Compliance

Lead the development and implementation of compliance frameworks, conduct audits, provide training on federal regulations, and engage with stakeholders to ensure adherence to compliance standards and best practices.

Manage daily interactions with deal trustees and monitor asset ratings while resolving discrepancies. Interpret legal documents for compliance, maintain deal models, and prepare management reporting to enhance operational efficiency.

Develop and maintain high-throughput systems for real-time monitoring of trading activities, automate compliance processes, and document procedures to support audits and regulatory reviews while ensuring uninterrupted market operations.

Support period-end close activities for Accounts Receivable, prepare funding analyses, reconcile balance sheet accounts, and lead cross-functional collaboration to resolve discrepancies while managing special projects and enhancing accounting...

Manage the creative asset review workflow, ensuring compliance with legal standards. Conduct thorough reviews of marketing materials, integrate feedback, and maintain documentation for auditing purposes while collaborating with cross-functional teams.

Advise internal clients on regulatory obligations and risk mitigation strategies, support compliance programs, manage regulatory changes, and mentor junior team members to foster a culture of compliance excellence.

Lead the development of compliance capabilities, generate revenue through strategic advisory services, and build strong client relationships while delivering innovative solutions in risk management and compliance within the healthcare and life sciences...

Develop and apply surveillance rules for compliance, supervise compliance staff on surveillance alerts, draft supervisory procedures, and coordinate responses to regulatory inquiries while managing internal control testing plans.

Develop and maintain client relationships, ensure customer satisfaction through regular visits, and provide market feedback to enhance product strategy while collaborating with sales leadership to achieve growth objectives.

Manage risk and compliance strategies, develop client relationships, oversee project work plans, and mentor teams while addressing credit risks in lending transactions within the financial services industry.

Lead employment compliance initiatives by monitoring legal changes, providing HR policy guidance, and managing compliance training programs, while ensuring adherence to regulations and fostering a culture of accountability across the organization.

Support compliance program implementation and management, conduct regulatory risk assessments, develop training to promote compliance culture, and oversee financial crime prevention aligned with regulations and licensing requirements.

Draft and update compliance policies, manage surveillance processes, administer daily FINRA CAT reporting, and interface with regulators to ensure timely and comprehensive responses to inquiries and exam requests.

Lead the development and execution of HR compliance programs, conduct audits, monitor legislative changes, and provide training to ensure adherence to employment laws and internal policies while mitigating compliance risks.

Lead risk management projects, collaborate on risk analysis, develop compliance strategies, and assess business trends to enhance risk management practices and ensure effective governance in compliance processes.

Conduct thorough investigations of client accounts for potential financial crimes, analyze complex data sets for inconsistencies, and prepare organized case files to support findings while ensuring compliance with regulatory expectations.

Support compliance efforts across jurisdictions, prepare and maintain compliance reports, ensure adherence to financial agreements, and conduct consumer protection reviews. Collaborate with teams to monitor regulations and maintain a strong compliance...

Lead the strategic direction of the Program Compliance department, optimize team structures and technology solutions, and collaborate across functions to ensure compliance integrity and drive business-critical outcomes for client relationships.

Lead IT compliance audits and risk assessments to ensure adherence to security standards. Develop and manage audit documentation while collaborating with stakeholders to address compliance issues and foster a culture of security.

Lead complex risk management projects, develop compliance strategies, collaborate with cross-functional teams to identify risks, and drive process improvements to ensure effective compliance and regulatory adherence in product development.

Manage compliance with trade regulations, monitor updates in Foreign Trade Zones, assist with vendor operations, and conduct internal audits to ensure adherence to customs laws and risk management practices.

Oversee and enhance the enterprise issue management program, lead cross-functional collaboration on compliance issues, advise business leaders on best practices, and develop governance mechanisms for transparency and program health.

Oversee and maintain a comprehensive controls inventory, synthesize customer feedback for process improvements, and proactively identify and resolve compliance exceptions to enhance operational integrity and customer experience.

Develop and maintain high-throughput systems for real-time monitoring of trading activities, automate compliance processes, troubleshoot production issues, and document changes for regulatory audits in a fast-paced environment.

Develop and maintain the Annual Financial Crimes test plan, execute testing and monitoring activities, analyze test results, and communicate findings to stakeholders while ensuring compliance with regulatory requirements and industry standards.

