * Actively participate in, and complete research as required, for projects including regulatory inquiries and examinations. What You'll Bring to Baird: * 1-2 years of compliance or financial services broker-dealer and/or investment advisor experience. * Bachelor's degree or equivalent of education and work experience. * Strong organizational, critical thinking and problem-solving skills. * Applies analytical skills and knowledge of the associate experience to complete reviews. * High degree of curiosity and attention to detail. * Actively collaborate with Baird associates. Demonstrated ability to handle difficult situations with candor and professionalism. * Strong verbal and written communication skills. * Ability to work independently and manage multiple priorities simultaneously. * Proficient with technology including Microsoft Office products (especially Word and Excel). * Experience with compliance software and tools is preferred. * SIE qualification exam, or recommended to obtain within two years. * Knowledge of FINRA/SEC rules, regulations, and practices along with broker-dealer rules and products is preferred. #LI-RE1 Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.

Every day, MTI Motion associates around the world set the future in motion by solving our customers' most vexing motion-control challenges. Serving various industries including commercial aerospace, defense, oil and gas, and transportation, MTI Motion designs and manufactures an innovative portfolio of custom, precision motion-control products and solutions, including high-performance motors, drives and controllers, as well as windings, gears and ball screws. We're committed to promoting a collaborative team environment that focuses on accountability, honesty and integrity to ensure customer satisfaction. We take pride in the work we perform and are committed to continuous improvement. In addition to offering a competitive benefits package, we strive to offer our employees opportunities to achieve career advancement. MTI Motion is a wholly owned operating company within the Steel Partners (NYSE: SPLP) family of companies and is headquartered in Pleasant Prairie, WI, with facilities worldwide. POSITION OVERVIEW The Compliance Manager provides overall technical direction for trade compliance (import and export), ensuring that the organization complies with global regulatory requirements. The Compliance Manager may also assist with supplier non-disclosure agreements and customer or vendor contracts. This individual will collaborate cross functionally to drive compliant business outcomes. ESSENTIAL JOB FUNCTIONS * Manage and continually improve the export and import compliance programs, including managing brokers/freight forwarders. * Ensuring compliance with export and import regulations: * Assist with implementation of policies and procedures to ensure company compliance with U.S. import and export control laws and regulations (EAR/ITAR). * Draft and submit export licenses, Commodity Jurisdiction and Classification requests and ensure proper documentation and record-keeping. * Assist with investigations, audits and Export Control Assessments, root cause analysis on deficiencies, and develop corrective action plans. * Risk Assessments and Audits as needed. * Export Classifications and Documentation review. * Respond to customer compliance requests. * Develop, manage and continually improve government regulation compliance, including but not limited to, ensuring compliance with government contract flow downs: * Assist with investigations and audits of FAR/DFARS regulations applicable to MTI contracts. * Manage cybersecurity compliance projects to bring MTI in line with CMMC regulations; and * Develop strategy to ensure MTI remains compliant with, and anticipate changes to, applicable FAR/DFARS/CAS regulations. * Establish and maintain any additional required compliance programs and policies, including Anti-corruption, Privacy and Confidential Data Management, etc. * Perform supplier, customer and other required third-party screening to ensure MTI maintains lawful business relationships as per US regulations. * Maintain MTI's annual Department of Defense Trade Controls registration, and any other required registrations. * Manage document retention and vendors in charge of document offsite storage. CANDIDATE REQUIREMENTS & PREFERRED EXPERIENCE * Bachelor's degree in Supply Chain Management, Business Administration, Legal or related field. Juris Doctorate Preferred. * 5 -7 years of prior work experience managing U.S. export and import compliance, including proficiency in control laws and regulations (EAR/ITAR/OFAC), ideally in the manufacturing industry. * 3 - 5 years of prior work experience drafting and submitting export licenses, Commodity Jurisdiction, and classification requests through SNAP-R and/or DECCS, and ensuring proper documentation and record-keeping, including tracking classifications within ERP system. * 1 - 3 years of prior work experience classifying items such as ECCN, HTS, Schedule B, from top level assemblies through component levels. * Superb data record management, organizational, and writing/proof-reading skills. * Proficient use of industry standard material compliance software. * Proficient use of Microsoft Word, Excel, and PowerPoint. * Candidate must be currently eligible to work on export-controlled projects. Please note: This 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. EQUAL EMPLOYMENT OPPORTUNITY EMPLOYER MTI Motion is an equal employment opportunity (EEOC) employer such that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status, age or other legally protected status. We will ensure individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact MTI Motion to request accommodation. DIVERSITY, EQUITY & INCLUSION At MTI Motion, we are dedicated to building a diverse, inclusive and authentic workplace. If you are excited about this role but your experience does not align perfectly with every qualification in the job description, we encourage you to apply anyway. You may be just the right candidate for this or another role.

