We are offering an opportunity for a Compliance Officer in Sacramento, California. This role involves ensuring the integrity of the organization and managing compliance requirements for a variety of government contracts and grants. You will be responsible for developing and implementing policies and procedures, managing non-compliance issues, and conducting internal reviews. <br><br>Responsibilities <br><br>• Contribute to maintaining the organization's integrity by upholding high ethical standards.<br>• Provide expertise on all issues related to compliance management.<br>• Oversee compliance requirements for numerous federal, state, and local government contracts and grants.<br>• Develop and enforce policies and procedures to ensure compliance with laws and regulations.<br>• Collaborate with department heads to ensure all business operations align with business policies.<br>• Monitor subcontractors, independent contractors, and grantees’ compliance with organizational policies and applicable law.<br>• Establish metrics and key performance indicators to evaluate the effectiveness of the compliance program.<br>• Communicate compliance performance to key stakeholders.<br>• Assist in managing non-compliance issues from investigation to resolution.<br>• Develop and implement training programs to ensure employees follow compliance rules and regulations.<br>• Review and assess potential risks of non-compliance through desk audits or reviews.<br>• Conduct quarterly and annual internal reviews to investigate compliance issues.<br>• Develop risk mitigation strategies.<br>• Collaborate with leadership to address ethical violations or compliance issues, report findings, and propose solutions.
We are looking for an experienced Compliance Officer to join a dynamic manufacturing team in Los Angeles, California. This role is critical in ensuring the organization adheres to regulatory requirements, mitigates compliance risks, and fosters a culture of accountability across all departments. If you have a strong background in regulatory compliance and a passion for driving best practices, we encourage you to apply.<br><br>Responsibilities:<br>• Monitor industry regulations and governmental guidelines to ensure the organization remains compliant with all applicable laws.<br>• Develop, implement, and maintain effective compliance programs, policies, and procedures tailored to the company’s needs.<br>• Conduct risk assessments to evaluate internal controls and identify areas for improvement.<br>• Provide comprehensive compliance training to employees, ensuring they understand and adhere to policies.<br>• Engage with regulatory agencies to manage compliance-related inquiries and audits.<br>• Prepare detailed reports for senior leadership, summarizing compliance status and highlighting areas requiring attention.<br>• Analyze new regulations to assess potential impact on business operations and advise decision-makers accordingly.<br>• Oversee documentation processes for audits, risk assessments, and other compliance activities.<br>• Promote a culture of compliance by collaborating with teams to ensure policies are consistently followed.<br>• Act as a trusted advisor for all compliance-related matters within the organization.
<p>Vice President/Compliance Officer – Twin Cities Metro Area</p><p>Are you a seasoned compliance professional looking for your next leadership challenge? A leading financial institution in the Twin Cities Metro Area is seeking a <strong>Vice President/Compliance Officer</strong> to take ownership of its compliance programs and drive excellence across regulatory frameworks. This is an outstanding opportunity to align your expertise in banking compliance with a mission-driven organization focused on fostering community engagement and regulatory leadership.</p><p>Key Responsibilities</p><p>· Lead and oversee all aspects of the bank’s compliance programs, ensuring adherence to regulatory requirements, including CRA, ECOA, HMDA, and additional fair lending laws.</p><p>· Develop, refine, and implement compliance strategies, policies, and procedures to stay ahead of changing regulatory landscapes.</p><p>· Serve as the primary liaison with regulatory agencies during examinations, audits, and reviews, addressing findings and implementing corrective action when necessary.</p><p>· Mentor and manage compliance team members, promoting professional development and a culture of accountability.</p><p>· Collaborate with executive and operational teams to ensure alignment of regulatory compliance priorities with overall business objectives.</p><p>· Monitor industry trends and regulatory developments to provide actionable insights and maintain the institution's position as a compliance leader.</p><p>Qualifications</p><p>· 5+ years of experience in compliance, regulatory oversight, or a related role within the financial services industry; relevant legal or regulatory agency experience is highly preferred.</p><p>· Demonstrated expertise in community banking compliance, including strong knowledge of applicable regulations (e.g., CRA, ECOA, HMDA).</p><p>· Proven leadership and management abilities, with at least 2+ years overseeing and mentoring teams to success.</p><p>· Strong analytical, organizational, and communication skills; must be adept at distilling complexity into actionable recommendations.</p><p>· Hands-on experience collaborating with external regulatory bodies and guiding institutions through examinations or audits.</p><p>This is an opportunity to lead meaningful compliance efforts that impact both the bank and the community. Be part of a forward-thinking institution that values diversity, promotes equitable practices, and deeply invests in its employees and the communities it serves.</p><p>If you are interested, please contact Douglas Rickart at 612-249-0330, connect with him on LinkedIn, or simply click the application link to get started.</p>
<p>We are looking for a dedicated Compliance Manager to oversee regulatory compliance within our organization in Winston Salem, North Carolina. This role requires a proactive individual who can ensure adherence to program regulations, manage compliance processes, and support staff with training and technical expertise. The ideal candidate will demonstrate leadership, attention to detail, and a deep understanding of compliance standards in a regulated environment.</p><p><br></p><p>Responsibilities:</p><p>• Monitor and ensure compliance across all regulated properties, maintaining alignment with program regulations, reporting standards, and lease-up requirements.</p><p>• Conduct audits of resident files to verify eligibility, income certifications, and rent calculations, ensuring accuracy and timeliness.</p><p>• Perform internal compliance audits to identify risks, maintain consistency, and recommend corrective actions.</p><p>• Oversee preparation for regulatory reviews, manage compliance reporting, and respond to agency monitoring visits.</p><p>• Maintain accurate electronic records and documentation using data systems such as ResMan.</p><p>• Supervise, train, and evaluate the compliance team, fostering growth and ensuring high-quality work.</p><p>• Develop and update Standard Operating Procedures (SOPs) and compliance manuals to reflect regulatory changes and best practices.</p><p>• Provide training and technical assistance to property management staff on compliance requirements and Fair Housing laws.</p><p>• Prepare and submit required compliance reports to regulatory agencies within established deadlines.</p><p>• Collaborate with site managers and leadership to ensure compliance during project development, lease-up, and stabilization phases.</p>
