Compliance Officer jobs at Union Bank & Trust

At Redpath, you'll be valued for who you are and supported in where you're going. We've created a culture rooted in trust, teamwork, and genuine relationships, where caring is at the core of how we treat each other and our clients. You'll do meaningful work here with people who bring a positive, solution-focused mindset to every challenge. Our team is proactive in all we do, taking initiative, clearing roadblocks, and staying ahead for our clients and each other. Here, your voice matters, your growth is a priority, and your work drives real impact. We're driven to improve, grow, and deliver excellence together, personally and professionally. This isn't just a job. It's a place to build a career and a community. We are looking for a highly skilled and technically proficient CPA to join our assurance team as a key contributor to the firm's audit quality. In this role, you will be responsible for signing, reviewing, and oversight of audited and reviewed financial statements for a diverse portfolio of privately held clients. You'll serve as a trusted technical resource within our mid-sized CPA firm, helping engagement teams navigate complex accounting and auditing matters while ensuring compliance with professional standards. Your work will support the firm's commitment to delivering high-quality audits with consistency and confidence. We are excited to offer a unique career opportunity for experienced audit professionals seeking flexibility in their career trajectory. This role is designed to support both those who aspire to pursue the partner track as well as those who prefer a senior technical leadership role without partnership requirements. Whether your goal is to grow into firm leadership as a partner or to focus your expertise as a trusted technical resource, we welcome your ambition and commitment to audit excellence. Our clients primarily operate in the manufacturing, distribution, construction, and real estate sectors. Experience with privately held companies in these industries is a strong plus. Responsibilities: Act as the subject matter expert and thought leader for complex accounting and technical compliance issues affecting an audit such as business combinations, debt & equity transactions, derivatives/hedging, carve-outs, consolidations, joint ventures, and fresh start accounting. Provide expert technical guidance and training to audit teams on complex compliance issues and emerging regulatory changes. Contribute to the design, implementation, and continuous improvement of the audit department's training and professional development program, ensuring alignment with evolving regulatory standards, firm methodology, and staff career progression goals. Collaborate with senior leadership and stakeholders to identify compliance risks and recommend effective mitigation strategies. Interpret complex regulatory requirements and assess organizational adherence. Leverage strategic thinking and problem-solving skills to develop innovative solutions to emerging compliance challenges. What You'll Need to be Successful: CPA certification. Minimum of 10 years audit experience in public accounting (primarily focused on closely-held for profit entities). In-depth knowledge of GAAP and complex technical accounting compliance expertise. Experience signing financial statement audit and review reports for complex engagements. Proven leadership experience managing complex compliance initiatives and risk management. Strong understanding of industry-specific regulatory requirements including construction, real estate, manufacturing, and distribution (strongly preferred). Solid analytical, problem-solving, and communication skills. More about Redpath and Company - Who We Are Caring - We show genuine care for our clients and colleagues through meaningful relationships, collaboration, and a constant commitment to adding value in everything we do. Proactive - We take initiative, resolve potential obstacles, and are intentional with solutions provided to stay ahead of challenges and opportunities for our clients. Positive - We cultivate a solution-oriented, supportive culture that embraces change, encourages collaboration, and thrives in the face of challenges. Driven - We maintain an unwavering focus on excellence, consistently improving and delivering beyond expectations across all our projects. Areas of service expertise include audit and assurance; personal, business, and international tax; state and local tax; sales and use tax; and succession and estate planning. Redpath also guides clients throughout the entire business life cycle with performance optimization and process improvement; M&A advisory, including corporate and deal strategy, due diligence (financial, tax, operations, and IT), financial modeling, and M&A integration; accounting and management outsourcing; and valuations. The firm was founded in 1971. With offices located in St. Paul and White Bear Lake, Minnesota, the firm ranks as one of the top CPA and advisory firms in Minnesota. Redpath is a member of HLB International, a global network of independent advisory and accounting firms. For more information, visit ******************** Redpath and Company offers a comprehensive benefit package, including: Medical, Dental, and Vision plans HSA and FSA Voluntary Long-Term Disability Company paid Short-Term Disability Paid parenting leave 401k plan with company match after 6 months of service Redpath and Company is an equal opportunity employer, and we use E-Verify to confirm the identity and employment eligibility of all new hires. In addition to base salary, this position is eligible for a discretionary bonus based on firm and individual performance.