Job Description Assist the Compliance Officer in overseeing the bank's compliance management system in relation to deposit products and services. This includes monitoring, auditing, training and acting as a resource for business line managers to ensure compliance with state and federal regulations and the bank's policies and procedures. Hours: Monday - Friday 8:15am-5pm 38-40 hours/week *Hours may change at any time based on business needs Duties and Responsibilities: Conduct comprehensive compliance reviews and internal testing of deposit regulations including TISA, Reg E, Reg CC, etc. Test lending regulations including TRID, Flood, RESPA, etc. Prepare detailed reports of audit findings, presenting any irregularities or exceptions to the Compliance Officer for the final review before submission to the Business Line owners, Compliance Committee and Senior Management. Liaison with external auditors/examiners to provide needed documentation and assist with Participate in the Bank's internal deposit compliance training program. Act as resource to team members in regulatory deposit compliance areas. Collaborate effectively with business line team members to meet common goals and ensure compliance of the bank's deposit products and services. Non Essential Duties and Responsibilities: Assist with loan compliance audits as needed by CO and Loan Compliance Specialist. Lead or assist in projects as assigned to help implement deposit products and necessary regulatory changes within current products. Assist in training team members as needed in regulatory compliance areas. Any other duties as assigned. Requirements: High School Diploma or equivalent required Associate's degree (A. A.) or equivalent from two-year college or technical school; or one to three years related experience and/or training; or equivalent combination of education and experience required Ability to read, research, and interpret regulations Knowledge of State and Federal regulations in the deposits and lending areas Acts in accordance with the Bank's Service Excellence model Must comply with applicable laws and regulations, including but not limited to, the Bank Secrecy Act and the requirements of the Office of Foreign Assets Control. Additionally, all employees must follow policies and procedures to minimize risk by exercising good judgment, raising questions to management, and adhering to policy guidelines. Critical Competencies: Accountability Communication - Oral and Written Problem solving Accuracy Communication ****Equal Opportunity Employer of Minorities, Females, Protected Veterans, and Individuals with Disabilities**** Our company is an equal opportunity/affirmative action employer. Applicants can learn more about their rights by viewing the federal EEO poster at *********************************************************************************************

Assist the Compliance Officer in overseeing the bank's compliance management system in relation to deposit products and services. This includes monitoring, auditing, training and acting as a resource for business line managers to ensure compliance with state and federal regulations and the bank's policies and procedures. Hours: Monday - Friday 8:15am-5pm 38-40 hours/week *Hours may change at any time based on business needs Duties and Responsibilities: Conduct comprehensive compliance reviews and internal testing of deposit regulations including TISA, Reg E, Reg CC, etc. Test lending regulations including TRID, Flood, RESPA, etc. Prepare detailed reports of audit findings, presenting any irregularities or exceptions to the Compliance Officer for the final review before submission to the Business Line owners, Compliance Committee and Senior Management. Liaison with external auditors/examiners to provide needed documentation and assist with Participate in the Bank's internal deposit compliance training program. Act as resource to team members in regulatory deposit compliance areas. Collaborate effectively with business line team members to meet common goals and ensure compliance of the bank's deposit products and services. Non Essential Duties and Responsibilities: Assist with loan compliance audits as needed by CO and Loan Compliance Specialist. Lead or assist in projects as assigned to help implement deposit products and necessary regulatory changes within current products. Assist in training team members as needed in regulatory compliance areas. Any other duties as assigned. Requirements: High School Diploma or equivalent required Associate's degree (A. A.) or equivalent from two-year college or technical school; or one to three years related experience and/or training; or equivalent combination of education and experience required Ability to read, research, and interpret regulations Knowledge of State and Federal regulations in the deposits and lending areas Acts in accordance with the Bank's Service Excellence model Must comply with applicable laws and regulations, including but not limited to, the Bank Secrecy Act and the requirements of the Office of Foreign Assets Control. Additionally, all employees must follow policies and procedures to minimize risk by exercising good judgment, raising questions to management, and adhering to policy guidelines. Critical Competencies: Accountability Communication - Oral and Written Problem solving Accuracy Communication ****Equal Opportunity Employer of Minorities, Females, Protected Veterans, and Individuals with Disabilities****Our company is an equal opportunity/affirmative action employer. Applicants can learn more about their rights by viewing the federal EEO poster at *********************************************************************************************