<p>🚀 <strong>Compliance Manager Opportunity – Career Growth Awaits!</strong> ⚖️💼</p><p>Are you a passionate compliance professional seeking a career where strategic leadership meets cutting-edge regulatory expertise? We’re looking for a <strong>Compliance Manager</strong> to lead and shape the compliance program for an SEC-registered investment adviser. This is your chance to not only make an impact but also build toward a clear <strong>path to becoming a Chief Compliance Officer (CCO)</strong>!</p><p><br></p><p>💰 <strong>Compensation Highlights:</strong></p><p>✨ Competitive salary paired with a <strong>bonus target of 25-30%</strong> 🏆</p><p>✨ <strong>Carried interest on future funds</strong> for long-term financial growth 📈</p><p>✨ Robust benefits package to support your success</p><p>✨ Relocation reimbursement if needed</p><p><br></p><p>📋 <strong>What You’ll Do:</strong></p><p>✔️ Oversee the compliance program, ensuring it evolves with regulatory landscapes</p><p>✔️ Manage compliance records for pre-clearance approvals, marketing reviews, and fundraising regulations 🌐</p><p>✔️ Collaborate with external advisers and internal teams to ensure adherence to SEC regulations</p><p>✔️ Prepare for SEC audits, annual compliance reviews, and monitor financial rules like AI, cybersecurity, and AML 🛡️</p><p>✔️ Work closely with Finance and Accounting teams on reporting requirements</p><p><br></p><p>🌟 <strong>Why This Role is a Game-Changer:</strong></p><ul><li>Guided <strong>career growth</strong> with mentorship from the General Counsel & Chief Compliance Officer</li><li>Exposure to diverse aspects of compliance, from insider trading rules to global fundraising requirements</li><li>Opportunity to master tools like FINRA IARD and regulatory filings like Form ADV and Form PF</li></ul>
We are offering an exciting opportunity for a Compliance Administrator in the financial services industry. The selected individual will play a crucial role in the company's compliance operations, assisting the Compliance Officer in various tasks to ensure adherence to regulations and to minimize risk related to the company's business.<br><br>Responsibilities:<br>• Develop and manage a comprehensive compliance calendar <br>• Contribute to the completion of diverse regulatory filings<br>• Assist in conducting self-assessments as per the Compliance Officer's design<br>• Participate in the preparation of the annual insurance application<br>• Conduct detailed compliance monitoring reviews<br>• Compile and deliver compliance monitoring reports<br>• Aid in revising company policies and procedures<br>• Research and provide answers to compliance-related inquiries from team members<br>• Assist in responding to compliance audit and examination requests<br>• Conduct thorough reviews of customer accounts and activities<br>• Ensure clear and detail oriented communication, both internally and externally<br>• Handle additional duties as assigned within the scope of the compliance function.
<p>Global, services provider seeks a detail oriented, Audit & Compliance Manager with proven expertise overseeing internal controls, corporate compliance, and financial reporting processes. This position consists of navigating compliance tools and methods using technical accounting while performing risk management. Duties for this Audit & Compliance Manager are but not limited to developing risk assessments, perform accurate testing, updating risk controls, planning and coordinating internal and external audits, and overseeing SOX projects. This candidate will also assist with developing policies and risk management strategies.</p><p><br></p><p>Primary Duties</p><p>· Research regulations and policies</p><p>· Manage compliance regulatory requests</p><p>· General ledger accountant reconciliation</p><p>· Assist with month end processing</p><p>· Communicate with internal and external auditors</p><p>· Develop trend analysis</p><p>· Maintain and update risk assessments</p><p>· Perform compliance monitoring and testing</p><p>· Account Analysis</p><p>· Prepare reports for management</p><p>· Train employees on SOX development program</p>
We are looking for an experienced SEC Compliance Manager/Director to lead external reporting and technical accounting activities for our organization. This role requires a detail-oriented individual who thrives in a fast-paced environment, demonstrates exceptional leadership skills, and serves as a trusted advisor to executive management and the Board of Directors. You will play a critical role in ensuring regulatory compliance, shaping financial disclosures, and driving technical accounting initiatives.<br><br>Responsibilities:<br>• Oversee the preparation, review, and submission of all SEC filings, including 10-K, 10-Q, 8-K, S-1, S-3, S-8, and proxy statements, ensuring accuracy and adherence to deadlines.<br>• Collaborate with legal, tax, treasury, investor relations, and finance teams to ensure consistency and precision in public disclosures.<br>• Develop and maintain reporting calendars and workflows to meet interim and annual filing deadlines.<br>• Implement new disclosure requirements in response to evolving regulatory standards.<br>• Provide technical accounting guidance to influence organizational decisions and ensure compliance with US GAAP and SEC regulations.<br>• Conduct research on complex accounting topics such as revenue recognition, leases, stock-based compensation, and financial instruments.<br>• Draft and update accounting policies and procedures, ensuring alignment across the organization.<br>• Coordinate with internal and external auditors to address audit requests and findings promptly.<br>• Partner with cross-functional teams, including FP& A, tax, treasury, and legal, to ensure accurate financial results and disclosures.<br>• Support executive leadership in strategic initiatives, mergers and acquisitions, and capital market activities with accounting implications.
