Compliance Officer jobs at Trust Point - 47 jobs

Review of broker-dealer, registered investment adviser, insurance and other created communications and marketing materials for compliance with applicable FINRA and SEC regulatory requirements, state, other applicable advertising regulations and guida Compliance Manager, Compliance, Manager, Business Partner, Communications, Asset Manager, Business Services

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.

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").

Join Virginia Housing and help make a difference as a Default Risk and Compliance Analyst. This important role will support Virginia Housing's Default Administration team in its on-going risk management strategy, serving as a subject matter expert on mortgage servicing/default industry laws, regulations and guidelines. The Analyst is responsible for researching and staying current on industry changes and collaborating with internal departments (Legal, Compliance, Risk Management, IT, ISO, Systems Administration, and Business Partners) and management team on interpreting and operationalizing these changes. Virginia Housing is one of the nation's leading housing finance agencies. Our mission is to help Virginians attain quality, affordable housing, which we accomplish through our lending and grant programs. We are focused on employee engagement and committed to a healthy and diverse workforce. We offer on-site conveniences such as a fitness center and free parking. Educational opportunities to help your advancement are available through classroom and online programs. To be successful in this role you must possess: Bachelor's degree in business, finance or risk management or equivalent work experience. Several years' experience researching, interpreting and operationalizing changes to mortgage servicing/default laws, regulations and guidelines. Proficient knowledge and understanding of default servicing guidelines to include FHA, VA, Rural Housing, Fannie Mae and Freddie Mac. Extensive working knowledge of ICE/MSP Servicing Platform, Passport and Loss Mitigation Solutions (LMS) Application Experience in all Mortgage Default areas; Collections, Loss Mitigation, Foreclosure and Bankruptcy. Advanced working knowledge of Microsoft Applications (word, excel, PowerPoint, outlook, explorer, etc.) Strong written and verbal communication skills Demonstrated ability to have positive interaction with peers and management and to work across departmental lines and with business partners to effectively implement new systems and execute Quality Assurance Plan Strong organizational, documentation and analytical skills Strong ability to meet deadlines Adaptability to ever changing guidelines and priorities Strong time management skills The ideal candidate would also have experience in: Project management and systems implementation. Applications and resumes are accepted online only at *************************************** This position will close at midnight on February 5 th , 2026 Hiring Range: $82,000 - $111,000 A background check will be performed as a condition of employment. A Conflict-of-Interest Act Disclosure form and Secondary Employment Disclosure form will need to be completed as a condition of employment. Virginia Housing requires associates to live and work within the Commonwealth of Virginia. Internal applicants (MR-7) Please review relevant HR policy under 'Employment Practices' on the Zone before applying. -EOE- V3 Certified Military friendly employer #LI-BM1 #LI-hybrid

Join Virginia Housing and help make a difference as a Default Risk and Compliance Analyst. This important role will support Virginia Housing's Default Administration team in its on-going risk management strategy, serving as a subject matter expert on mortgage servicing/default industry laws, regulations and guidelines. The Analyst is responsible for researching and staying current on industry changes and collaborating with internal departments (Legal, Compliance, Risk Management, IT, ISO, Systems Administration, and Business Partners) and management team on interpreting and operationalizing these changes. Virginia Housing is one of the nation's leading housing finance agencies. Our mission is to help Virginians attain quality, affordable housing, which we accomplish through our lending and grant programs. We are focused on employee engagement and committed to a healthy and diverse workforce. We offer on-site conveniences such as a fitness center and free parking. Educational opportunities to help your advancement are available through classroom and online programs. To be successful in this role you must possess: * Bachelor's degree in business, finance or risk management or equivalent work experience. * Several years' experience researching, interpreting and operationalizing changes to mortgage servicing/default laws, regulations and guidelines. * Proficient knowledge and understanding of default servicing guidelines to include FHA, VA, Rural Housing, Fannie Mae and Freddie Mac. * Extensive working knowledge of ICE/MSP Servicing Platform, Passport and Loss Mitigation Solutions (LMS) Application * Experience in all Mortgage Default areas; Collections, Loss Mitigation, Foreclosure and Bankruptcy. * Advanced working knowledge of Microsoft Applications (word, excel, PowerPoint, outlook, explorer, etc.) * Strong