Compliance Officer Iii Jobs

College graduate; with a minimum of 3-4 years of work experience in an asset management firm

Strong attention to detail, as well as organizational and time management skills; ability to multi-task in a fast paced environment

Ability to work with senior management across teams and office locations, managing multiple deadlines and following up when necessary.

A prestigious alternative investment management firm is seeking a Compliance Professional to to join their team.

Strong experience with Microsoft Office suite

Administer the Firm’s compliance program while remaining up-to-date regarding regulatory developments.

Compensation & Benefits: Competitive salary ($130-$150k DOE) plus bonus and comprehensive Medical, Dental and Vision Programs.

Environment: Hybrid, 2 days in office, 3 days remote

Why Join Them? Thrive with These Benefits:

Grow & Thrive: Enjoy mentorship from industry leaders, continuous learning opportunities, and the space to make a tangible difference every day.

Career Advancement: Opportunities for growth, professional development, and mentoring from senior staff.

Work-Life Balance: Flexible hybrid schedule, 401(K) Program with a robust company match, and annual wellness reimbursements.

Certification in health care compliance preferred. Specific skills, knowledge, and abilities:

Establishes and provides direction and management of the compliance Hotline.

Must also meet state requirements for relevant licensures or certifications and have no disciplinary action in effect against professional license.

Manages the day-to-day governance and operation of the Compliance Program.

Experience in dealing with compliance issues.

Effective verbal and written communication skills and ability to exercise judgement.

Solid organizational and time management skills.

Must have a good working knowledge of industry registration requirements and processes.

Minimum two years Compliance experience.

Proven judgment, problem-solving, and decision-making skills.

Strong written and verbal communication skills.

Dedicated knowledge of department and FINRA systems and processes will be expected after training is complete.

Participates in all mandatory state on-boarding training, and on-the-job training specific to security enforcement duties and responsibilities.

Performs shift work which may require the need to work evenings, weekends, and/or holidays; to include short notice requirements.

Maintain weapons qualification on assigned weapon system(s).

One (1) year of experience in a peace officer, law enforcement, military or security related role is required.

Experience with Microsoft Office applications to include Word, Outlook and Excel is required.

Must be able to successfully pass required training and maintain annual certifications.

Strong relationship management and leadership skills.

Demonstrated knowledge of the banking industry, particularly deposit product offerings and the systems supporting them.

Bachelor’s Degree required; substantial industry experience may be substituted for a Bachelor’s Degree; Juris Doctorate or CRCM preferred.

3-5 years of experience as a financial services compliance professional, bank regulator or other comparable legal experience.

Sound decision-making skills; able to make decisions independently and quickly.

Solid written and oral communication skills.

Maintain and own Salesforce database for safety related case management, including implementation of updates or database changes

Experience working with Salesforce Service Cloud; certifications preferred

Manage communications channels with Customer Support teams on next steps, communications, and timelines for responses

Manage monthly and quarterly reporting to legal and leadership teams; create reports and share out information to relevant stakeholders, as needed

5-7 years experience supporting legal projects or programs, including experience working with Tier 2 or higher customer support

Excellent communication and coordination skills

Maintain and own Salesforce database for safety related case management, including implementation of updates or database changes

Experience working with Salesforce Service Cloud; certifications preferred

Manage communications channels with Customer Support teams on next steps, communications, and timelines for responses

Manage monthly and quarterly reporting to legal and leadership teams; create reports and share out information to relevant stakeholders, as needed

3-5 years experience supporting legal projects or programs, including experience working with Tier 2 or higher customer support

Excellent communication and coordination skills

Maintain continuous and effective communication with our partners, including banks, networks, vendors, and other stakeholders, to ensure alignment with compliance requirements.

Bachelor's degree in finance, accounting, or related field preferred.

Excellent communication and interpersonal skills to facilitate effective communication with internal teams and external partners.

Excellent communication and leadership skills to collaborate effectively with cross-functional teams.

Self-motivated and able to work independently in a remote environment.

Build procedures for handling exceptions to compliance policies (CIP, AML, Reg E, etc.) and build cardholder complaint procedures.

4+ years prior experience in risk management or compliance roles

Work with management to create procedures to create and maintain compliance

Be the main advisor for any questions related to benefit laws and standards

Draft and revise company benefit policies

BA in business or similar degree or equivalent experience.