The Compliance Manager is responsible for championing the Company's proactive execution and on-going enhancement of the Compliance Management System ("CMS") and supporting efforts to prepare the organization for regulatory and operational changes associated with being an FDIC-Large Insured Depository Institution and a Covered Institution subject to the direct supervision of the Consumer Financial Protection Bureau. The Compliance Manager's primary focus is on influencing the evolution of the CMS through targeted assessment delivery, business line outreach, facilitation of exams and audits and coordination with third-party firms on complex regulatory compliance monitoring. The Compliance Manager is instrumental in ensuring the Company's adherence to regulatory requirements, collaborating with partners across the three lines of defense and fostering a culture of compliance and integrity. Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Provide leadership, supporting the Chief Compliance Officer and Company team members through his/her thorough knowledge and understanding of deposit and lending compliance requirements, awareness of the regulatory environment and overall business acumen Engage in proactive assessment of the Bank's CMS; areas include but are not limited to policies, procedures, risk assessments, regulatory change management, training, monitoring, complaints response and audit and exam management Ensure CMS aligns with regulatory expectations, industry best practices and internal risk appetite Act as a trusted advisory, partnering with business leaders to identify, support and address potential emerging risks and issues Collaborate with business units and across the lines of defense to integrate compliance expectations into operational processes to ensure on-going compliance with laws and regulations Support on-going development and delivery of the comprehensive compliance roadmap for regulatory and operational readiness in alignment with the Company's growth strategy Provide regulatory reports and updates to senior management and business partners on compliance risks, trends and program effectiveness Seek opportunities to support on-going efficiencies through automation, process simplification and cross-functional collaboration Support a culture of accountability, transparency and continuous learning, leading by example and through peer coaching Complete his/her duties with discretion and confidentiality reflecting the sensitive nature of the work; be comfortable working under a deadline Other Duties Comply with all policies and procedures as applied to the Company's BSA/AML policy Perform other duties as assigned Skills/Abilities Thorough knowledge of deposit, lending and overall consumer compliance regulations as applicable in a large bank setting Excellent written and verbal communication skills, with the ability to work collaboratively within and across teams and with senior leaders and regulators Strong problem solving and analytical skills, with the ability to interpret complex regulatory requirements and apply them to the Company's operational needs Sound judgment and decision-making ability Effective influence and coaching skills Microsoft Office Suite experience Supervisory Responsibility This position does not have supervisory responsibilities at this time but may in the future. Work Environment This job operates in a clerical office setting. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. Office environment with job duties conducted via telephone, face to face meetings, and on the computer. Physical Demands This position requires manual dexterity, the ability to lift files and opening cabinets. This position requires bending, stooping or standing, as necessary. Travel Travel will be required for this position (approximately 10%-15%) Education and Experience 4-year college degree required; Graduate or Law Degree preferred Eight years of experience in compliance, risk management or a similar role in the financial services industry Certification through CRCM or similar preferred Experience managing a CMS and preparing for significant regulatory milestones preferred Experience working within and influencing matrixed teams Equal Employment Opportunity/M/F/disability/protected veteran status. 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.