<p><strong>Job Title:</strong> SEC Reporting & ESG Accounting Specialist (Remote)</p><p><strong>Location:</strong> Remote – Candidates must reside in Central or Eastern Time Zones</p><p><strong>Overview:</strong></p><p> Our client, a growing publicly traded company, is seeking an experienced <strong>SEC Reporting & ESG Accounting Specialist</strong> to join their corporate reporting team. This newly created role reflects the company’s commitment to transparency, compliance, and sustainability. The position is fully remote, but candidates must reside in the Central or Eastern time zones to align with business operations.</p><p><strong>Key Responsibilities:</strong></p><ul><li>Prepare and review SEC filings, including 10-K, 10-Q, 8-K, proxy statements, and other required disclosures.</li><li>Lead ESG reporting initiatives, ensuring compliance with emerging regulations and alignment with recognized sustainability frameworks (e.g., SASB, TCFD, GRI, ISSB).</li><li>Collaborate with cross-functional teams including finance, legal, operations, and investor relations to gather and validate ESG data and metrics.</li><li>Draft clear and accurate ESG disclosures for SEC filings, annual reports, and sustainability reports.</li><li>Stay current with SEC and ESG reporting requirements, FASB pronouncements, and evolving regulatory guidance.</li><li>Support internal and external audit requests related to SEC and ESG reporting.</li><li>Contribute to the development of policies, procedures, and controls around ESG reporting to strengthen data integrity and consistency.</li><li>Provide technical accounting research and position papers on complex SEC and ESG matters.</li></ul><p><strong>What We Offer:</strong></p><ul><li>100% remote work environment (Central/Eastern time zones only).</li><li>Competitive compensation package with performance incentives.</li><li>Comprehensive health, dental, and vision benefits.</li><li>Retirement savings plan with company match.</li><li>Opportunities for professional growth and development in a rapidly evolving ESG and reporting landscape.</li></ul><p><br></p>
<p>We are looking for a dedicated Client Services Representative to join our team in Miami, Florida. In this role, you will play a vital part in managing high-net-worth client accounts, ensuring seamless financial operations, and delivering exceptional service. The ideal candidate is bilingual in Spanish and English, has a strong background in wealth management, and excels in handling complex financial transactions.</p><p><br></p><p>Responsibilities:</p><p>• Oversee and manage client accounts, ensuring accuracy and timeliness in all transactions.</p><p>• Process money movements, including credit card transfers and account transactions, with precision.</p><p>• Facilitate the setup and management of new client accounts while adhering to compliance standards.</p><p>• Handle password resets and maintain secure access for client accounts.</p><p>• Prepare and verify documentation, ensuring all reporting aligns with regulatory compliance.</p><p>• Act as a liaison between clients and legal or financial teams, ensuring effective communication.</p><p>• Provide support for estate and trust-related matters, offering tailored solutions.</p><p>• Maintain strong relationships with high-net-worth clients by addressing their unique needs and concerns.</p><p>• Collaborate with internal teams to enhance service delivery and operational efficiency.</p><p>*Ensure compliance and manage W-8 forms processes</p><p>*Expense and Regulatory coordination</p><p>*Oversee and track trade blotter and ensure proper archiving</p><p> </p><p>If you are interested in hearing more about this role, please call me Janet 786-393-4588 or email janet.silva@roberthalfcom</p>
<p>🚀 <strong>IT SOX Manager Needed!</strong> 🌟</p><p><strong>💻 Compliance Champion | 🔐 Risk Manager | 🚀 Process Optimizer</strong></p><p>Are you a star in the galaxy of governance, eager to help drive SOX compliance and IT security to new heights? Our client is rolling out the red carpet for a <strong>highly skilled IT SOX Manager</strong> to be the architect of organizational integrity! We’re looking for innovation, expertise, and collaboration to fuel our risk management and compliance initiatives. 💡</p><p><br></p><p><strong>🎯 Role Highlights</strong>👑 <strong>Own ITGCs like a Pro</strong>:</p><ul><li><strong>🔍 User Access Reviews</strong>: Manage Workday, GoRev, Waystar, etc.</li><li><strong>📦 Change Management Controls</strong></li><li><strong>🔑 Robust Access Provisioning/Deprovisioning</strong>: Ensure timely terminations & certifications</li><li><strong>📊 SOD Analyzes & Remediation</strong></li><li><strong>🛠 Drive SOC Reports</strong>: Evaluate external critical systems.</li></ul><p>📝 <strong>Documentation Dynamo</strong>:</p><ul><li>Create detailed SOX narratives, control matrices & process flows.</li><li>Organize airtight evidence packages!</li></ul><p>👩💻 <strong>Innovation Trailblazer & Advisor</strong>:</p><ul><li>Proactively evaluate risks 🌪 & <em>level up</em> controls.</li><li>Collaborate with teams to embed compliance into SOPs.</li></ul><p>🤝 <strong>Stakeholder Liaison</strong>:</p><ul><li>Partner with internal & external auditors.</li><li>Sync with IT, security, & operations for timely fixes.</li></ul><p>📊 <strong>Metrics Leader</strong>:</p><ul><li>Track ⚡ KPIs (timely UARs, open ITGCs, speed of gap closure).</li></ul><p><br></p><p><br></p>