Bring more to life. Are you ready to accelerate your potential and make a real difference within life sciences, diagnostics and biotechnology? Within Danaher the work our diagnostic businesses do saves lives-and we're all united by a shared commitment to innovate for tangible impact. You'll thrive in a culture of belonging where you and your unique viewpoint matter. And by harnessing Danaher's system of continuous improvement, you help turn ideas into impact - innovating at the speed of life. We're accelerating the development of cutting-edge diagnostics to solve some of the world's most pressing health challenges. Across our diagnostics operating companies we are driving innovation through partnerships with top academic institutions and leading players in biopharma and translational research. We're bringing the best minds together to accelerate innovation and unlock the full potential of the latest scientific advances. Together, we're expanding access to precision diagnostics for millions of people worldwide - and we're using our unmatched global scale and proven playbook to make it happen, from hospital labs to mobile clinics. By helping providers, patients, and families get faster, more precise diagnostic results, we're improving treatment options and saving lives. Learn about the Danaher Business System which makes everything possible. This position is part of the Danaher Diagnostics organization and is a remote role. At Danaher Diagnostics, our vision is to be the leading provider of seamlessly connected diagnostic solutions. The Staff Clinical Compliance Auditor (Global Focus - Remote) for Danaher Diagnostics is responsible for clinical quality and compliance. This includes study audit and inspection management activities across the Clinical Center of Excellence (CCOE). You will be a part of the Clinical Compliance team and report to the Sr. Director of Global Clinical Compliance responsible for clinical quality and scientific writing to support new product research across four diagnostic operating companies within Danaher Diagnostics. If you thrive in a fast-paced, high impact role and want to work to build a world-class audit-ready Clinical organization-read on. In this role, you will have the opportunity to: Plan and execute internal audits of clinical trials, sites, vendors, and systems, and support external audits or regulatory inspections. Lead a comprehensive schedule of audits to ensure Bioresearch Monitoring (BIMO) inspection and notified body (NB) audit readiness. Lead the investigation of clinical quality issues, deviations, and non-conformances, managing the CAPA process to ensure effective resolution. Provide expert guidance and training to clinical study teams and other relevant staff on compliance requirements, best practices, and the clinical QMS. Monitor changes in relevant regulations and guidelines, assessing their impact on clinical operations and updating internal procedures accordingly. The essential requirements of the job include: Bachelor's degree with 6+ years clinical quality experience within diagnostics or medical device industry, or Master's or Doctoral degree with 4 years of the same experience. 4 years of clinical quality auditing experience or a combination of clinical project auditing and clinical study experience. In depth understanding of ISO 14155, 13485, 14971, 20916, in vitro diagnostic regulation (IVDR), medical device regulation (MDR), and pertinent sections of 21 CFR. Highly motivated to work in a fast-paced environment with effective use of prioritization, organization, problem-solving and time management skills. It would be a plus if you also possess previous experience in: Certified auditor (e.g., ASQ CQA or ASQ CBA, GCP) The technology and assays related to in vitro Diagnostic (IVD) across one or more of the following areas: chemistry, immunoassay, hematology, microbiology, or flow cytometry. Danaher Diagnostics, a Danaher company, offers a broad array of comprehensive, competitive benefit programs that add value to our lives. Whether it's a health care program or paid time off, our programs contribute to life beyond the job. Check out our benefits at danaherbenefitsinfo.com. Within Danaher Diagnostics we believe in designing a better, more sustainable workforce. We recognize the benefits of flexible, remote working arrangements for eligible roles and are committed to providing enriching careers, no matter the work arrangement. This position is eligible for a remote work arrangement in which you can work remotely from your home. Additional information about this remote work arrangement will be provided by your interview team. Explore the flexibility and challenge that working within Danaher Diagnostics can provide. The annual salary range OR the hourly range for this role is $115K-$135K. This is the range that we in good faith believe is the range of possible compensation for this role at the time of this posting. This range may be modified in the future. This job is also eligible for bonus/incentive pay. We offer comprehensive package of benefits including paid time off, medical/dental/vision insurance and 401(k) to eligible employees. Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, benefits, or any other form of compensation and benefits that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company's sole discretion, consistent with the law. Join our winning team today. Together, we'll accelerate the real-life impact of tomorrow's science and technology. We partner with customers across the globe to help them solve their most complex challenges, architecting solutions that bring the power of science to life. For more information, visit **************** Danaher Corporation and all Danaher Companies are committed to equal opportunity regardless of race, color, national origin, religion, sex, age, marital status, disability, veteran status, sexual orientation, gender identity, or other characteristics protected by law. The U.S. EEO posters are available here. We comply with federal and state disability laws and make reasonable accommodations for applicants and employees with disabilities. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact:************** or applyassistance@danaher.com.