The Compliance Manager is responsible for championing the Company's proactive execution and on-going enhancement of the Compliance Management System ("CMS") and supporting efforts to prepare the organization for regulatory and operational changes associated with being an FDIC-Large Insured Depository Institution and a Covered Institution subject to the direct supervision of the Consumer Financial Protection Bureau. The Compliance Manager's primary focus is on influencing the evolution of the CMS through targeted assessment delivery, business line outreach, facilitation of exams and audits and coordination with third-party firms on complex regulatory compliance monitoring. The Compliance Manager is instrumental in ensuring the Company's adherence to regulatory requirements, collaborating with partners across the three lines of defense and fostering a culture of compliance and integrity. Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. * Provide leadership, supporting the Chief Compliance Officer and Company team members through his/her thorough knowledge and understanding of deposit and lending compliance requirements, awareness of the regulatory environment and overall business acumen * Engage in proactive assessment of the Bank's CMS; areas include but are not limited to policies, procedures, risk assessments, regulatory change management, training, monitoring, complaints response and audit and exam management * Ensure CMS aligns with regulatory expectations, industry best practices and internal risk appetite * Act as a trusted advisory, partnering with business leaders to identify, support and address potential emerging risks and issues * Collaborate with business units and across the lines of defense to integrate compliance expectations into operational processes to ensure on-going compliance with laws and regulations * Support on-going development and delivery of the comprehensive compliance roadmap for regulatory and operational readiness in alignment with the Company's growth strategy * Provide regulatory reports and updates to senior management and business partners on compliance risks, trends and program effectiveness * Seek opportunities to support on-going efficiencies through automation, process simplification and cross-functional collaboration * Support a culture of accountability, transparency and continuous learning, leading by example and through peer coaching * Complete his/her duties with discretion and confidentiality reflecting the sensitive nature of the work; be comfortable working under a deadline Other Duties * Comply with all policies and procedures as applied to the Company's BSA/AML policy * Perform other duties as assigned Skills/Abilities * Thorough knowledge of deposit, lending and overall consumer compliance regulations as applicable in a large bank setting * Excellent written and verbal communication skills, with the ability to work collaboratively within and across teams and with senior leaders and regulators * Strong problem solving and analytical skills, with the ability to interpret complex regulatory requirements and apply them to the Company's operational needs * Sound judgment and decision-making ability * Effective influence and coaching skills * Microsoft Office Suite experience Supervisory Responsibility This position does not have supervisory responsibilities at this time but may in the future. Work Environment This job operates in a clerical office setting. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. Office environment with job duties conducted via telephone, face to face meetings, and on the computer. Physical Demands This position requires manual dexterity, the ability to lift files and opening cabinets. This position requires bending, stooping or standing, as necessary. Travel Travel will be required for this position (approximately 10%-15%) Education and Experience * 4-year college degree required; Graduate or Law Degree preferred * Eight years of experience in compliance, risk management or a similar role in the financial services industry * Certification through CRCM or similar preferred * Experience managing a CMS and preparing for significant regulatory milestones preferred * Experience working within and influencing matrixed teams Equal Employment Opportunity/M/F/disability/protected veteran status. 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.

The Compliance Manager is responsible for championing the Company's proactive execution and on-going enhancement of the Compliance Management System ("CMS") and supporting efforts to prepare the organization for regulatory and operational changes associated with being an FDIC-Large Insured Depository Institution and a Covered Institution subject to the direct supervision of the Consumer Financial Protection Bureau. The Compliance Manager's primary focus is on influencing the evolution of the CMS through targeted assessment delivery, business line outreach, facilitation of exams and audits and coordination with third-party firms on complex regulatory compliance monitoring. The Compliance Manager is instrumental in ensuring the Company's adherence to regulatory requirements, collaborating with partners across the three lines of defense and fostering a culture of compliance and integrity. Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. * Provide leadership, supporting the Chief Compliance Officer and Company team members through his/her thorough knowledge and understanding of deposit and lending compliance requirements, awareness of the regulatory environment and overall business acumen * Engage in proactive assessment of the Bank's CMS; areas include but are not limited to policies, procedures, risk assessments, regulatory change management, training, monitoring, complaints response and audit and exam management * Ensure CMS aligns with regulatory expectations, industry best practices and internal risk appetite * Act as a trusted advisory, partnering with business leaders to identify, support and address potential emerging risks and issues * Collaborate with business units and across the lines of defense to integrate compliance expectations into operational processes to ensure on-going compliance with laws and regulations * Support on-going development and delivery of the comprehensive compliance roadmap for regulatory and operational readiness in alignment with the Company's growth strategy * Provide regulatory reports and updates to senior management and business partners on compliance risks, trends and program effectiveness * Seek opportunities to support on-going efficiencies through automation, process simplification and cross-functional collaboration * Support a culture of accountability, transparency and continuous learning, leading by example and through peer coaching * Complete his/her duties with discretion and confidentiality reflecting the sensitive nature of the work; be comfortable working under a deadline Other Duties * Comply with all policies and procedures as applied to the Company's BSA/AML policy * Perform other duties as assigned Skills/Abilities * Thorough knowledge of deposit, lending and overall consumer compliance regulations as applicable in a large bank setting * Excellent written and verbal communication skills, with the ability to work collaboratively within and across teams and with senior leaders and regulators * Strong problem solving and analytical skills, with the ability to interpret complex regulatory requirements and apply them to the Company's operational needs * Sound judgment and decision-making ability * Effective influence and coaching skills * Microsoft Office Suite experience Supervisory Responsibility This position does not have supervisory responsibilities at this time but may in the future. Work Environment This job operates in a clerical office setting. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. Office environment with job duties conducted via telephone, face to face meetings, and on the computer. Physical Demands This position requires manual dexterity, the ability to lift files and opening cabinets. This position requires bending, stooping or standing, as necessary. Travel Travel will be required for this position (approximately 10%-15%) Education and Experience * 4-year college degree required; Graduate or Law Degree preferred * Eight years of experience in compliance, risk management or a similar role in the financial services industry * Certification through CRCM or similar preferred * Experience managing a CMS and preparing for significant regulatory milestones preferred * Experience working within and influencing matrixed teams Equal Employment Opportunity/M/F/disability/protected veteran status. 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.