<p>Compliance Manager</p><p>Are you an experienced compliance professional ready to lead and enhance compliance programs in the financial services industry? We are seeking a Compliance Manager to join a robust Legal & Compliance team. This role entails developing and overseeing compliance policies, procedures, and testing programs to ensure adherence to regulations and support organizational integrity.</p><p><br></p><p>Key Responsibilities</p><p>Manage the firm’s Electronic Communications Program, including policies, procedures, training, and surveillance in compliance with regulations.</p><p>Evaluate new technology projects and vendor assessments for potential regulatory risks and control requirements.</p><p>Participate in committees, refine related policies, and handle incident investigation, response, and remediation efforts.</p><p>Test accuracy of supervisory reports utilized for compliance oversight and regulatory purposes.</p><p>Perform control testing over Books and Records, Privacy, Cybersecurity, Vendor Management, and other processes to ensure regulatory compliance.</p><p>Revise written supervisory procedures and policies as needed, in response to evolving regulations, business processes, or testing outcomes.</p><p>Work across departments to resolve compliance-related issues and ensure the implementation of effective controls.</p><p>Develop and deliver compliance training to enhance understanding of policies across the organization.</p><p>Assist in responding to regulatory inquiries, audits, and remediation efforts as advised by regulatory bodies or firm leadership.</p><p>Identify and implement opportunities for operational and technological enhancements to improve efficiency and oversight.</p><p>Qualifications</p><p>7+ years of relevant compliance experience; prior institutional broker-dealer experience is a plus.</p><p>Bachelor’s degree required, with a focus in Business, Economics, Computer Science, or a related field preferred.</p><p>Proficiency with enterprise compliance systems, Microsoft Office Suite, and data analytics tools.</p><p>Strong interpersonal and written communication skills; ability to liaise effectively across departments in various settings.</p><p>Must be detail-oriented with the ability to manage and prioritize multiple tasks effectively while maintaining confidentiality.</p><p> </p><p>This position offers an opportunity to help shape and execute compliance programs in a dynamic and fast-paced environment, collaborating with teams committed to excellence.</p><p> </p><p>Ready to take the next step in your career? Contact Douglas Rickart at 612-249-0330, connect with him on LinkedIn, or click the application link to apply!</p>
<p>Our client is an Asset Management firm in Boston looking to add a Compliance Manager to the team. </p><p><br></p><p>As a Compliance Manager, you will:</p><p>✔ Supervise the Guideline Monitoring team’s work and engage as a trusted resource for investment and trading staff.</p><p>✔ Develop, implement, and test policies and procedures to ensure adherence to evolving regulations.</p><p>✔ Conduct internal audits, manage compliance risks, and address challenges from external compliance examinations.</p><p>✔ Liaise across departments and participate in senior-level committees, driving key initiatives.</p><p>✔ Resolve trade errors, review disclosures, and oversee corrective actions to maintain organizational integrity.</p><p>📈 What You’ll Bring to the Table:</p><p><br></p><p><br></p>
<p>Are you an <strong>Accountant with Big 4 auditing experience</strong>—particularly with private equity (PE) or venture capital (VC) clients—or a <strong>Fund Accountant</strong> for a PE firm? Are you ready to contribute to a <strong>fast-growing investment firm</strong> leading innovative financial strategies? We are seeking a <strong>Fund Accountant</strong> to help expand and enhance the firm’s accounting, reporting, and operations functions.</p><p>This role offers <strong>broad exposure</strong> to multiple aspects of finance and operations within a high-growth environment, allowing you to impact the firm's trajectory positively. Reporting directly to the <strong>CFO</strong>, the role works closely with leadership across all levels, making your contributions integral to organizational success.</p><p><strong>Key Responsibilities:</strong></p><ul><li>Oversee <strong>fund accounting operations</strong>, including capital calls, distributions, and quarterly/annual fund financial statements by working with fund administrators.</li><li>Support investment activities such as <strong>deal closings</strong> and realizations, ensuring smooth transaction execution.</li><li>Monitor compliance with <strong>credit facility requirements</strong> and coordinate with internal/external stakeholders.</li><li>Lead <strong>investment valuations</strong> and ensure consistent portfolio reporting standards.</li><li>Manage audit processes, prepare documentation, and provide timely support to auditors.</li><li>Review quarterly financial and capital account statements for accuracy.</li><li>Ensure annual <strong>federal and state tax compliance</strong>, coordinating with external tax preparers to meet deadlines.</li><li>Assist with <strong>regulatory filings</strong> and compliance reporting alongside the Chief Compliance Officer (CCO).</li><li>Lead budgeting, forecasting, and <strong>performance tracking</strong> for fund-level financial metrics.</li><li>Manage books and records for internal entities such as the management company and General Partner.</li><li>Address investor requests during <strong>fundraising</strong> and throughout fund lifecycles.</li><li>Partner on <strong>special projects</strong> alongside leadership, supporting growth and operational efficiencies.</li></ul><p><strong>Why Join Us?</strong></p><ul><li>Collaborate with leadership to <strong>elevate financial strategies</strong> and drive growth at a dynamic investment firm.</li><li>Gain <strong>broad exposure</strong> across finance, operations, compliance, and investor relations in a high-growth, fast-paced environment.</li><li>Contribute to exciting <strong>projects and initiatives</strong>, making a direct impact on the firm’s success.</li><li>Work in a <strong>motivated and innovative team culture</strong> committed to excellence and collaboration.</li></ul><p><br></p>