Strong knowledge of ERISA, ACA, HIPAA, and COBRA laws

4+ years prior experience in risk management or compliance roles

Work with management to create procedures to create and maintain compliance

Be the main advisor for any questions related to benefit laws and standards

Draft and revise company benefit policies

BA in business or similar degree or equivalent experience.

Strong knowledge of ERISA, ACA, HIPAA, and COBRA laws

1、Bachelor’s degree in law, finance, business management, or a related field.

2、3 – 5 years’ proven experience in AML/CFT industry Good knowledge of compliance requirements and procedures.

5、Advise management on the company’s compliance with laws and regulations through detailed reports.

3、Sound knowledge of banking operation Brilliant oral and written communication skills.

1、Establish and manage an effective legal compliance program.

3、Oversee and manage board and regulatory reporting.

Requirements: Bachelor’s degree in law, finance, business management, or a related field.

3 – 5 years’ proven experience in the AML/CFT industry Good knowledge of compliance requirements and procedures.

Sound knowledge of banking operations Brilliant oral and written communication skills.

Implement and manage an effective legal compliance program.

Create and manage effective action plans in response to audit discoveries and compliance violations.

Highly analytical with strong attention to detail and problem-solving skills

Performs financial management functions. Develops budgets, monitors revenue and expenses and

Performs personnel management functions for staff. Oversees the interviewing, selection and training

Directs and works with the technology team to implement and manage health information technology,

Develops, implements, evaluates and updates work, business and strategic plans. Coordinates

Serves as the corporate compliance officer for the Community Health Centers. Develops and

As part of the corporate compliance program, oversees the Quality Assurance (QA) Program for the

2+ years of regulatory compliance experience with a financial institution / investment management firm or a regulator

General knowledge of regulatory requirements applicable to US investment managers, including the Investment Advisers Act

Ability to manage multiple assignments and transactions simultaneously

Strong communication and interpersonal skills

Assisting with maintenance and organization of compliance books and records and trading agreements

Maintaining various compliance logs and checklists

KNOWLEDGE, SKILLS, AND ABILITIES REQUIRED BY THE POSITION

Other (e.g., post-offer medical exam, polygraph, background check, driver’s license

Responsible for setting up misdemeanor offenders with electronic devices to assist in tracking and monitoring.

Review the NEEDS screening assessment completed by offenders and makes recommendations for further evaluation and treatment services as needed.

Keeps offender’s information confidential and follows all laws and policies related to the protections of private information.

This posting closes at 500 pm on the closing date.

Good working knowledge of Quality Management System (QMS) fundamentals, processes, effects, and the relationship between the QMS and products.

Solid working knowledge of Electronic Document Management Systems (EDMS).

Manage the lifecycle of external supplier audit records in systems, ensure timely update and closure of audit records per procedural requirements.

Manage and process various activities in the Product Lifecycle Management system.

Work with manager on incorporating sound risk management principles for the establishment of the annual audit schedule.

Identify compliance risks and escalate issues to appropriate levels of management for resolution. Present escalations in stakeholder and management meetings.

Monitor FPSO compliance to Energean HSE Management Systems and provide regular feedback to FPSO OIM and Onshore HSE Lead.

Provide support to line management on investigations of incidents and determination of accurate root causes.

Knowledge of EU Offshore Safety Directive combined with International experience (advantage).

Systematic and analytical approach to management of change and associated procedures

Contribute to maintaining the FPSO Report on Major Hazards (ROMH) requirements.

Previous professional experience of 3 years in similar field HSE and compliance positions within an ongoing operational environment.

Some experience in public accounting and preferably in the audit area.

Sufficient compliance, organizational, and technical skills.

Good problem-solving skills and ability to work independently.

EXPERIENCE OUR CULTURE! JOIN OUR TEAM!

Maintain a risk assessment program including assistance with risk evaluations

Responsible for the oversight and testing of the Company Policy and Procedure Manual

Bachelor's degree in Business Administration, Aviation, or other related field required; Master's desired or equivalent combination of education and experience required.

Must be extremely organized and efficient with time management.

Provide training and education to team members regarding regulatory compliance.

AS9100 Lead Auditor Certification required.

Professional Compliance CPE, coursework, certifications preferred.

Must have AS9100 Compliance experience, 4-6 years minimum