written and verbal communication skills * Demonstrated ability to have positive interaction with peers and management and to work across departmental lines and with business partners to effectively implement new systems and execute Quality Assurance Plan * Strong organizational, documentation and analytical skills * Strong ability to meet deadlines * Adaptability to ever changing guidelines and priorities * Strong time management skills The ideal candidate would also have experience in: * Project management and systems implementation. Applications and resumes are accepted online only at *************************************** This position will close at midnight on February 5th, 2026 Hiring Range: $82,000 - $111,000 A background check will be performed as a condition of employment. A Conflict-of-Interest Act Disclosure form and Secondary Employment Disclosure form will need to be completed as a condition of employment. Virginia Housing requires associates to live and work within the Commonwealth of Virginia. Internal applicants (MR-7) Please review relevant HR policy under 'Employment Practices' on the Zone before applying. * EOE- V3 Certified Military friendly employer #LI-BM1#LI-hybrid

About the Role: We're seeking a Branch Oversight Analyst to support the oversight of branch and location review programs within Capital Markets Compliance. In this role, you'll collaborate closely with the Branch Oversight Team Lead to complete annual location reviews, maintain accurate and complex records, and ensure compliance with regulatory requirements. Knowledge of FINRA Pilot Program rules is a plus, but if you're eager to learn, we'll help you build that expertise. This position is ideal for early- to mid-career professionals who enjoy problem-solving and thrive in a dynamic, evolving environment. You'll join a team that values respect, inclusiveness, and diverse perspectives, with a strong emphasis on collaboration and connection across the firm. Compliance work is never routine, our expanding business and changing regulations mean every day brings new challenges and opportunities. You'll have the freedom to be creative, share ideas, and help improve processes, all while working alongside approachable, highly knowledgeable professionals who are committed to your growth. The Impact You'll Make: Work side-by-side with the Branch Oversight Team Lead to conduct, track, and create annual Capital Markets location reviews. Serve as a key point of contact, delivering exceptional support for our internal clients across 5 Capital Markets business lines. Continuously and promptly update location tracking logs to ensure an efficient review process. Assist in the development and application of a new location management tool. Attend meetings pertaining to the Capital Markets Compliance location reviews. Collaborate with other Units of Compliance such as Registration, Compliance Analytics, Private Wealth Management, and Personal Activities. Conduct virtual Teams walkthroughs, on-site reviews, and remote location reviews as needed. Travel to at least five different out-of-state locations annually. Stay up to date on the rules and regulations of FINRA's Pilot Program. Attend specific annual in-house Compliance Roundtable sessions to collaborate with peer firms as well as virtual working groups. Perform other duties as assigned. What You'll Bring to Baird: SIE and Series 7 are required within two years of hire; Series 24 and 66 are strongly recommended for future growth. Associate or bachelor's degree, or equivalent education in a business-related field strongly encouraged. At least one year of experience in a professional services environment Ability to use MS Office Suite effectively; SharePoint and advanced Excel skills are a bonus Strong organizational skills, critical thinking, and attention to detail in analyzing multiple data sets. A high level of curiosity and adaptability when facing unfamiliar situations. Ability to effectively communicate orally and in writing with all levels of the organization. Compensation and Benefits: Compensation and bonus are commensurate with experience, performance and/or firm profitability You'll have the opportunity to advance your career while enjoying our comprehensive benefits designed for your life, career and future. #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: We're seeking a Branch Oversight Analyst to support the oversight of branch and location review programs within Capital Markets Compliance. In this role, you'll collaborate closely with the Branch Oversight Team Lead to complete annual location reviews, maintain accurate and complex records, and ensure compliance with regulatory requirements. Knowledge of FINRA Pilot Program rules is a plus, but if you're eager to learn, we'll help you build that expertise. This position is ideal for early- to mid-career professionals who enjoy problem-solving and thrive in a dynamic, evolving environment. You'll join a team that values respect, inclusiveness, and diverse perspectives, with a strong emphasis on collaboration and connection across the firm. Compliance work is never routine, our expanding business and changing regulations mean every day brings new challenges and opportunities. You'll have the freedom to be creative, share ideas, and help improve processes, all