Huntington Bank is looking for an SBA Eligibility Review Officer I. Duties & Responsibilities: * Maintains an individual pipeline of work, with loans typically having customer exposure up to $1 million. * Appropriately assess eligibility of borrower(s), co-borrower(s), guarantor(s) assuring that, if needed, the SBA guarantee can be enforced. * Interacts with the internal SBA Sales and Operations colleagues to facilitate understanding of the SBA and USDA guaranteed loan programs as well as to understand the credit request, obtain necessary eligibility information, and communicate eligibility decision and reasoning. * Reviews use of proceeds, orders SBA Number, prepares SBA Loan Authorization and other SBA forms and is responsible for ensuring the loan meets all SBA/USDA requirements. * Reviews all reports and information received with respect to SBA/USDA eligibility requirements to determine if terms and conditions of the SBA credit approval will be met. This includes review of franchise agreements, purchase agreements, bank notes, and business plans. * Researches and resolves servicing questions from the SBA and internal personal to ensure the guaranty can be maintained. * May be asked to advise Financial Recovery Group (FRG)) colleagues in properly working out, liquidating, and litigating SBA loans. May also be required to submit final wrap up reports to the SBA once resolution has been made. * May serve as main point of contact to commercial loan servicing colleagues to ensure proper accounting and reporting of all SBA loans (1502 Report). * Performs other tasks as needed to support the line of business and job family. Basic Qualifications: * Bachelor's Degree and 1 year of direct SBA/USDA lending/due diligence experience * In lieu of a Bachelor's Degree, a minimum of 3 years of direct SBA/USDA lending/due diligence experience Preferred Qualifications: * Bachelor's degree in Finance, Accounting, Business or Economics * Knowledge of the SBA Standard Operating Procedures (SOP). * Ability to clearly document and communicate eligibility conditions to close in accordance with the SBA Standard Operating Procedures. * Good interpersonal skills and the ability/desire to work in a fast-paced production environment are critical to be successful in this role. * Ability to multi-task. * Knowledge of SBA/USDA loan programs. * TSoft and SBA Etran experience are preferred. * Excellent PC skills to include Excel, Word, Outlook, AFS and Velocity. Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay) Yes Workplace Type: Office Our Approach to Office Workplace Type Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the best of both worlds: in-office and work from home. Our approach enables our teams to deepen connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our offices for moments that matter. Specific work arrangements will be provided by the hiring team. Huntington will not sponsor applicants for this position for immigration benefits, including but not limited to assisting with obtaining work permission for F-1 students, H-1B professionals, O-1 workers, TN workers, E-3 workers, among other immigration statuses. Applicants must be currently authorized to work in the United States on a full-time basis. Compensation Range: Total Base Pay Range 49,925.00 - 92,575.00 USD Annual The compensation range represents the low and high end of the base compensation range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to location, experience, and performance. Colleagues in this position are also eligible to participate in an applicable incentive compensation plan. In addition, Huntington provides a variety of benefits to colleagues, including health insurance coverage, wellness program, life and disability insurance, retirement savings plan, paid leave programs, paid holidays and paid time off (PTO). Huntington is an Equal Opportunity Employer. Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details. Note to Agency Recruiters: Huntington will not pay a fee for any placement resulting from the receipt of an unsolicited resume. All unsolicited resumes sent to any Huntington colleagues, directly or indirectly, will be considered Huntington property. Recruiting agencies must have a valid, written and fully executed Master Service Agreement and Statement of Work for consideration.

Nelnet is a diversified and innovative company committed to enriching lives through the power of service as a student loan servicer, professional services company, consumer loan originator and servicer, payments processor, renewable energy solutions, and K-12 and higher education expert. For over 40 years, Nelnet has been serving its customers, associates, and communities. The perks of working at Nelnet go beyond our benefits package. When you join the Nelnet team, you're part of a community invested in the success of each individual. That support comes through in our work, as we are united by our mission of creating opportunities for people where they live, learn, and work. The Senior Compliance Manager- Compliance Risk Management, is responsible for driving certain elements of Nelnet Bank's Compliance Management System. This role oversees the Bank's compliance advisory, compliance training, and complaint management programs. This role reports to and will collaborate closely with the Bank's Chief Compliance Officer and will also work closely with the Bank's Compliance Testing team and other cross-functional teams at the Bank and its affiliates. The Senior Compliance Manager is also responsible for effectively communicating the compliance methodology and results to Nelnet Bank associates, management, regulators, and auditors. The Senior Compliance Manager will play a key role in executing, developing, and maturing the Bank's compliance management system. **JOB RESPONSIBILITIES:** + Performs compliance due diligence and oversight of new products, services and initiatives at the Bank. + Manages Nelnet Bank's Complaint Management Program, including trending, analysis, issue identification, reporting, and process improvement. + Develops and continually enhances due diligence tools for new products. + Manages Nelnet Bank's Compliance Training Program including LMS administration and supplementary training development and delivery. + Leads Nelnet Bank's marketing compliance reviews to ensure compliance with laws, regulations, policies, procedures, and guidance. + Advises diverse business units and all levels of management on complex compliance risks and requirements. + Keeps policies, procedures, and guides that are within primary scope of responsibilities up to date with the Bank's risks, activities, and the changing regulatory landscape. + Reports on CMS activities and outcomes to appropriate committees. + Progressively increases personal knowledge of internal control concepts and applies them to enhance the compliance management system. + Assists with the development and ongoing maintenance of the Bank's strategic partner compliance program. + Assists the Chief Compliance Officer with FDIC and UDFI compliance exams. + Communicates opportunities and areas of improvement for compliance and/or operational activities such as enhancements to procedures, processes, training or technology. + Engages effectively and proactively with Bank partners in deposit and lending programs. + Assists in various compliance-related duties as needed. **Pay Range for this role is - $100,000 - $130,000 **EDUCATION:** Bachelor's Degree in related field. Certified Regulatory Compliance Manager (CRCM) certification or a related certification preferred. **EXPERIENCE:** + 5 or more years in audit, compliance, fair banking, complaints, risk management, or governance related field. Direct involvement with regulatory examinations (CFPB, FDIC, OCC, etc.) preferred. + Experience working with and overseeing third parties. + Experience with fair lending laws and regulations. **COMPETENCIES - SKILLS/KNOWLEDGE/ABILITIES:** + Extensive knowledge of bank laws and regulations including but not limited to Unfair, Deceptive, or Abusive Acts and Practices (UDAAP); Truth in Lending Act; Truth in Savings Act; Equal Credit Opportunity Act; Fair Credit Reporting Act, Servicemember Civil Relief Act, Military Lending Act, Electronic Fund Transfers Act, Garnishments of Accounts Containing Federal Benefit Payments, and privacy laws. + In-Depth Knowledge of the three lines of defense risk management framework. + Ability to work independently on multiple issues concurrently and to exercise independent judgment in establishing priorities + Data analytics + Ability to succeed in a fast pace, heavy workload, environment + Ability to communicate complex concepts + Excellent oral, written, negotiation and presentation skills. + Ability to adapt to a highly diversified and changing environment Our benefits package includes medical, dental, vision, HSA and FSA, generous earned time off, 401K/student loan repayment, life insurance & AD&D insurance, employee assistance program, employee stock purchase program, tuition reimbursement, performance-based incentive pay, short- and long-term disability, and a robust wellness program. Click here to learn more about our benefits: LINK (*************************************** . Nelnet is committed to providing a welcoming and respectful workplace where all associates have the opportunity to succeed. As an Equal Opportunity Employer, we ensure that all qualified applicants are considered for employment. Employment decisions are made without regard to race, color, religion/creed, national origin, gender, sex, marital status, age, disability, use of a guide dog or service animal, sexual orientation, military/veteran status, or any other status protected by federal, state, or local law. We value the unique contributions of every team member and believe that a positive work environment benefits everyone. Qualified individuals with disabilities who require reasonable accommodations in order to apply or compete for positions at Nelnet may request such accommodations by contacting Corporate Recruiting at ************ or ****************************** . Nelnet is a Drug Free and Tobacco Free Workplace. You may know Nelnet as the nation's largest student loan servicer - but we do more than that. _A lot more._ We're also a professional services company, consumer loan originator and servicer, payment processor, renewable energy innovator, and K-12 and higher education expert (and that's just a shortlist). For over 40 years, we've been serving our customers, associates, and communities to make dreams possible. EEO Info (******************************************************** | EEO Letter (************************************************************** | EPPA Info (************************************************************************************** | FMLA Info (********************************************************