<p>We are a boutique SEC-registered investment advisory firm specializing in tax-efficient investment strategies for high-net-worth individuals and families. Our team of 6–10 professionals delivers comprehensive financial planning, portfolio management, and tax-optimized solutions with a personalized approach.</p><p><br></p><p>The Controller will oversee all aspects of the firm’s financial operations, including accounting, reporting, budgeting, and compliance support. This role requires a hands-on, detail-oriented finance professional who can manage daily accounting processes while contributing strategically to operational efficiency and financial planning.</p><p><br></p><p>Responsibilities:</p><p><br></p><ul><li>Manage the firm’s general ledger, journal entries, and month-end close processes.</li><li>Prepare financial statements, budgets, forecasts, and variance analyses.</li><li>Oversee accounts payable, receivable, payroll, and expense tracking.</li><li>Ensure regulatory compliance with SEC and state filing requirements in coordination with the Chief Compliance Officer.</li><li>Maintain internal controls and implement accounting best practices.</li><li>Support external audits and liaise with tax preparers and custodians.</li><li>Assist management with performance metrics, profitability analyses, and cost optimization.</li><li>Partner with leadership on strategic financial initiatives, including tax-efficient investment structures and operational planning.</li></ul><p><strong>INTERESTED AND QUALIFIED CANDIDATES PLEASE APPLY and reach out to Stefanie Furniss 786-897-7903 </strong></p>
<p>We are looking for an experienced Senior Human Resources Generalist to join a respected non-profit organization in Toledo, Ohio. This role provides comprehensive HR support and guidance to employees and leadership across various entities. The ideal candidate will bring expertise in employee relations, compliance, benefits, and policy implementation, fostering a positive workplace culture while ensuring alignment with employment laws and organizational policies.</p><p><br></p><p>Responsibilities:</p><p>• Provide strategic HR support to diocesan offices, parishes, schools, and affiliated organizations.</p><p>• Advise leadership and employees on HR policies, employee relations, and best practices to enhance workplace engagement.</p><p>• Develop and implement strategies to promote employee satisfaction and a positive organizational culture.</p><p>• Interpret and enforce handbook policies and ensure compliance with local, state, and federal employment laws.</p><p>• Administer Family and Medical Leave Act (FMLA) processes.</p><p>• Serve as the compliance officer, ensuring adherence to the policies for the protection of minors and individuals at all stages of their careers.</p><p>• Support HR initiatives and programs, including retreats and employee engagement events.</p><p>• Assist the Director of Human Resources with special projects and team assignments.</p><p>• Provide training and guidance to supervisors on HR-related issues to help foster effective leadership.</p><p>• Maintain accurate and up-to-date HR records and ensure data integrity across systems.</p>
<p>We are looking for a dedicated Sustainability & Compliance Manager to join our team in Dallas, Texas. In this <strong>Contract-to-Permanent</strong> position, you will play a key role in driving environmental and social compliance across supplier facilities while collaborating with strategic brand partners and stakeholders. The ideal candidate will bring <strong>bilingual fluency in English and Spanish</strong>, as well as expertise in conducting audits, managing corrective actions, and delivering compliance training.</p><p><br></p><p>Responsibilities:</p><p>• Lead and execute environmental and social audits, including Higg Facility Environmental Module and Social & Labor Convergence Program assessments, at supplier facilities.</p><p>• Analyze environmental metrics such as resource consumption, waste management, pollution control, and emissions to ensure compliance with sustainability standards.</p><p>• Evaluate workplace conditions, safety measures, and adherence to human rights protocols in line with international labor regulations.</p><p>• Prepare detailed audit reports in both English and Spanish, ensuring accuracy and timely submission to compliance platforms.</p><p>• Maintain thorough documentation of audit findings, corrective action plans, and compliance records.</p><p>• Act as the primary point of contact for suppliers, customers, and brand partners regarding compliance updates and audit requirements.</p><p>• Deliver training sessions to supplier teams on environmental and social compliance standards, fostering understanding and implementation.</p><p>• Support suppliers in developing and executing corrective action plans to address compliance gaps.</p><p>• Monitor industry trends in sustainability and compliance, recommending improvements to align with evolving standards.</p><p>• Promote best practices for responsible sourcing and continuous improvement in environmental and labor compliance.</p>