while working alongside approachable, highly knowledgeable professionals who are committed to your growth. The Impact You'll Make: * Work side-by-side with the Branch Oversight Team Lead to conduct, track, and create annual Capital Markets location reviews. * Serve as a key point of contact, delivering exceptional support for our internal clients across 5 Capital Markets business lines. * Continuously and promptly update location tracking logs to ensure an efficient review process. * Assist in the development and application of a new location management tool. * Attend meetings pertaining to the Capital Markets Compliance location reviews. * Collaborate with other Units of Compliance such as Registration, Compliance Analytics, Private Wealth Management, and Personal Activities. * Conduct virtual Teams walkthroughs, on-site reviews, and remote location reviews as needed. * Travel to at least five different out-of-state locations annually. * Stay up to date on the rules and regulations of FINRA's Pilot Program. * Attend specific annual in-house Compliance Roundtable sessions to collaborate with peer firms as well as virtual working groups. * Perform other duties as assigned. What You'll Bring to Baird: * SIE and Series 7 are required within two years of hire; Series 24 and 66 are strongly recommended for future growth. * Associate or bachelor's degree, or equivalent education in a business-related field strongly encouraged. * At least one year of experience in a professional services environment * Ability to use MS Office Suite effectively; SharePoint and advanced Excel skills are a bonus * Strong organizational skills, critical thinking, and attention to detail in analyzing multiple data sets. * A high level of curiosity and adaptability when facing unfamiliar situations. * Ability to effectively communicate orally and in writing with all levels of the organization. Compensation and Benefits: * Compensation and bonus are commensurate with experience, performance and/or firm profitability * You'll have the opportunity to advance your career while enjoying our comprehensive benefits designed for your life, career and future. #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: We're seeking a Branch Oversight Analyst to support the oversight of branch and location review programs within Capital Markets Compliance. In this role, you'll collaborate closely with the Branch Oversight Team Lead to complete annual location reviews, maintain accurate and complex records, and ensure compliance with regulatory requirements. Knowledge of FINRA Pilot Program rules is a plus, but if you're eager to learn, we'll help you build that expertise. This position is ideal for early- to mid-career professionals who enjoy problem-solving and thrive in a dynamic, evolving environment. You'll join a team that values respect, inclusiveness, and diverse perspectives, with a strong emphasis on collaboration and connection across the firm. Compliance work is never routine, our expanding business and changing regulations mean every day brings new challenges and opportunities. You'll have the freedom to be creative, share ideas, and help improve processes, all while working alongside approachable, highly knowledgeable professionals who are committed to your growth. The Impact You'll Make: Work side-by-side with the Branch Oversight Team Lead to conduct, track, and create annual Capital Markets location reviews. Serve as a key point of contact, delivering exceptional support for our internal clients across 5 Capital Markets business lines. Continuously and promptly update location tracking logs to ensure an efficient review process. Assist in the development and application of a new location management tool. Attend meetings pertaining to the Capital Markets Compliance location reviews. Collaborate with other Units of Compliance such as Registration, Compliance Analytics, Private Wealth Management, and Personal Activities. Conduct virtual Teams walkthroughs, on-site reviews, and remote location reviews as needed. Travel to at least five different out-of-state locations annually. Stay up to date on the rules and regulations of FINRA's Pilot Program. Attend specific annual in-house Compliance Roundtable sessions to collaborate with peer firms as well as virtual working groups. Perform other duties as assigned. What You'll Bring to Baird: SIE and Series 7 are required within two years of hire; Series 24 and 66 are strongly recommended for future growth. Associate or bachelor's degree, or equivalent education in a business-related field strongly encouraged. At least one year of experience in a professional services environment Ability to use MS Office Suite effectively; SharePoint and advanced Excel skills are a bonus Strong organizational skills, critical thinking, and attention to detail in analyzing multiple data sets. A high level of curiosity and adaptability when facing unfamiliar situations. Ability to effectively communicate orally and in writing with all levels of the organization. Compensation and Benefits: Compensation and bonus are commensurate with experience, performance and/or firm profitability You'll have the opportunity to advance your career while enjoying our comprehensive benefits designed for your life, career and future. #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.