What is the opportunity? This role is Responsible for the review of customer complaints received by the Firm and development of the Firm's response and actions. It will respond to regulatory inquiries regarding customer complaints received by the Firm or received directly by the regulator and forwarded to the Firm. This role will complete regulatory reporting of customer complaints in accordance with applicable regulatory rules and maintain regulatory required customer complaint books and records in accordance with Firm policy and within record retention requirements. This Senior Officer will investigate and communicate conclusions verbally and in writing regarding complex customer complaints, arbitration, litigation, and related regulatory inquiries involving a high degree of regulatory or financial risk to the firm. It will ensure compliance with industry requirements regarding customer allegations of misconduct by the firm or one of our employees and corresponding outcomes. It may recommend remedial action against the employee when appropriate. It is responsible for recommending proactive initiatives to be taken by the firm based on lessons learned or patterns observed. What will you do? Thoroughly review and understand client complaint allegations Accurately log client complaints within Firm records inclusive of determining if the client complaint meets criteria as a FINRA complaint. Code case correctly for internal and external and external reporting purposes Determine if the client complaint triggers reporting by any associated persons of the Firm and facilitate such filings (e.g. FA U4 complaint filing) Complete fact gathering and factual review of customer complaints and determine accurate facts of the matter at issue Complete analysis of the matter, comparing factual review to the Firm's policies and procedures and regulatory requirements Determine and gain any needed alignment on the Firm's position regarding the customer complaint. Collaborate with Legal, Compliance colleagues, Field Leaders to gain alignment. Draft clear and responsive communications to customer complaints inclusive of letters and settlement offers where applicable Negotiate settlement within authority Escalate identified policy or procedure concerns and/or refer individuals who appear to have violated the Firm's policy for review and discipline Prepare and complete reports on individual matters or prepare and compile Dispute Resolution Data in the aggregate Communications with respective parties (e.g. customer, FA, complex management) throughout the process to manage expectations and outcomes What do you need to succeed? Must-have Bachelor's degree in finance, legal, business, or related field or equivalent industry experience 5 or more years of experience in dispute resolution 7-10 or more years of experience in financial services FINRA Series 7 What's in it for you? We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual. A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off. Leaders who support your development through coaching and managing opportunities. Ability to make a difference and lasting impact. Work in a dynamic, collaborative, progressive, and high-performing team. Opportunities to do challenging work. Opportunities to build close relationships with clients. The expected salary range for this particular position is $70,000-120,000, depending on your experience, skills, and registration status, market conditions and business needs. You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals. RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that: Drives RBC's high-performance culture Enables collective achievement of our strategic goals Generates sustainable shareholder returns and above market shareholder value Job Skills Audits Compliance, Critical Thinking, Data Gathering Analysis (Inactive), Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking Additional Job Details Address: 250 NICOLLET MALL:MINNEAPOLIS City: Minneapolis Country: United States of America Work hours/week: 40 Employment Type: Full time Platform: CHIEF LEGAL & ADMIN OFFICE GRP Job Type: Regular Pay Type: Salaried Posted Date: 2025-12-03 Application Deadline: 2026-01-01 Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above Inclusion and Equal Opportunity Employment At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all. Join our Talent Community Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.