<p><em>The salary range for this position is $95,000-$100,000, plus bonus and it comes with benefits, including medical, vision, dental, life, and disability insurance. To apply to this hybrid role please send your resume to [email protected]</em></p><p><br></p><p>Sweater weather is here! Want to be with a company that will ensure you get to enjoy it? You don't have to be a 'people person' to want to work for a company that prioritize cultivating a healthy work environment for their employees while emphasizing the importance of a work-life balance. </p><p><br></p><p><strong>Position Purpose: </strong>The Broker-Dealer Regulatory Reporter is responsible for compiling, analyzing, and submitting accurate regulatory reports to relevant agencies, including the SEC, FINRA and CME, ensuring the brokerage firm adheres to all securities trading regulations.</p><p> </p><p><strong>Primary Responsibilities will include:</strong></p><ul><li><strong>Data Collection and Analysis:</strong> Gather trade data from internal systems, analyze trading activity to identify potential compliance concerns related to market manipulation, insider trading, best execution, and other regulatory requirements. </li><li><strong>Report Generation:</strong> Prepare and submit various regulatory reports including daily, weekly, and monthly reports such as CFTC FORM 1-FR, FINRA FOCUS, and other required filings based on specific regulatory guidelines. </li><li><strong>Compliance Monitoring:</strong> Monitor trading activity for potential violations of regulatory rules and internal policies, escalating issues to compliance officers when necessary. </li><li><strong>Regulatory Updates:</strong> Stay informed about changes in securities regulations and industry best practices, updating reporting procedures accordingly. </li><li><strong>Data Validation:</strong> Perform quality checks on data accuracy to ensure the integrity of regulatory reports. </li><li><strong>Collaboration:</strong> Work with various departments including accounting, trading, compliance, operations, and legal to gather information and address regulatory concerns. </li><li><strong>Audit Support:</strong> Assist internal and external auditors with regulatory reporting related inquiries. </li></ul><p><br></p>
Key Responsibilities<br>Corporate Compliance & Regulatory Management<br>• Serve as primary relationship manager with Computershare, our third-party corporate governance and compliance vendor<br>• Prepare and coordinate SEC filings, including Section 16 reports, proxy statements, Forms 8-K, and other required disclosures<br>• Monitor and ensure compliance with NYSE listing standards, SEC regulations, and other applicable requirements<br>• Implement governance best practices and stay current on evolving regulations and standards<br>Board of Director and Officer Engagement<br>• Develop and maintain Board of Director Onboarding and Training Materials<br>• Coordinate annual Director & Officer Questionnaire process<br>• Prepare Board of Director annual assessment surveys and related materials<br>• Prepare related party transaction reports<br>Documentation & Record Management<br>• Draft, review, and maintain corporate governance materials, including: <br>o Annual director and officer consents<br>o Corporate resolutions and certificates<br>o Board and committee meeting agendas and minutes<br>o Subsidiary governance documentation<br>• Provide oversight for the Global Entity Management System (GEMS) platform, ensuring accurate and up-to-date entity information<br>• Develop and maintain comprehensive governance documentation libraries<br>Entity Management<br>• Oversee formation, maintenance, and dissolution processes for JLL legal entities globally<br>• Coordinate with local counsel and business units on entity-related matters<br>• Manage entity compliance calendars and ensure timely filings<br>• Prepare global consolidated entity and affiliate reports<br>Policy Development & Implementation<br>• Support the drafting, review, and implementation of corporate policies and procedures<br>• Assist with policy communication and training initiatives<br>• Monitor policy compliance and recommend improvements<br><br><br>Team Leadership & Stakeholder Management<br>• Manage and develop other corporate governance team members<br>• Respond to and address governance requests from global business and legal stakeholders<br>• Serve as a trusted advisor on corporate governance matters throughout the organization<br><br>Qualifications<br>Education & Experience<br>• Bachelor's degree and paralegal certificate required<br>• 5-7 years of progressive experience in corporate governance or SEC compliance, preferably in a publicly-traded company<br>• Experience in a global organization preferred<br>Technical Knowledge<br>• Strong working knowledge of EDGAR (including EDGAR Next) filing systems and Computershare Section 16 manager<br>• Comprehensive understanding of corporate law, securities regulations, and governance best practices<br>• Experience with board portal software (e.g., Diligent, BoardVantage) preferred<br>• Familiarity with global entity management systems<br>Skills & Attributes<br>• Exceptional organizational skills and meticulous attention to detail<br>• Strong written and verbal communication abilities<br>• Advanced proficiency in Microsoft Office suite and legal research tools<br>• Excellent project management capabilities<br>• Ability to handle confidential information with the highest level of discretion<br>• Strong analytical and problem-solving skills<br>• Capacity to manage multiple priorities in a fast-paced environment<br>• Collaborative team player with the ability to work independently