Job DescriptionDescription: The Compliance Analyst will report to the firm's Chief Compliance Officer and support the firm's efforts in complying with the laws and rules affecting broker-dealers and registered investment advisers. This role will support the Compliance Team and daily compliance functions across the firm with a particular focus on the systems and data used to ensure compliance with firm policies and practices. The ideal candidate will have baseline experience with the desire to grow in the compliance field. This role will be exposed to several corporate departments and will assist in cross-departmental efforts with Risk and Audit, Supervision, Operations, and our branch offices. The Compliance Analyst will be based in the firm's Richmond, VA headquarters. Position Responsibilities Assist with all compliance and regulatory matters governed by SEC, FINRA, ERISA, and other various federal and state securities and privacy laws; Assist with the implementation, maintenance, and daily surveillance of various compliance supervision systems, and a vendor management system; Manage firm and employee securities registrations and licensing, including examination preparation and regulatory reporting obligations, with the applicable federal, state, and regulatory organizations; Assist Risk & Audit division with entry-level audit support (e.g., data collection, aggregation, and analysis), branch/office examinations, and other ad hoc testing; Ability to design and generate reports documenting adherence to firm requirements and processes for clients and employees; Review home office associates' electronic correspondence and social media as delegated; Assist in the maintenance, monitoring and updating of the firm's broker-dealer and investment advisory policies and procedures manual; Develop and maintain firm client facing and internal forms and documents, including e-delivery documents; Assist in the implementation process for regulatory rule implementation/updates, policy changes and amendments and procedural revisions, including technology and internal controls enhancements, training needs assessments and communication strategies; Support Compliance Team in responding to regulatory examinations, sweeps and inquiries from regulators, auditors, and other third parties; Assist in design and preparation of meeting and training presentation materials; and Manage and maintain the Compliance intranet page for Compliance Team. Requirements: Professional Experience and Personal Attributes 2 -3 years of professional experience preferred; Experience in securities/operations/compliance or similar areas preferred, but not required; Bachelor's degree in Business, Economics, Accounting, Finance or related field preferred-or equivalent experience; Proficient in PowerPoint and Excel-- with database and programming languages (e.g., Python, SQL, etc.) experience as a plus; Active FINRA SIE, Series 7 registrations-- or ability to obtain over time preferred; Attention to detail, accuracy and professional quality on all written documents and correspondence; Excellent verbal and written communication and interpersonal skills and ability to communicate professionally and effectively with all levels of external contacts and internal firm associates; Ability to be proactive and quickly assess a situation and conceptualize a correct solution; Ability to manage and organize large amounts of detail; Ability to work effectively on multiple projects simultaneously with shifting priorities; Ability to work both independently and in a team environment; Ability to take initiative on tasks and wear many hats/handle various roles in a small company environment; and Ability to collaborate and maintain strong working relationships with home office colleagues, branch personnel, and external vendors, regulators and others.

We are searching for a Compliance Manager/Officer within the General Counsel's Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals who will support Ameriprise in reviewing broker-dealer and investment advisory communications. You will work in a collaborative culture where you will interact with a diverse set of business partners. Come and demonstrate your flexible, creative, and detailed oriented skills. Ameriprise is an organization that is committed to diversity and inclusion that supports work-life balance, structured mentoring, and career progression! Are you ready to get started and continue growing your career? Come apply today! Key Responsibilities Review of broker-dealer, registered investment adviser, insurance and other created communications and marketing materials for compliance with applicable FINRA and SEC regulatory requirements, state, other applicable advertising regulations and guidance and internal company compliance policies and procedures. Identify and escalate communications as needed to other subject matter experts and/or review groups. Build and maintain relationships with key business & GCO partners and promote a culture of compliance. Stay up to date on applicable laws and regulations, analyze their effect on business practices and provide guidance to business partners. Work collaboratively with multiple business partners to gain a thorough understanding of our products and business. Proactively attend meetings and hold ad hoc discussions with business partners and other areas to understand new initiatives, offer compliance guidance, and determine the potential impact to communications and marketing materials. Oversee and influence business partners to ensure compliance policies and procedures are implemented. Contribute to the development/improvement, maintenance and implementation of business unit procedures and employee training materials, designed to help ensure that materials produced are compliant. Work on special projects and perform other duties as assigned. Required Qualifications Bachelor's degree or equivalent (4-years). 