Job Details Minnesota - Edina, MN Full Time 4 Year Degree $53000.00 - $57000.00 Salary/year AuditDescription We are currently hiring to add to our team starting in January 2026. About Us: We are a Chicagoland-based CPA firm with offices in Westchester, IL, Edina, MN and Schererville, IN. Our firm specializes in audit, accounting and tax services to employee benefit plans, labor organizations, not-for-profits organizations and governmental entities. We value our employees and offer a hybrid work environment to ensure a healthy work/life balance. Interns will have the opportunity to work from employer locations, Legacy offices and remotely, as scheduling allows. Position Overview: We have developed an extensive department and maintain a full staff of compliance auditors dedicated exclusively to performing compliance audits. Our compliance audit department does not require an employee to be a CPA at any level. In this position, you will perform compliance audits for various fringe benefit funds to determine if an employer is contributing properly to the benefit funds on behalf of their employees. Initial assignments will include assisting experienced compliance auditors on compliance audit engagements and performing a wide range of audit support functions. Job Responsibilities: Read collective bargaining agreements and understand the basis upon which contributions should be made Prepare audit files and set appointments Perform fieldwork based on compliance audit program Record payroll taxes Classify employees Record payroll Review bank records such as accounts payable/check register Prepare final audit report Qualifications Bachelor's degree in a business related field. Accounting (Non-CPA path), Finance or business majors preferred or Associates degree with at least 2 years of related professional work experience Strong analytical, research and technical skills Strong computer skills such as Microsoft Excel Teamwork and communications skills Detail oriented and able to handle numerous assignments Familiarity with payroll systems/business checking accounts is a plus Must have reliable transportation in order to drive to employer locations for audit assignments. Local travel will be required and out-of-town travel may be required at times Benefits Great opportunity for growth within the firm Opportunity to work closely with Managers, Senior Associates and Employers Competitive benefits package (including vacation, sick leave, holidays, medical, dental, vision, 401(k), long/short-term disability, life insurance, flexible spending account & dependent care account program) Paid Parental Leave Dress for your day attire - jeans in the office and professional attire at clients Reimbursement for CFE review course and exam fees Bonus when successfully completing the CFE exam Payment for professional membership costs Employee referral bonus Fun firm sponsored social events Legacy Professionals LLP is an equal opportunity employer. All applicants must be eligible to work in the U.S.

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

Huntington Bank is looking for an SBA Eligibility Review Officer I. Duties & Responsibilities: + Maintains an individual pipeline of work, with loans typically having customer exposure up to $1 million. + Appropriately assess eligibility of borrower(s), co-borrower(s), guarantor(s) assuring that, if needed, the SBA guarantee can be enforced. + Interacts with the internal SBA Sales and Operations colleagues to facilitate understanding of the SBA and USDA guaranteed loan programs as well as to understand the credit request, obtain necessary eligibility information, and communicate eligibility decision and reasoning. + Reviews use of proceeds, orders SBA Number, prepares SBA Loan Authorization and other SBA forms and is responsible for ensuring the loan meets all SBA/USDA requirements. + Reviews all reports and information received with respect to SBA/USDA eligibility requirements to determine if terms and conditions of the SBA credit approval will be met. This includes review of franchise agreements, purchase agreements, bank notes, and business plans. + Researches and resolves servicing questions from the SBA and internal personal to ensure the guaranty can be maintained. + May be asked to advise Financial Recovery Group (FRG)) colleagues in properly working out, liquidating, and litigating SBA loans. May also be required to submit final wrap up reports to the SBA once resolution has been made. + May serve as main point of contact to commercial loan servicing colleagues to ensure proper accounting and reporting of all SBA loans (1502 Report). + Performs other tasks as needed to support the line of business and job family. Basic Qualifications: + Bachelor's Degree and 1 year of direct SBA/USDA lending/due diligence experience + In lieu of a Bachelor's Degree, a minimum of 3 years of direct SBA/USDA lending/due diligence experience Preferred Qualifications: + Bachelor's degree in Finance, Accounting, Business or Economics + Knowledge of the SBA Standard Operating Procedures (SOP). + Ability to clearly document and communicate eligibility conditions to close in accordance with the SBA Standard Operating Procedures. + Good interpersonal skills and the ability/desire to work in a fast-paced production environment are critical to be successful in this role. + Ability to multi-task. + Knowledge of SBA/USDA loan programs. + TSoft and SBA Etran experience are preferred. + Excellent PC skills to include Excel, Word, Outlook, AFS and Velocity. Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay) Yes Workplace Type: Office Our Approach to Office Workplace Type Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the best of both worlds: in-office and work from home. Our approach enables our teams to deepen connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our offices for moments that matter. Specific work arrangements will be provided by the hiring team. Huntington will not sponsor applicants for this position for immigration benefits, including but not limited to assisting with obtaining work permission for F-1 students, H-1B professionals, O-1 workers, TN workers, E-3 workers, among other immigration statuses. Applicants must be currently authorized to work in the United States on a full-time basis. Compensation Range: Total Base Pay Range 49,925.00 - 92,575.00 USD Annual The compensation range represents the low and high end of the base compensation range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to location, experience, and performance. Colleagues in this position are also eligible to participate in an applicable incentive compensation plan. In addition, Huntington provides a variety of benefits to colleagues, including health insurance coverage, wellness program, life and disability insurance, retirement savings plan, paid leave programs, paid holidays and paid time off (PTO). Huntington is an Equal Opportunity Employer. Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details. Note to Agency Recruiters: Huntington will not pay a fee for any placement resulting from the receipt of an unsolicited resume. All unsolicited resumes sent to any Huntington colleagues, directly or indirectly, will be considered Huntington property. Recruiting agencies must have a valid, written and fully executed Master Service Agreement and Statement of Work for consideration.