<p>Generalist – HR Talent Engagement will be reporting to the Regional Head of Human Resources. This position will be located in Phoenix, AZ. The selected candidate is expected to become a true business partner by enabling employee relations, promoting engagement, providing coaching & development of our leadership teams, and supporting various global HR initiatives across the organization. </p><p>Responsibility: </p><p>• Collaborate with business leaders for effective business priorities and organizational initiatives.</p><p>• Implement & promote key talent management initiatives including performance management, competency development, rewards & recognition, succession planning, coaching and mentoring, etc.</p><p>• Facilitate HR Engagements based on actionable insights aimed at promoting organizational belonging & sense of pride.</p><p>• Manage seamless organizational development to ensure fair administration of company policies, processes, and procedures.</p><p>• Promote & drive employee engagement within project teams for sustained employee morale.</p><p>• Facilitate and drive Corporate Social Responsibility events for project team initiatives and local providences.</p><p>• Participates in business meetings, client audits/meetings and project start-up meetings.</p><p>• Deploy and implement interventions to increase employee retention.</p><p>• Comply to all internal and external HR processes/compliance requirements.</p><p>• Redress and resolve employee concerns and grievances as a true custodian. </p><p>• Manage all statutory employment requirements, as advised by legal counsels, compliance officers, and liaisons with the local government authorities (as applicable).</p><p>• Deploy mechanisms to promote participation in the Annual Employee Survey, analyze results, and develop action plans to sustain and improve engagement. </p><p>• Participate in Talent Acquisition initiatives, including Campus Recruitment.</p><p>• Support Training & Development, Onboarding, and other HR functions’ priorities within the region.</p><p><br></p><p>Qualifications: </p><p>• Bachelor’s Degree in HR or Business with 3-5 years of HR Generalist experience or master’s degree in HR or Related field with 2-3 years of HR Generalist experience.</p><p>• PHR/SPHR certification preferred at all levels but not required.</p><p>• Excellent communication skills with the ability to facilitate presentations to groups effectively.</p><p>• Successful track record in managing dynamic employee relations cases, involving an in-depth understanding of employment laws.</p><p>• Experience in Leadership roles in extracurricular organizations during school or school breaks.</p><p>• Expertise in Data analysis, action planning, and execution skills. </p><p>• Intermediate experience in Microsoft Suite.</p><p>• Strong interpersonal skills and interest in working in a globally diverse work environment.</p><p><br></p><p><br></p>
<p><strong>Job Summary:</strong></p><p>We are seeking an experienced Mortgage Loan Officer for a contract opportunity. In this role, you will assist consumers in the loan process, ensuring compliance with all relevant state and federal regulations. If you are knowledgeable in mortgage lending and committed to providing quality service, this could be the perfect opportunity for you. If you do not currently hold an active NMLS License, our client will cover the cost of studying for the test and obtaining the license.</p><p><br></p><p><strong>Responsibilities:</strong></p><ul><li><strong>Regulatory Compliance:</strong> Maintain licensing requirements in appropriate states and ensure compliance with National Mortgage Licensing System (NMLS) standards.</li><li><strong>Loan Application Management:</strong> Assist consumers with loan applications, negotiate terms, and provide guidance throughout the process.</li><li><strong>Timely Disclosures:</strong> Issue Notice of Action within three business days of receiving an application.</li><li><strong>Avoid Predatory Lending:</strong> Adhere to The Home Mortgage Disclosure Act and Consumer Financial Protection Bureau regulations regarding High-Cost Mortgages to prevent predatory practices.</li><li><strong>Recordkeeping:</strong> Maintain accurate mortgage loan transaction journals in compliance with state regulatory requirements, including regular entries every seven business days.</li><li><strong>Service Level Agreements:</strong> Meet and uphold established SLAs.</li></ul><p><br></p>
<p><strong>THE OPPORTUNITY</strong></p><p>We're seeking a <strong>Senior Compliance Associate</strong> with a robust background in securities compliance to join our wealth management client. The ideal candidate will be a detail-oriented, analytical thinker who can work both independently and collaboratively to maintain and enhance our firm's compliance program, and be able to communicate fluently with colleagues and clients in Spanish speaking countries. This role is perfect for a proactive individual with a deep understanding of the regulatory landscape for broker-dealers and investment advisers.</p><p><br></p><p><strong>HOW YOU WILL MAKE AN IMPACT</strong></p><ul><li><strong>Policy and Procedure Management</strong>: Assist in the development, implementation, and maintenance of compliance policies and procedures in line with <strong>FINRA</strong>, <strong>SEC</strong>, and state regulations.</li><li><strong>Regulatory Filings</strong>: Prepare and submit regulatory filings, including but not limited to, Form ADV and Form BD amendments.</li><li><strong>Examinations and Audits</strong>: Act as a key point of contact and support during regulatory examinations and internal audits.</li><li><strong>Communication</strong>: Serve as a liaison between the compliance department and other business units, providing guidance on regulatory requirements and best practices.</li><li><strong>Advertising and Marketing Review</strong>: Review and approve marketing materials, advertisements, and other communications to ensure compliance with <strong>FINRA</strong> and <strong>SEC</strong> rules.</li><li><strong>Training and Education</strong>: Help develop and deliver compliance training programs for employees on topics such as anti-money laundering, cybersecurity, and regulatory updates.</li><li><strong>Monitoring and Surveillance</strong>: Conduct regular surveillance and monitoring of trading activities, electronic communications, and other activities to detect and prevent potential violations.</li><li><strong>Issue Resolution</strong>: Investigate and resolve compliance-related issues, escalating complex matters to senior management as needed.</li></ul><p><br></p>