5-7 years of relevant work experience. Proven success in audit and/or compliance functions. Strong knowledge of financial services industry. Knowledge of FINRA, SEC, State, and other regulatory requirements. Strong written and verbal communication skills. Minimum of 2 years of hands-on communication review experience. Facilitation skills. Ability to prepare and/or present material for senior leaders, with leader support. Proven ability to think fast, respond quickly and learn quickly in a fast-paced environment. Enjoy working autonomously as well as with groups. Excellent Project Management skills. Excellent analytical and research skills. Strong interpersonal skills with a client focus. Preferred Qualifications FINRA Series 7 and 24 registrations preferred or obtain in an agreed upon timeline. Ability to quickly learn new software and ability to create effective communications in Word, Excel, and PowerPoint About Our Company We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world. Base Pay Salary The estimated base salary for this role is $78,700 - $138,200/year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances. Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law. Full-Time/Part-Time Full time Exempt/Non-Exempt Exempt Job Family Group Legal Affairs Line of Business GCO General Counsel's Organization

We are searching for a Compliance Manager/Officer within the General Counsel's Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals who will support the Field Office Inspections department through conducting required Branch Office and Office of Supervisory Jurisdiction inspections. This includes Ameriprise Advisor Center, Centralized Supervision Unit and other applicable locations as determined by the Firm. You will work in a collaborative culture where you will interact with a diverse set of business partners. Come and demonstrate your flexible, creative, and detailed oriented skills. Ameriprise is an organization that is committed to diversity and inclusion that supports work-life balance, structured mentoring, and career progression! Are you ready to get started and continue growing your career? Come apply today! Key Responsibilities Complete independent research and analyze various information and reports prior to, and during an exam, to identify potentially problematic behavior, violations, red flags, trends and potential areas of risk. Conduct initial interviews and exit interviews with Registered Principals, advisors, and staff. Review and report on the effectiveness of field compliance supervision, including identification of potential advisor sales practice violations. Provide education to field members relating to subject matter which include, but are not limited to, recommending action steps to improve compliance supervisory tasks based on company and regulatory policy and procedure, hot regulatory topics, firm trends, best practices, etc. Escalate issues as appropriate related to Registered Principal supervisory practices and/or advisor practices. Write, deliver, and follow up with RPs on Commitment to Action plans for the resolution of identified findings. Communicate and discuss results to all levels of field leadership and serve as a point of contact for inspections. Maintain current knowledge of industry and firm practices, developments, and risks. Partner with leadership and reach out to other teams (within and outside of compliance) to identify/understand risks, share results, escalate issues, and clarify policies and procedures. Work with other examiners when appropriate to ensure consistency of process. Identify process and procedure improvement opportunities and work collaboratively with colleagues/leadership to implement effective solutions. Engage in day-to-day operations of the Field Office Inspection team and/or department wide projects/initiatives. Required Qualifications Bachelor's Degree or equivalent. 5+ years of relevant work experience. Knowledge of FINRA, SEC and other regulatory rules/requirements. Knowledge of risks pertinent to industry and firm, and ability to strategically focus branch office/OSJ exams depending on relevant risks. Excellent analytical skills, including the ability to evaluate a broad scope of data to define potential risks. Demonstrated investigative skills, including the ability to follow an instinct while retaining an overall objective viewpoint. Demonstrated ability to interview various levels of leadership. Demonstrated ability to formulate practical solutions to technical issues. Excellent organization skills, ability to manage multiple priorities, ability to meet time sensitive deadlines. Demonstrated leadership competency, including the ability to build relationships and collaborate with other groups in the corporate office as well as the field. Excellent communication skills, both written and verbal. Proven ability to communicate with employees at all levels of the firm. Ability to tactfully craft difficult messages. Demonstrated ability to take initiative and operate independently, while able to work effectively in a team environment. Series 7 preferred for consideration. However, 5+ years of industry experience in lieu of the Series 7 will be taken into consideration if candidate does not have Series 7 at the time of application, which will be required within the allocated time after hiring. Series 9/10 or 24 required, or ability to obtain within corporate timeframes. Travel: Approximately 20%. Preferred Qualifications Experience in an audit function, familiarity with audit methodologies. Leadership experience. About Our Company We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world. Base Pay Salary The estimated base salary for this role is $87,400 - $120,200/year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances. Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law. Full-Time/Part-Time Full time Exempt/Non-Exempt Exempt Job Family Group Legal Affairs Line of Business GCO General Counsel's Organization