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

At Wipfli, people count. At Wipfli, our people are core to everything we do-the catalyst behind our ability to create exceptional impact and extraordinary results. We believe in flexibility. We focus on relationships. We encourage each individual to follow their own path. People truly matter and they feel it. For those looking to make a difference and find a professional home, Wipfli offers a career-defining opportunity. Responsibilities Our Senior Regulatory Compliance Consultant can work either in person, remote, or in a hybrid environment in the state of MN. About 20% travel to client locations in WI, IL, and/or MN is required. Responsibilities: Provide pro-active and on-going consultation regarding regulatory compliance risk assessment, remediation, monitoring, research, interpretation, change management, education, and board and management reporting Utilize consultative approach to assist financial services clients to develop and strengthen their compliance management system Provide compliance expertise and potential solutions to identifying regulatory gaps and associated risks Present information in a concise and effective manner to the board of directors, audit or supervisory committee, management, and business lines Conduct routine regulatory compliance testing for federal consumer compliance regulations Lead client engagements and engagement teams as needed Knowledge, Skills and Abilities Qualifications: Bachelor's Degree 5+ years of experience in banking / financial institutions Experience in creating, executing, and documenting regulatory compliance audits Knowledge and experience in lending Excellent oral, written communication and presentation skills; able to communicate effectively with both technical and business partners as well as executive management Strong analytical skills with high attention to detail and accuracy Ability to manage multiple responsibilities and prioritize in a high volume, high paced dynamic environment About 20% travel to client locations within the U.S. is required Carly Seidl, from our recruiting team, will be guiding you through this process. Visit her LinkedIn page to connect! #LI-hybrid #LI-CS1 Additional Details Additional Details: Wipfli is an equal opportunity/affirmative action employer. All candidates will receive consideration for employment without regards to race, creed, color, religion, national origin, sex, age, marital status, sexual orientation, gender identify, veteran status, disability, or any other characteristics protected by federal, state, or local laws. Wipfli is committed to providing reasonable accommodations for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or participate in our recruiting process, please send us an email at *************. Wipfli values fair, transparent, and competitive compensation, considering each candidate's unique skills and experiences. The estimated base pay range for this role is $88,000-118,000, with offers typically not made at the maximum, allowing for future salary increases. The actual salary at the time of offer depends on business related factors like location, skills, experience, training/education, licensure, certifications, business needs, current associate pay, and relevant employment laws. Individuals may be eligible for an annual discretionary bonus, subject to participation rules and based on a variety of factors including, but not limited to, individual and Firm performance. Wipfli cares about our associates and offers a variety of benefits to support their well-being. Highlights include 8 health plan options (both HMO & PPO plans), dental and vision coverage, opportunity to enroll in HSA with potential Firm contribution and an Employee Assistance Program. Other benefits include firm-sponsored basic life and short and long-term disability coverage, a 401(k) savings plan & profit share as well as Firm matching contribution, well-being incentive, education & certification assistance, flexible time off, family care leave, parental leave, family formation benefits, cell phone reimbursement, and travel rewards. Voluntary benefit offerings include critical illness & accident insurance, hospital indemnity insurance, legal, long-term care, pet insurance, ID theft protection, and supplemental life/AD&D. Eligibility for all benefits programs is dependent on annual hours expectation, position status/level and location. "Wipfli" is the brand name under which Wipfli LLP and Wipfli Advisory LLC and its respective subsidiary entities provide professional services. Wipfli LLP and Wipfli Advisory LLC (and its respective subsidiary entities) practice in an alternative practice structure in accordance with the AICPA Code of Professional Conduct and applicable law, regulations, and professional standards. Wipfli LLP is a licensed independent CPA firm that provides attest services to its clients, and Wipfli Advisory LLC provides tax and business consulting services to its clients. Wipfli Advisory LLC and its subsidiary entities are not licensed CPA firms.

We begin with dreams. Dreams drive our motivation. Dreams are our future. The world's dreams, people's dreams, our dreams. Our passion creates ideas that make dreams come alive. Technology and products that were only dreams become reality. All for dreams. Dreams challenge and the Nidec-Group will continue to meet the challenge. For the world's and people's tomorrows; the world's first, the world's best technologies and products; we will continue our part in creating a better society. Job Summary Job Description The Trade Compliance Analyst will play a crucial role in ensuring that our company adheres to all trade regulations and compliance standards, while optimizing duty savings and maintaining accurate records. This position will utilize strong expertise in Harmonized Tariff Schedule (HTS) classification and USMCA (United States-Mexico-Canada Agreement) qualification to effectively analyze and execute all relevant trade compliance activities. Responsibilities: Determine and audit Harmonized Tariff Schedule and Schedule B classifications Assists in conducting import compliance audits and review and implement corrective actions Assist in developing, preparing, and providing periodic metrics and KPI reports for import and export operations Analyze data from ACE reports for errors and anomalies. Assist Accounting with gathering import duty costs, estimating import duty surcharges for customer invoicing, import duty cost analysis, and other tasks as necessary. Works with Procurement, Compliance, Engineering, Accounting, Logistics, and other departments to collect and manage trade related information to accurately classify shipments, obtain certificates of origin, and collect information pertaining to assists. Audit brokers and freight forwarder activities; support with review of performance against KPIs. Respond to broker and forwarder requests for information to support imports and exports. Conduct post-entry audits to verify compliance of import transactions, ensuring accurate declarations, identifying discrepancies and preparing corrective actions if necessary. Analyze and verify product eligibility for USMCA; prepare and maintain documentation for USMCA certification and reporting. Collaborate with cross-functional teams to ensure proper understanding and implementation of USMCA rules of origin. Implement best practices to drive productivity and streamline opportunities. Maintain accurate and organized records of all trade compliance activities and documentation. Provide support related to country-of-origin determination. Qualifications: Bachelor's degree in related field required. 3-5 years of experience Excellent analytical skills with keen attention to detail. Proficient in MS Office Suite. Additional Job Details Equal Employment Opportunity and Affirmative Action at Nidec Nidec is an Equal Employment Opportunity (EEO) and Affirmative Action Employer encouraging diversity in the workplace. All qualified applicants receive consideration for employment without regard to their age, gender, gender identity, sexual orientation, race, color, genetic information, religious creed, national origin, physical or mental disability, protected veteran status, or any other characteristic protected by law. For more information regarding your (EEO) rights as an applicant, please visit the following website: **************************************************************** Work Shift Schedule No Soliciting Nidec will not accept unsolicited resumes from individual recruiters or third party recruiting agencies in response to Nidec job postings. No fee will be paid to third parties who submit unsolicited candidates directly to our hiring managers. Pre-approval from the Nidec Talent Acquisition team is required before any external candidate can be submitted and such candidate must be submitted to the Nidec Talent Acquisition team.