<p><em>The salary range for this position is $80,000-$85,000 and it comes with benefits, including medical, vision, dental, life, and disability insurance. To apply to this hybrid role please send your resume to [email protected]</em></p><p><br></p><p>We are seeking a Compliance Associate to join our team in Elmhurst, Illinois. This role is pivotal in upholding our firm's adherence to regulations and policies, and will involve the use of various software systems to monitor business activities, maintain records, and aid in communication across departments.</p><p><br></p><p><strong>Job Description:</strong></p><p>• Utilize Sungard Protegent system for monitoring trading activity and real-time alerts.</p><p>• Ensure accurate and up-to-date record keeping for swift response to inquiries or audits.</p><p>• Contribute to the development, review, and upkeep of our Written Supervisory Procedures.</p><p>• Foster a culture of compliance and trading by working closely with senior management.</p><p>• Provide continuous support for registered investment advisors and representatives.</p><p>• Collaborate effectively with all departments, both independently and as part of a team.</p><p>• Review and approve marketing materials, including social media posts, to ensure compliance.</p><p>• Utilize CRM and ERP software systems to manage customer interactions and business resources.</p><p>• Use accounting software systems and perform accounting functions as required.</p><p>• Use communication and auditing skills to administer claims and produce clear reports.</p>
<p>Our client, a very well-known non-profit with a meaningful and enduring mission, is searching for their new Chief Financial Officer (CFO). Reporting to their dedicated CEO, the CFO will be a key member of the Executive Team. The CFO will lead and manage all day-to-day finance and accounting operations, grant compliance as well as oversee their human resources and IT group. This critical CFO position will also work with the executive team to execute the organization’s strategic planning processes and lead the evolution of finance and accounting and related systems to support organizational growth and mitigate risk. The core duties for this fulfilling and challenging CFO role will include:</p><p> </p><p>• Responsibility for the finance and accounting functions as well as human resources and IT areas.</p><p>• Managing cash forecasting and management as well as oversee the annual budgeting process and annual audit</p><p>• Leading the strategic financial planning and analysis effort as well as provide analysis and guidance to the executive team</p><p>• Working closely with the executive team on tracking organizational performance against strategic goals</p><p>• Overseeing the preparation and presentation of financial reports, projections and analyses to the executive team, Board and other pertinent audiences</p><p>• Leading the financial evaluation and due diligence of potential growth opportunities in consultation with the executive team and the Board</p><p>• Managing the relationships with financial institutions, investment advisors and other outside consultants</p><p>• Serving as liaison for financial issues to the Board, participating in regular Board and committee meetings</p><p>• Overseeing compliance in all aspects of the organization – including contract review, reporting requirements, business licenses, investor relations and audits</p><p>• Providing financial oversight and perspective on contracts which the organization may enter.</p><p><br></p><p>Your base pay will depend on your skills, experience and training, knowledge, licensure and certifications, and other business and organizational needs. </p><p>Our client offers medical benefits as part of their overall compensation package in addition to other robust benefits.</p><p><br></p><p>Please respond in confidence to Raj Khanna, Senior Vice President at Robert Half or directly via LinkedIn for immediate consideration for this fast-moving opportunity or one of our other leadership openings in the Washington, DC Metro area.</p>
We are looking for a Human Resources (HR) Manager to oversee and optimize all aspects of HR operations within our organization. This role is integral to ensuring compliance with employment regulations, managing recruitment efforts, supporting employee lifecycle processes, and administering benefits programs. The ideal candidate will play a pivotal role in fostering a positive workplace environment while maintaining accurate records and upholding legal standards.<br><br>Responsibilities:<br>• Ensure compliance with federal and state employment laws, including maintaining accurate documentation and updating required postings.<br>• Manage the full-cycle recruitment process, from job postings and applicant screenings to interviews and offer letters.<br>• Oversee onboarding and orientation procedures, ensuring new hires complete necessary paperwork and are set up in organizational systems.<br>• Administer benefits programs, including insurance enrollment, 401(k) plans, and compliance with sick leave laws.<br>• Act as the Privacy Officer for benefits-related matters and administer the Worker’s Compensation program.<br>• Support payroll processes by maintaining accurate employee data, assisting with payroll reviews, and serving as a backup auditor.<br>• Manage personnel files in both digital and physical formats, ensuring compliance with legal and organizational standards.<br>• Coordinate immigration processes and provide logistical support for international hires, including visa management and housing.<br>• Represent the organization at job fairs and hiring events to attract top talent.<br>• Assist with internal reporting, employment verifications, and employee events to support organizational goals.