To monitor, research, analyze, and interpret relevant federal and state laws and regulations relating to compliance with Collections laws and regulations to ensure policies and practices comply with applicable legal and regulatory requirements. Compliance experience in Collections (loss mitigation, foreclosure, bankruptcy) and the Fair Debt Collections Practices Act. The following laws are used to advise and inform the business units: Unfair, Deceptive, Abusive Acts or Practices (UDAAP); Fair Debt Collections Practices Act; Equal Credit Opportunity Act; Truth in Lending Act; Fair Credit Reporting Act; Real Estate Settlement Procedures Act; Telephone Communications Practices Act; Servicemembers Civil Relief Act and applicable state collection laws. Bachelor's degree in related field or the equivalent combination of training, education, and experience Experience in researching and analyzing complex laws and regulations, staff commentaries, legal opinions, court decisions and other documentation and the analysis of operations to determine and ensure compliance. Ability to support and promote an effective, ongoing credit union regulatory compliance program. Thorough knowledge of compliance issues, laws and regulations relating to Collections (loss mitigation, foreclosure and bankruptcy); Real Estate Settlement Procedures Act;Fair Debt Collections Protection Act; unfair, deceptive, abusive acts or practices (UDAAP); Equal Credit Opportunity Act; Servicemembers Civil Relief Act; as well as the Consumer Financial Protection Bureau's complaint processes. Experience with debt collection related to banking/credit union transactions. Demonstrated ability to effectively communicate complex issues both verbally and in writing. Demonstrated highly effective interpersonal skills for working closely with internal organizational units and for effective representation of organizational positions on issues with external parties and groups. Thorough knowledge of project management, operations analysis and legislative staff work procedures. Ability to lead and manage projects. Ability to work independently on multiple issues concurrently and to exercise independent judgment in establishing priorities. Ability to organize work, make sound decisions and exercise good judgment Desired Qualifications Graduate or law degree in related area. Working knowledge of Privacy, Fair Credit Reporting Act, Americans With Disabilities Act, Truth in Lending Act, Telephone Communications Practices Act, applicable state collection laws and Vendor Oversight. Experience in conducting, monitoring, and assessing risk associated with regulatory compliance issues. Experience with data collection and management, including Sharepoint, Excel, etc. Thorough knowledge of the current and future challenges facing the credit union movement. Certification as a credit union compliance professional by a widely recognized certification authority Hours: Monday - Friday, 8:00AM - 4:30PM (Hybrid position, not eligible for remote) Locations: 820 Follin Lane, Vienna, VA 22180 | 5510 Heritage Oaks Drive, Pensacola, FL 32526 | 141 Security Drive, Winchester, VA 22602 Ensures products, services, and operations are in compliance with all legal and regulatory requirements: monitors, researches, and analyzes complex questions relating to governance including federal and state laws, regulations, staff commentaries, court decisions, legal opinions, trade association guidance, Government Sponsored Enterprise guidelines, Instructions, and other resources. Develops, coordinates and executes plan to monitor Collections practices, including but not limited to phone calls and written correspondence. Reviews and assists in the preparation of responses to complaints related to banking/credit union transactions. Employs technical compliance expertise to resolve complex compliance issues. Counsels and advises management and operating units on requirements of applicable laws and regulations. Selects, analyzes, and disseminates applicable compliance information to appropriate management and operating units. Prepares written and oral analyses, reports and other communications for management and operating units. Leads teams to implement new or changed compliance requirements. Participates on teams to develop compliant products and services. Evaluates, selects, and maintains resources and materials for the compliance library. Emphasizes compliance in regular contacts throughout the organization. Monitors, researches, and analyzes federal and state laws and regulations, legislative and regulatory proposals, legislative agendas, legislator activities, trade association efforts, and other third party activities to make recommendations to senior management on complex positions and courses of action consistent with organizational mission, strategic plan, and operations. Assesses internal input and external stances on proposed legislation and regulations. Summarizes the issues, as appropriate, requests input, and distributes copies of proposed legislation and regulations to management. Responds to various compliance inquiries from the organizations' operating units. Conducts internal compliance reviews. Advises appropriate managers and supervisors of findings. Recommends corrective actions. Supports senior management on matters relating to compliance, legislative and regulatory proposals, and other public policy matters by preparing research papers, compliance opinions, correspondence, talking points, etc. Maintains liaison with external groups and represents in external meetings as appropriate. Performs other related duties as required or appropriate.