The Risk Controls team is responsible for making sure that the Firm's policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field on the policies and procedures of the firm, as well as the rules and regulations of our highly regulated industry. We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner. This is a 2-3 days a week in one of the office locations listed: Dallas, TX or Des Moines, IA or St Cloud, MN or El Segundo, CA. What you will do: Review and acknowledge Outside Business Activities (OBAs) submitted by registered field and home office personnel. Partner with the broker-dealer Compliance teams, as needed, to establish controls and/or conditions of an OBA Respond to and address inquiries from field and home office personnel to assist and educate regarding firm policies and procedures as it relates to OBAs. Track submissions and documentation into respective firm approved tools. Submit and update OBA information for registered persons. Primary contacts / internal partners for this position are: Broker-Dealer Compliance and Supervision Teams What you need to have: HS Degree at minimum Bachelor's degree preferable 1-3 years of BD Compliance experience Series 7 and 24 required. Review and analyze OBAs from a practical, policy and regulatory framework. Provide accurate and thorough written documentation. Manage several tasks proactively. Work well independently as well as on a team. Manage workloads and help team as needed Regulations and interpretive guidance Industry Best Practices Problem resolution Thorough analysis Excellent written and verbal communication MS office including Excel, Word, and Outlook Interpersonal relations Compensation: The base annual salary range for this role is $59,000 to $103,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. #LI-Hybrid

Job Description About the role: We are seeking a dedicated Compliance Analyst to join Unison Mortgage Corporation, a non-bank mortgage lender and broker. This role ensures adherence to state and federal regulations governing mortgage lending and brokering in Nebraska. The Compliance Analyst will be responsible for monitoring regulatory changes, managing mortgage licensing, conducting compliance testing, and supporting audits, with a strong emphasis on implementing key regulations to support Unison's mission of delivering innovative mortgage solutions, including equity-sharing home loans. This is a hybrid position with the requirement of 3 full days in our Omaha, NE office. Responsibilities: Analyze federal and state regulatory changes (e.g., TILA, RESPA, SAFE Act, CFPB guidelines) and implement requirements across products, services, and processes. Ensure compliance with licensing obligations, including NMLS requirements, MLO continuing education, and state-specific regulations. Review marketing materials, disclosures, forms, and loan documents to ensure compliance with federal and state laws (e.g., TRID, UDAAP). Administer compliance testing programs, monitor third-party partners, and track compliance metrics to identify risks and trends. Prepare documentation and coordinate with auditors and regulators; develop and oversee remediation plans for findings. Maintain compliance documentation, procedures, and forms library to reflect regulatory changes. About you: Comprehensive understanding of federal laws (TILA, RESPA, ECOA, BSA/AML, SAFE Act, UDAAP) and state-specific regulations. Strong analytical and problem-solving skills to assess regulatory impacts and create solutions. Excellent communication skills to clearly present complex regulatory concepts to diverse audiences. Proficiency with Microsoft Office and browser-based applications. Strong organizational skills to manage multiple priorities and deadlines. Ability to collaborate effectively with loan officers, marketing teams, and external vendors. High attention to detail and discretion in handling confidential information. Experience using project management tools to coordinate compliance initiatives. Bachelor's degree in Business, Finance, Pre-Law, or related field (or equivalent experience). Minimum 5 years of mortgage compliance, licensing, or audit experience in financial services, ideally with a non-bank lender or broker. Familiarity with NMLS processes and state mortgage licensing requirements. It's a bonus if: Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS), or equivalent. Completion of NMLS-approved SAFE Act training is a plus. Prior experience with OnCourse Learning platform administration for mortgage licensing education and training. We recognize that people come with experience and talent beyond just the technical requirements of a job. If your experience is close to what you see listed here, please still consider applying. Diversity of experience and skills combined with passion is a key to innovation and excellence. Therefore, we encourage people from all backgrounds to apply to our positions. Please let us know if you require accommodations during the interview process. Why join us? The Unison team draws on a deep and wide range of talent across several disciplines. Visionaries in investment management, product development, and financial technology are joined by innovative real estate and consumer finance experts creating a unique culture. Perks of the Unison employee include: competitive salaries, 100% paid medical and dental benefits, generous PTO policy, paid parental leave program, and fantastic downtown SF and Omaha locations, as well as being an integral part of a well-funded market leader with incredible momentum. About us: Unison is a San Francisco-based company that is pioneering a smarter, better way to own your home. Until now, the only way to finance a home was by taking on debt. Through the Unison Agreement, we help homeowners access their equity flexibly with no monthly payments or interest. We enhance home affordability, reduce debt, and deliver a less risky way for homeowners, investors, and society to think about their most important asset - the home. For additional information, visit ************** or follow us on Facebook, Instagram, LinkedIn, Twitter and YouTube. The last few years have been record breaking for Unison. We expanded our offering to 30 states, surpassed the $5B mark in real estate investments and partnered with over 7K customers through our HomeBuyer and HomeOwner programs. This tremendous growth was recognized by the Deloitte Technology Fast500 awards two years in a row as well as being included in the most recent Forbes Fintech50. Unison provides equal employment opportunity to all individuals regardless of their race, age, creed, color, religion, national origin or ancestry, sex, gender, disability, veteran status, genetic information, sexual orientation, gender identity or expression, pregnancy, or any other characteristic protected by state, federal, or local law.