The Compliance Manager is responsible for championing the Company's proactive execution and on-going enhancement of the Compliance Management System ("CMS") and supporting efforts to prepare the organization for regulatory and operational changes associated with being an FDIC-Large Insured Depository Institution and a Covered Institution subject to the direct supervision of the Consumer Financial Protection Bureau. The Compliance Manager's primary focus is on influencing the evolution of the CMS through targeted assessment delivery, business line outreach, facilitation of exams and audits and coordination with third-party firms on complex regulatory compliance monitoring. The Compliance Manager is instrumental in ensuring the Company's adherence to regulatory requirements, collaborating with partners across the three lines of defense and fostering a culture of compliance and integrity. Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Provide leadership, supporting the Chief Compliance Officer and Company team members through his/her thorough knowledge and understanding of deposit and lending compliance requirements, awareness of the regulatory environment and overall business acumen Engage in proactive assessment of the Bank's CMS; areas include but are not limited to policies, procedures, risk assessments, regulatory change management, training, monitoring, complaints response and audit and exam management Ensure CMS aligns with regulatory expectations, industry best practices and internal risk appetite Act as a trusted advisory, partnering with business leaders to identify, support and address potential emerging risks and issues Collaborate with business units and across the lines of defense to integrate compliance expectations into operational processes to ensure on-going compliance with laws and regulations Support on-going development and delivery of the comprehensive compliance roadmap for regulatory and operational readiness in alignment with the Company's growth strategy Provide regulatory reports and updates to senior management and business partners on compliance risks, trends and program effectiveness Seek opportunities to support on-going efficiencies through automation, process simplification and cross-functional collaboration Support a culture of accountability, transparency and continuous learning, leading by example and through peer coaching Complete his/her duties with discretion and confidentiality reflecting the sensitive nature of the work; be comfortable working under a deadline Other Duties Comply with all policies and procedures as applied to the Company's BSA/AML policy Perform other duties as assigned Skills/Abilities Thorough knowledge of deposit, lending and overall consumer compliance regulations as applicable in a large bank setting Excellent written and verbal communication skills, with the ability to work collaboratively within and across teams and with senior leaders and regulators Strong problem solving and analytical skills, with the ability to interpret complex regulatory requirements and apply them to the Company's operational needs Sound judgment and decision-making ability Effective influence and coaching skills Microsoft Office Suite experience Supervisory Responsibility This position does not have supervisory responsibilities at this time but may in the future. Work Environment This job operates in a clerical office setting. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. Office environment with job duties conducted via telephone, face to face meetings, and on the computer. Physical Demands This position requires manual dexterity, the ability to lift files and opening cabinets. This position requires bending, stooping or standing, as necessary. Travel Travel will be required for this position (approximately 10%-15%) Education and Experience 4-year college degree required; Graduate or Law Degree preferred Eight years of experience in compliance, risk management or a similar role in the financial services industry Certification through CRCM or similar preferred Experience managing a CMS and preparing for significant regulatory milestones preferred Experience working within and influencing matrixed teams Equal Employment Opportunity/M/F/disability/protected veteran status. 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.