Job Title Global Trade Compliance Director Collaborate with Innovative 3Mers Around the World Choosing where to start and grow your career has a major impact on your professional and personal life, so it's equally important you know that the company that you choose to work at, and its leaders, will support and guide you. With a wide variety of people, global locations, technologies and products, 3M is a place where you can collaborate with other curious, creative 3Mers. This position provides an opportunity to transition from other private, public, government or military experience to a 3M career.The Impact You'll Make in this Role The Director of Trade Compliance is the senior-most authority for international trade across 3M's global operations. This leader will shape and execute the company's import, export, and sanctions strategy; drive operational excellence; and serve as a trusted advisor to the executive team, focused on compliance with applicable regulations and best practices. The role oversees global trade compliance programs, leads a distributed team of regional trade leaders, and partners cross-functionally to enable compliant, efficient commerce worldwide. The Global Trade Compliance Director has responsibility for providing strategic leadership, management, coordination, and execution of the trade compliance and transportation regulatory compliance functional areas and teams. The job objective is to act as strategic advisor, providing leadership for global functional responsibilities to work with and support all business units within 3M, leveraging enhanced compliance culture. The Global Trade Compliance Manager will serve as the global business process owner to ensure development of global policies, standards, business processes, and systems. This objective is aligned with the mission of supporting business growth while maintaining strict compliance. As Global Trade Compliance Director, you will make an impact by: Develop strategic vision and manage operations of the Global Trade Compliance team to ensure 3M's ongoing compliance with regulations and 3M policy and procedures. Provide leadership, direction and influence globally across the organization in matters related to processes, systems, organization, resources, and compliance. Provide leadership for compliance and improvement projects and initiatives such as ERP solution development, readiness and deployment, audit programs, and developing globally harmonized business policies, standards, procedures and processes. Facilitate strategic and operational planning activities and project prioritization to ensure continuous process improvement. Facilitate and drive compliance throughout the organization via various strategies such as training and awareness, global policies and standards, audits and inspection support, standard work, and outreach. Provide strategic direction and support for regulatory advocacy activities, regulations monitoring and impact assessment, and implementation of regulatory changes into 3M systems and processes. What You'll Do Strategy & Leadership Define and lead the global trade compliance strategy and operating model across import, export, and sanctions. Deliver strategic insights, best practices, and thought leadership to influence Executive/C‑suite decisions. Build, lead, and develop a global team of International Trade Regional Leaders and supporting personnel. Champion compliance culture through supply chain operations Program Governance & Operations Design and oversee policies, procedures, and controls Leverage monitoring frameworks, KPIs, dashboards, and continuous improvement plans to elevate compliance performance. Lead risk assessments, internal investigations, audits, and remediation actions; manage disclosures and government communications. Cross-Functional Partnership Collaborate closely with leaders in Supply Chain, Legal, Risk, Engineering, Tax, Finance, IT to provide guidance and embed compliance in processes and systems. Advise business units on product design, sourcing, distribution, and market-entry decisions to optimize compliance and cost. Systems, Data & Transformation Drive automation and data enablement in trade processes; lead major ERP and trade system programs (e.g., SAP S/4HANA, SAP GTS). Oversee system design, implementation, and governance of screening, licensing, classification, and trade analytics tools. Manage large-scale initiatives and budgets (e.g., >$1M), ensuring timely delivery, change adoption, and sustained outcomes. Operational Excellence in Trade Domains ( Note: “Critical” indicates core responsibilities requiring deep expertise. “Plus” indicates areas where strong working knowledge and experience are expected.) Import (critical): Authority on customs planning, classification, country of origin, valuation, special programs (FTZ, drawback), and partner government agency requirements. Optimize use of Free/Preferential Trade Agreements and manage the impact of trade remedies (IEEPA, Sections 232 & 301, antidumping, countervailing duties). Export (plus): Maintain robust controls under EAR, ITAR, and FTR; authority on jurisdiction/classification determinations (CCL/USML), licensing/authorizations, deemed exports, technology control plans, and end-use/end-user/destination restrictions. Sanctions (plus): Govern OFAC compliance, business partner due diligence, beneficial ownership screening, and restricted party screening programs. Your Skills and Expertise To set you up for success in this role from day one, 3M requires (at a minimum) the following qualifications: Bachelor's degree or higher (completed and verified prior to start) from an accredited institution Ten (10) years of experience demonstrated regulatory expertise in Trade Compliance, regulatory affairs, EHS, lab and/or manufacturing function in a private, public, government or military environment with deep knowledge of customs and global partner government agency requirements across North America, Latin America, Europe, and Asia Two (2) years of familiarity with enterprise trade systems (e.g., SAP GTS, Descartes) and data/reporting tools. Additional qualifications that could help you succeed even further in this role include: Leadership: Proven success leading global teams and complex programs in matrixed organizations; experience with direct teams of ~15+ a plus. Program Development: Track record building and scaling enterprise-wide compliance programs, policies, and controls. Analytical & Problem-Solving: Skilled at assessing complex, cross-border trade compliance matters and crafting practical solutions. Communication: Exceptional executive presence and