What is the Opportunity? This role is focused on providing Compliance risk oversight and advice related to RBC Wealth Management (RBC-WM) policies and procedures. The primary goal is to ensure that all policies and procedures are clear, well-implemented, and aligned with regulatory requirements and RBC's risk and control standards. The role requires a base understanding of regulatory requirements, strong knowledge of RBC's risk and control framework, and excellent relationship-building skills. The ideal candidate will be able to proactively identify and address policy and procedure control weaknesses, and develop clear and effective compliance-related content. What will you do? Proactively engage and maintain relationships with business partners to provide compliance oversight and governance over the implementation of policies and procedures attendant to the compliance program in support of current and future products and services in accordance with regulatory requirement and RBC's risk and control requirements. Assess, monitor and, if applicable, escalate policy & procedure control weaknesses and support leadership in evaluation and response. Lead Compliance governance of policy and procedure reviews, coordinating all areas of Compliance review in which policy and procedure issues can be identified including Regulatory Updates, External Events, Issues Management, and Monitoring results. Oversee reporting of policy and procedure changes in coordination with 1LOD risk partners. Effectively communicate through approved RBC-WM internal communication channels (e.g. email announcements and intranet content) requirements of and/or changes to RBC Policies and the Compliance support resources available in a professional and approachable manner Ensure communications meet requirements of RBC, including record retention requirements What do you need to succeed? Bachelor's Degree or 2 or more years of relevant experience Nice-to-Have FINRA Series 7 Professional communication writing experience Web creation and design experience What's in it for you? We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual. A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off. Leaders who support your development through coaching and managing opportunities. Ability to make a difference and lasting impact. Work in a dynamic, collaborative, progressive, and high-performing team. Opportunities to do challenging work. Opportunities to build close relationships with clients. The expected salary range for this particular position is $55,000-$95,000, depending on your experience, skills, and registration status, market conditions and business needs. You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals. RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that: Drives RBC's high-performance culture Enables collective achievement of our strategic goals Generates sustainable shareholder returns and above market shareholder value Job Skills Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking Additional Job Details Address: 250 NICOLLET MALL:MINNEAPOLIS City: Minneapolis Country: United States of America Work hours/week: 40 Employment Type: Full time Platform: CHIEF LEGAL & ADMIN OFFICE GRP Job Type: Regular Pay Type: Salaried Posted Date: 2025-12-02 Application Deadline: 2025-12-31 Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above Inclusion and Equal Opportunity Employment At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all. Join our Talent Community Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.

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").

The Risk Controls team is responsible for making sure that the Firm's policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field on the policies and procedures of the firm, as well as the rules and regulations of our highly regulated industry. We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner. This is a 2-3 days a week in one of the office locations listed: Dallas, TX or Des Moines, IA or St Cloud, MN or El Segundo, CA. What you will do: * Review and acknowledge Outside Business Activities (OBAs) submitted by registered field and home office personnel. * Partner with the broker-dealer Compliance teams, as needed, to establish controls and/or conditions of an OBA * Respond to and address inquiries from field and home office personnel to assist and educate regarding firm policies and procedures as it relates to OBAs. * Track submissions and documentation into respective firm approved tools. * Submit and update OBA information for registered persons. * Primary contacts / internal partners for this position are: Broker-Dealer Compliance and Supervision Teams What you need to have: * HS Degree at minimum * Bachelor's degree preferable * 1-3 years of BD Compliance experience * Series 7 and 24 required. * Review and analyze OBAs from a practical, policy and regulatory framework. * Provide accurate and thorough written documentation. * Manage several tasks proactively. * Work well independently as well as on a team. * Manage workloads and help team as needed * Regulations and interpretive guidance * Industry Best Practices * Problem resolution * Thorough analysis * Excellent written and verbal communication * MS office including Excel, Word, and Outlook * Interpersonal relations Compensation: The base annual salary range for this role is $59,000 to $103,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. #LI-Hybrid