Develop and execute test strategies and plans for compliance software, collaborate with stakeholders to translate requirements into test cases, identify and document defects, and assess software usability from an end-user perspective.

Prepare and file US state and local non-income tax returns, enhance compliance processes using tax technology, and collaborate with finance to align tax impacts with accounting standards while mitigating risks from tax audits.

Lead the strategy and roadmap for Governance, Risk, and Compliance solutions, manage a team of Product Managers, and collaborate with cross-functional teams to deliver secure, scalable SaaS products that meet regulatory requirements.

Lead risk management projects, collaborate to analyze operational risks, develop compliance strategies, and assess business trends to enhance risk practices. Drive improvements through effective project management and stakeholder engagement.

Draft plan documents and summary descriptions for group health plans, maintain a detailed revision database, and advise on document accuracy while improving workflows and ensuring compliance with relevant federal laws.

Lead the preparation and filing of SEC reports, manage external audits, and oversee compliance with financial regulations while mentoring a team to ensure accurate and timely disclosures across various reporting frameworks.

Lead engineering projects requiring specialized knowledge, evaluate and implement compliance standards, collaborate with cross-functional teams, and provide technical training and mentorship to ensure adherence to engineering practices and regulatory...

Review and triage IRB submissions and COI disclosures, conduct pre-reviews to identify regulatory issues, and support the disclosure process while ensuring compliance with federal regulations governing research ethics.

Lead the strategic direction of the Program Compliance department, ensuring alignment with business objectives, optimizing team performance, and serving as a trusted expert across the organization to enhance compliance integrity and client...

Review and assess suspicious activity cases, conduct investigations using monitoring systems, prepare documentation, and interact with client compliance teams to ensure adherence to regulatory requirements and timely case management.

Manage trade compliance programs by assessing risks, reviewing import/export processes, and implementing improvements. Develop training programs and facilitate compliance initiatives while ensuring adherence to regulations across operating companies.

Prepare and file sales and use tax returns, correspond with clients regarding project statuses, and maintain compliance documentation while identifying process improvements to enhance operational efficiency.

Advise on regulatory obligations and risk mitigation strategies, ensure compliance program execution, support regulatory readiness, and drive continuous improvement across compliance operations within Global Fraud Solutions.

Lead compliance oversight and advisory for Consumer Credit products, assess risks, implement mitigation strategies, and collaborate with cross-functional teams to ensure compliance with regulatory requirements and support business initiatives.

Oversee the certification program and ensure compliance with control frameworks while managing customer audits and enhancing cloud security. Develop security awareness training and implement third-party risk management strategies.

Conduct compliance risk assessments, develop and deliver training programs on relevant laws, manage investigations into compliance violations, and promote a culture of ethical behavior through effective communication and awareness campaigns.

Define and execute operational compliance strategies, lead go-to-market activities, analyze performance data, and collaborate cross-functionally to drive growth in the Alcohol business while ensuring safe and compliant delivery operations.

Support compliance initiatives by partnering with field teams, conducting investigations, and implementing training programs. Drive risk mitigation strategies and ensure adherence to policies within the organization’s compliance framework.

Lead the employment compliance function by monitoring legal requirements, developing HR policies, conducting audits, and providing training to ensure adherence to regulations and mitigate compliance risks across the organization.

Lead the development and execution of a risk-based audit program for a sales channel, conduct risk assessments, and establish governance policies to ensure compliance with regulatory standards and improve sales conduct practices.

Monitor and communicate regulatory developments, manage the RCM process workflow, and serve as the primary contact for stakeholders while ensuring compliance and maintaining the integrity of the regulatory inventory.

Monitor and supervise product portfolios, execute customer remediations, and ensure compliance with regulatory requirements while collaborating cross-functionally to identify and resolve issues impacting business operations and customer satisfaction.

Manage and develop compliance professionals while building relationships with business partners. Provide strategic compliance input and advice, ensuring timely completion of compliance projects and regulatory inquiries.

Assist in managing commercial contracts and compliance functions, structure and negotiate agreements, and provide legal counsel on technology and data-related matters while fostering collaboration across teams to address legal challenges.

Calculate margin amounts, monitor collateral movements, verify posted collateral, and perform portfolio reconciliation while ensuring accuracy in trade reporting and responding to margin calls in a fast-paced environment.