The BSA/AML Compliance Analyst will be responsible for performing quality assurance reviews, including coverage of Anti-Money Laundering (AML), Fraud, Enhance Due Diligence (EDD), U.S. Department of the Treasury's Office of Foreign Assets Control (OFAC), and Currency Transaction Report (CTR) processes. The decisions and recommendations made by the Analyst shall be relied upon by the management team and may have a direct impact on the business operations and the servicing of customer accounts, which may also carry legal and regulatory compliance obligations. Often these case reviews may also lead to development of metrics, trend information, and written analysis which the Analyst will perform to substantiate any risk related recommendations, which may include changes to the BSA Program. This role also involves a level of discretion and independent judgment in the assessment and presentation of various decision options to management as well as carrying out major assignments in the effective operational implementation of the Bank's BSA Program. Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Review AML alert/case alerts generated by the Bank's transaction monitoring system, cases created from alerts, suspicious activity referrals, subpoena, 90-day reviews, SAR filings etc. to ensure processes consistently meet regulatory requirements and internal procedures. Evaluate the effectiveness of EDD reviews to ensure the appropriate customer risk attributes were addressed in the overall customer review form. Review the OFAC monitoring process as well as the daily CTR, CTR aggregation and filing processes for completeness, accuracy and timeliness. Draft and provide QA results monthly to the BSA Operations Manager and recommendations for processes, controls, and/or procedural enhancements. Tracks and validates the implementation of remedial actions submitted by the BSA Operations and Fraud staff to verify that the QA findings are remediated. Provide feedback and perform training to the BSA Operations staff to address identified gaps in AML/EDD/OFAC/CTR/Fraud procedures and/or processes. Develops, maintains and updates key metrics for the BSA Operations Manager and Senior Management. Maintain accurate and up-to-date records of QA results for further review by Internal Audit, Examiners, BSA Operations Manager, and Senior Management. Other Duties Maintain current knowledge of banking laws and regulations, as well as fraud trends. Complies with all policies and procedures as applied to the Bank's BSA/AML/OFAC Program. Perform other duties as assigned. Skills/Abilities Strong knowledge of BSA/AML/OFAC requirements. Detail-oriented with experience conducting thorough investigations. Effective oral and written communication skills. Ability to interact with personnel at all levels in the organization. Able to work independently and manage time effectively to meet deadlines. Supervisory Responsibility This position does not have supervisory responsibilities. Work Environment This job operates in an office setting, the opportunity to telework is not available. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. Office environment with job duties conducted via telephone, face to face meetings, and on the computer. Physical Demands This position requires manual dexterity, the ability to lift files and open cabinets. This position requires bending, stooping or standing as necessary. Travel Travel may be required for this position. Education and Experience Bachelor's degree in a related discipline, or equivalent additional related experience, required. Minimum 3 years business and/or functional experience in the areas of AML and Fraud, with a financial service provider and/or related government entity (e.g., FinCEN or OFAC) required. CFE, CAMS or other industry certification is preferred. Working knowledge of Verafin, Jack Henry suit of products, Microsoft Office applications. Equal Employment Opportunity/M/F/disability/protected veteran status 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.

This position is responsible for supporting the Bank's compliance with BSA/AML regulations and by identifying, assessing, transactions and mitigating financial crimes risks for escalated customers. This includes in-depth investigations and analysis of customers, entities, and transactions to ensure compliance with BSA, AML, and OFAC regulations. This review may involve the discovery of negative news, suspicious behavior or other risk related information which will require this position to weigh all risk factors and provide a conclusion and recommendation. The analyst is responsible for ensuring timely review and submission of Suspicious Activity Reports (SARs). The role involves staying informed on regulatory changes and utilizing the Bank's BSA/AML systems to monitor and manage risk. The decisions and recommendations made by the Analyst shall be relied upon by the management team and may have a direct impact on the business operations and the servicing of customer accounts, which may also carry legal and regulatory compliance obligations. Often these reviews may lead to the development of metrics, trend information, and written analysis which will be used to substantiate any risk-related recommendations, which may include changes to the BSA Program. This role also involves a level of discretion and independent judgment in the assessment and presentation of various decision options to management as well as conducting major assignments in the effective operational implementation of the Bank's BSA Program. Essential Functions Reasonable accommodation may be made to enable individuals with disabilities to perform the essential functions. Conduct in-depth research on individuals and entities using public records, open-source media, internal databases and proprietary systems on a periodic and ongoing basis. Review AML cases generated by the Bank's transaction monitoring system, cases created from alerts, suspicious activity referrals, subpoena, 90 day reviews, SAR filings etc. to ensure processes consistently meet regulatory requirements and internal procedures. Creating and maintaining an in-depth record of the investigation performed on individuals or entities. Investigating and escalating confirmed or suspected violations as required by procedure. Escalate suspicious activity and risks and to management as appropriate. Ensures all SARs are filed are timely and NSARs are completed by established due dates. Function as a support to BSA/AML Compliance Manager to assist with daily monitoring, assessment, and maintenance of AML processes and procedures. Liaise with Bank lines of business, including branches and other teams as needed. Other Duties Support other duties and responsibilities within the BSA Operations Unit's area of responsibility, as required by the BSA Operations Manager or BSA Officer. Stay informed of related regulatory matters through Federal agency updates and guidance and through industry webinars and conferences. Complies with all policies and procedures as applied to the Bank's BSA/AML policy. Perform other duties as assigned. Skills/Abilities Able to communicate effectively to a broad audience, including lines of business in both written and verbal formats. Strong technical writing skills including the ability to prepare clear and concise investigative summary, SAR/NSAR narrative and reports. Excellent time management skills, including the ability to manage time effectively, to meet deadlines, and perform work on a variety of functions simultaneously. Sound knowledge of BSA and AML-related functions, reporting requirements, and systems in a financial institution setting. Experienced with Microsoft Office applications, including word-processing, spreadsheet, and presentation software. Experience with Jack Henry banking software systems, including Verafin, Silverlake, and Vertex preferred. Supervisory Responsibility This position does not have supervisory responsibilities. Work Environment This job operates in an office setting. The opportunity to telework is not available. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. Office environment with job duties conducted via telephone, face to face meetings, and on the computer. Physical Demands This position requires manual dexterity, the ability to lift files and open cabinets. This position requires bending, stooping, or standing, as necessary. Travel Limited local travel may be required for this position. Education and Experience Minimum 1 year of BSA/AML or banking experience required. 3 years of experience in banking, financial services, government, or related entity preferred (e.g., FinCEN, OFAC). Bachelor's degree or equivalent preferred. CAMS, CFE, CAFP or CRCM certification preferred. Demonstrated expertise in conducting customer and transaction reviews, drafting narrative and escalating high risk customer relationships. Equal Employment Opportunity/M/F/disability/protected veteran status 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.

Responsible for supporting the Bank's compliance with BSA/AML regulations and by identifying, assessing, and mitigating financial crimes risks for high-risk customers and transactions. This includes in-depth investigations and analysis of high-risk customers, entities, and transactions to ensure compliance with BSA, AML, and OFAC regulations. The analyst will conduct daily reviews of high-risk customers and will, as needed, conduct ad-hoc reviews from various lines of business. The analyst will also review daily CDD/EDD alerts to identify high risk customers and potential suspicious activity. The role involves staying informed on regulatory changes and utilizing the Bank's AML systems to monitor and manage risk. The decisions and recommendations made by the Analyst shall be relied upon by the management team and may have a direct impact on the business operations and the servicing of customer accounts, which may also carry legal and regulatory compliance obligations. Often these reviews may lead to the development of metrics, trend information, and written analysis which will be used to substantiate any risk-related recommendations, which may include changes to the BSA Program. This role also involves a level of discretion and independent judgment in the assessment and presentation of various decision options to management as well as conducting major assignments in the effective operational implementation of the Bank's BSA Program. Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Conducting in-depth research on individuals and entities using public records, open-source media, internal databases, and proprietary systems on a periodic and ongoing basis. Assessing geographic risks, politically exposed person (PEP) affiliations, and other potential vulnerabilities. Creating and maintaining an in-depth record of the investigation performed on individuals or entities. Investigating and escalating confirmed or suspected violations as required by procedure. Escalating suspicious activity and risks to management as appropriate. Investigate EDD cases and EDD alerts generated by the AML monitoring system and other sources to determine potential suspicious activity. Documenting findings, escalating potential suspicious activity, and ensuring all required reporting is accurate and timely. Collaborating with internal teams to resolve issues related to suspicious activity and customer risk profiles. Function as a support to the BSA/AML Compliance Manager to assist with daily monitoring, assessment, and maintenance of AML processes and procedures. Assist the BSA/AML Compliance Manager in project management and documentation processes for AML systems and procedures, including developing and maintaining detailed implementation plans; compiling and presenting metrics on alert completion rates; and ensuring that project deadlines are met, as needed. Liaise with Bank lines of business, including branches and other teams as needed. Other Duties Support other duties and responsibilities within the BSA Operations Unit's area of responsibility, as required by the BSA Operations Manager or BSA Officer. Stay informed of related regulatory matters through Federal agency updates and guidance and through industry webinars and conferences. Complies with all policies and procedures as applied to the Bank's BSA/AML policy. Perform other duties as assigned. Skills/Abilities Able to communicate effectively to a broad audience, including lines of business in both written and verbal formats. Strong technical writing skills including the ability to prepare clear and concise reports. Excellent time management skills, including the ability to manage time effectively, to meet deadlines, and perform work on a variety of functions simultaneously. Sound knowledge of BSA and AML-related functions, reporting requirements, and systems in a financial institution setting. Experienced with Microsoft Office applications, including word-processing, spreadsheet, and presentation software. Experience with Jack Henry banking software systems, including Verafin, Silverlake, and Vertex preferred. Supervisory Responsibility This position does not have supervisory responsibilities. Work Environment This job operates in an office setting. The opportunity to telework is not available. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. Office environment with job duties conducted via telephone, face to face meetings, and on the computer. Physical Demands This position requires manual dexterity, the ability to lift files and open cabinets. This position requires bending, stooping, or standing, as necessary. Travel Limited local travel may be required for this position. Education and Experience Minimum 1 year of BSA/AML or banking experience required. 3 years of experience in banking, financial services, government, or related entity preferred (e.g., FinCEN, OFAC). Bachelor's degree or equivalent preferred. CAMS, CFE, CAFP or CRCM certification preferred. Demonstrated expertise in conducting EDD reviews and managing high risk customer relationships. Equal Employment Opportunity/M/F/disability/protected veteran status. 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.