stakeholder management skills; able to influence and educate across functions. Change Management: Strong change leadership across large transformations (e.g., ERP implementations). Deep knowledge of EAR and ITAR export controls and OFAC sanctions to Preferred qualifications Strong organizational leadership and strategic planning skills using a highly collaborative approach; able to develop relationships across multiple geographies and businesses; ability to work collaboratively within the global matrix of M&SC, Regulatory Affairs, Legal, Tax, R&D, Government Affairs, and Sales and Marketing. Demonstrated ability to manage global projects, tasks, deadlines, and changing priorities in a team environment Experience leading large, complex, global multi-function projects Proven track record of developing business practical solutions to new and changing regulations with strong ability to influence change with stakeholders Past participation in industry or trade association consortia addressing trade compliance and risk assessment issues Ability to represent 3M and influence decisions in regulatory matters relating to trade compliance and transportation regulatory Strong oral communication skills and demonstrated skill at clear and persuasive written communications SAP GTS and Dangerous Goods/LEX U.S. Licensed Customs Broker Familiarity with Export Administration Regulations Familiarity with Chemical Weapons Convention Harmonized Tariff System (HTS) Classification Export Control Classification Number (ECCN) Classification Global Trusted Trader Programs Customs Duty Savings Programs especially Free Trade Agreements Country of Origin - Preferential and Non-Preferential Advanced law or business degree (MBA, MS, JD); LL.M. or international trade specialization is a plus. Experience managing initiatives with project budgets exceeding $1,000,000. Industry background in advanced manufacturing, applied sciences, industrial manufacturing, consumer goods, or PPE. Prior responsibility for major digital/ERP transformations (e.g., SAP S/4HANA + SAP GTS integration). Work location: Onsite Maplewood, MN (at least 4 days a week) Travel: May include up to 20% domestic/international Relocation Assistance: Is not authorized Must be legally authorized to work in country of employment without sponsorship for employment visa status (e.g., H1B status). Responsibilities of this position may include direct and/or indirect physical or logical access to information, systems, technologies subjected to the regulations/compliance with U.S. Export Control Laws. U.S. Export Control laws and U.S. Government Department of Defense contracts and sub-contracts impose certain restrictions on companies and their ability to share export-controlled and other technology and services with certain "non-U.S. persons" (persons who are not U.S. citizens or nationals, lawful permanent residents of the U.S., refugees, "Temporary Residents" (granted Amnesty or Special Agricultural Worker provisions), or persons granted asylum. To comply with these laws, 3M must help assess candidates' U.S. person status. The questions asked in this application are intended to assess this and will be used for evaluation purposes only. Failure to provide the necessary information in this regard will result in our inability to consider you further for this particular position. Supporting Your Well-being 3M offers many programs to help you live your best life - both physically and financially. To ensure competitive pay and benefits, 3M regularly benchmarks with other companies that are comparable in size and scope. Chat with Max For assistance with searching through our current job openings or for more information about all things 3M, visit Max, our virtual recruiting Applicable to US Applicants Only:The expected compensation range for this position is $228,040 - $278,715, which includes base pay plus variable incentive pay, if eligible. This range represents a good faith estimate for this position. The specific compensation offered to a candidate may vary based on factors including, but not limited to, the candidate's relevant knowledge, training, skills, work location, and/or experience. In addition, this position may be eligible for a range of benefits (e.g., Medical, Dental & Vision, Health Savings Accounts, Health Care & Dependent Care Flexible Spending Accounts, Disability Benefits, Life Insurance, Voluntary Benefits, Paid Absences and Retirement Benefits, etc.). Additional information is available at: ******************************************************************* Faith Posting Date Range 01/08/2026 To 02/07/2026 Or until filled All US-based 3M full time employees will need to sign an employee agreement as a condition of employment with 3M. This agreement lays out key terms on using 3M Confidential Information and Trade Secrets. It also has provisions discussing conflicts of interest and how inventions are assigned. Employees that are Job Grade 7 or equivalent and above may also have obligations to not compete against 3M or solicit its employees or customers, both during their employment, and for a period after they leave 3M.Learn more about 3M's creative solutions to the world's problems at ********** or on Instagram, Facebook, and LinkedIn @3M.Responsibilities of this position include that corporate policies, procedures and security standards are complied with while performing assigned duties.Safety is a core value at 3M. All employees are expected to contribute to a strong Environmental Health and Safety (EHS) culture by following safety policies, identifying hazards, and engaging in continuous improvement.Pay & Benefits Overview: https://**********/3M/en_US/careers-us/working-at-3m/benefits/3M does not discriminate in hiring or employment on the basis of race, color, sex, national origin, religion, age, disability, veteran status, or any other characteristic protected by applicable law. Please note: your application may not be considered if you do not provide your education and work history, either by: 1) uploading a resume, or 2) entering the information into the application fields directly. 3M Global Terms of Use and Privacy Statement Carefully read these Terms of Use before using this website. Your access to and use of this website and application for a job at 3M are conditioned on your acceptance and compliance with these terms. Please access the linked document by clicking here, select the country where you are applying for employment, and review. Before submitting your application, you will be asked to confirm your agreement with the terms.

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.