The BSA/AML Compliance Analyst will be responsible for performing quality assurance reviews, including coverage of Anti-Money Laundering (AML), Fraud, Enhance Due Diligence (EDD), U.S. Department of the Treasury's Office of Foreign Assets Control (OFAC), and Currency Transaction Report (CTR) processes. The decisions and recommendations made by the Analyst shall be relied upon by the management team and may have a direct impact on the business operations and the servicing of customer accounts, which may also carry legal and regulatory compliance obligations. Often these case reviews may also lead to development of metrics, trend information, and written analysis which the Analyst will perform to substantiate any risk related recommendations, which may include changes to the BSA Program. This role also involves a level of discretion and independent judgment in the assessment and presentation of various decision options to management as well as carrying out major assignments in the effective operational implementation of the Bank's BSA Program. Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. * Review AML alert/case alerts generated by the Bank's transaction monitoring system, cases created from alerts, suspicious activity referrals, subpoena, 90-day reviews, SAR filings etc. to ensure processes consistently meet regulatory requirements and internal procedures. * Evaluate the effectiveness of EDD reviews to ensure the appropriate customer risk attributes were addressed in the overall customer review form. * Review the OFAC monitoring process as well as the daily CTR, CTR aggregation and filing processes for completeness, accuracy and timeliness. * Draft and provide QA results monthly to the BSA Operations Manager and recommendations for processes, controls, and/or procedural enhancements. * Tracks and validates the implementation of remedial actions submitted by the BSA Operations and Fraud staff to verify that the QA findings are remediated. * Provide feedback and perform training to the BSA Operations staff to address identified gaps in AML/EDD/OFAC/CTR/Fraud procedures and/or processes. * Develops, maintains and updates key metrics for the BSA Operations Manager and Senior Management. * Maintain accurate and up-to-date records of QA results for further review by Internal Audit, Examiners, BSA Operations Manager, and Senior Management. Other Duties * Maintain current knowledge of banking laws and regulations, as well as fraud trends. * Complies with all policies and procedures as applied to the Bank's BSA/AML/OFAC Program. * Perform other duties as assigned. Skills/Abilities * Strong knowledge of BSA/AML/OFAC requirements. * Detail-oriented with experience conducting thorough investigations. * Effective oral and written communication skills. * Ability to interact with personnel at all levels in the organization. * Able to work independently and manage time effectively to meet deadlines. Supervisory Responsibility This position does not have supervisory responsibilities. Work Environment This job operates in an office setting, the opportunity to telework is not available. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. Office environment with job duties conducted via telephone, face to face meetings, and on the computer. Physical Demands This position requires manual dexterity, the ability to lift files and open cabinets. This position requires bending, stooping or standing as necessary. Travel Travel may be required for this position. Education and Experience * Bachelor's degree in a related discipline, or equivalent additional related experience, required. * Minimum 3 years business and/or functional experience in the areas of AML and Fraud, with a financial service provider and/or related government entity (e.g., FinCEN or OFAC) required. * CFE, CAMS or other industry certification is preferred. * Working knowledge of Verafin, Jack Henry suit of products, Microsoft Office applications. Equal Employment Opportunity/M/F/disability/protected veteran status 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.