<p>We’re looking for a detail-oriented Licensing & Compliance Specialist to manage business and technician licensing across multiple states for our client based out of Parsippany New Jersey. This role ensures operations meet all regulatory requirements by handling license applications, renewals, and compliance tracking. Ideal candidates have experience with multi-state licensing, strong organizational skills, and a proactive approach to regulatory updates.</p><p><br></p><p>Responsibilities include but are not limited to:</p><ul><li>Business licensing management as well as specialty licensing </li><li>regulatory compliance and monitoring</li><li>maintaining and streamlining company permits</li><li>working as a liason between different departments and regulatory agencies </li></ul><p><br></p><p><br></p><p><br></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>
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.
We are looking for a dedicated and detail-oriented Compliance Officer to join our team on a contract basis in Dallas, Texas. This role is pivotal in ensuring adherence to regulatory guidelines and company policies while managing the firm’s compliance program effectively. The ideal candidate will possess expertise in compliance operations and regulatory management, contributing to the continuous improvement of our existing frameworks.<br><br>Responsibilities:<br>• Monitor company adherence to policies and regulatory guidelines, ensuring compliance with state regulations and other applicable standards.<br>• Oversee and manage the firm’s compliance programs, including reporting requirements and regulatory frameworks.<br>• Conduct assessments and testing of firm activities to identify areas requiring compliance improvements.<br>• Handle regulatory management tasks, including identifying new requirements, addressing inquiries, and preparing for regulatory examinations.<br>• Collaborate on the creation and implementation of efficient workflows for compliance processes, such as marketing material reviews.<br>• Develop initiatives aimed at enhancing compliance awareness across the organization.<br>• Support stakeholders by drafting, reviewing, and revising broker-dealer compliance policies and procedures.<br>• Provide expertise in broker-dealer compliance, leveraging industry knowledge to maintain standards and address challenges.
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>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><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>
The Tax Compliance Specialist is responsible for the federal and state direct and indirect tax compliance activities of the organization, including supporting examinations. This position gathers information and works closely with our co-sourcing partner for timely and accurate preparation of the international and U.S. income tax returns, estimated taxes and extensions. Lastly, this position will respond to all IRS notices or inquiries related to income tax compliance or tax payments.<br>Functions & Duties<br>· Gather the information for the preparation of U.S. and Canada direct and indirect tax returns, including extensions and quarterly estimates; FBAR; and trust returns. Prepare the annual tonnage tax calculation. Gather data for all intercompany transactions and prepare Forms 5472.<br>· Prepare the quarterly income tax provision for the quarterly and year-end tax provision computations for the group, including but not limited to provision schedules, NI reconciliation, M-3 adjustments, the net operating loss and credit carry forwards, the tax exposure roll forward, the quarterly interest calculation on tax exposures and other relevant data.<br>· Work closely with co-sourcing partners by responding to inquiries and resolving issues related to the preparation of the income tax returns to ensure timely and accurate preparation. Review all tax returns and supporting schedules prior to filing to ensure information is reported accurately. Ensure all required payments and filings are made timely. Research tax issues as necessary.<br> <br>Knowledge, Skills, Abilities <br>• Knowledge of U.S. federal and state income tax laws<br>• Experience preparing U.S. federal and state income tax returns• Proficient use of Microsoft Office applications, particularly Excel<br>• Excellent communication skills, both written and verbal. Ability to understand the details and effectively share with others in a clear and concise manner.<br>• Strong analytical skills<br>• Attention to detail and accuracy<br>• Ability to perform complex tasks independently, solve problems and achieve results while managing multiple priorities<br>• Strong skills in tax research<br>• Excellent organization skills and ability to meet deadlines <br> <br>Qualifications <br>Education<br>Required/Preferred Education Level Required Bachelor’s Degree <br><br>Work Experience<br>Experience Years of Experience DescriptionGeneral Experience 3-5 years Minimum 2 years of experience in accounting, corporate tax, or related field required.<br><br>License<br>Required/Preferred License or CertificationPreferred CPA Certification is preferred
<p><strong>Job Summary:</strong></p><p>Robert Half is partnering with our client in downtown Houston for a contract to hire role 100% onsite and $43k annually. </p><p>We are seeking a skilled and proactive individual to manage the program. This vital position ensures compliance with conflict of interest certifications and disclosures for investigators engaged in research and facilitates processes to safeguard the integrity and credibility of scientific findings.</p><p>In this role, the Program Manager will oversee annual submissions, sponsor-specific award certifications, and thorough reviews of potential bias in research outcomes. Additionally, this position will lead the development and implementation of management plans, review monitoring reports, and ensure regulatory compliance by reporting to relevant agencies. With ever-evolving compliance requirements, the Program Manager will play a key role in updating policies and procedures while contributing to cross-departmental efforts that address emerging challenges in regulatory processes.</p><p><strong>Key Responsibilities:</strong></p><ul><li><strong>Program Management:</strong> Supervise daily operations of the program and faculty committee, ensuring seamless procedural administration and adherence to deadlines.</li><li><strong>Compliance Oversight:</strong> Monitor annual and project-specific certifications and disclosures, ensuring thorough reviews of submissions for conflicts or potential research bias.</li><li><strong>Policy Development:</strong> Support the creation and refinement of policies to keep pace with regulatory changes, working collaboratively with multiple departments.</li><li><strong>Stakeholder Engagement:</strong> Foster relationships with research faculty and staff while coordinating communication and compliance efforts across departments.</li><li><strong>Reporting and Communication:</strong> Draft monitoring reports, management plans, and compliance documentation; ensure timely reporting and communication with stakeholders and agencies.</li><li><strong>Administrative Duties:</strong> Prepare reports, operational policies, administer grants-related communications, and monitor program budget adherence.</li></ul><p><br></p>
<p>A data security and risk solutions company is seeking a detail-oriented and reliable Jr. Compliance Analyst to support their compliance team on a contract-to-hire basis. This is a junior-level opportunity ideal for early-career professionals or recent graduates looking to gain hands-on experience in compliance, consumer protection, or data governance — with the potential to transition into a permanent role. This position supports compliance operations related to the Fair Credit Reporting Act (FCRA) and bankruptcy risk processes. Responsibilities include investigating and documenting consumer complaints, drafting and sending templated correspondence, and reviewing court records and incoming data. While the tasks are repetitive, they are essential to the company’s legal obligations and must be completed with accuracy and professionalism. The ideal candidate is someone who thrives in a structured, detail-oriented environment, is proactive and coachable, and is motivated to contribute to a high-volume workflow as part of a collaborative and mission-driven team.</p><p> </p><p><strong>Key Responsibilities:</strong></p><ul><li>Investigate, log, and respond to consumer complaints related to FCRA and bankruptcy risk issues</li><li>Draft correspondence using pre-approved templates; enter client data, print, and mail letters within a 30-day response window</li><li>Analyze and organize disputes and inquiries received through mail, email, and voicemail</li><li>Review and log incoming data and ensure accurate, timely documentation</li><li>Conduct legal data research, including reviewing court records</li><li>Prepare and submit both internal and external reports</li><li>Collaborate with internal departments and the compliance team to implement workflow improvements</li><li>Prioritize and manage daily tasks efficiently in a fast-paced environment</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>We are hiring a CMMC Level 2 Compliance Analyst to support a compliance initiative focused on implementing security controls, strengthening documentation, and aligning with federal cybersecurity standards. This role will lead CMMC Level 2 readiness activities, work cross-functionally with technical and non-technical teams, and ensure accurate tracking and documentation of control implementation. The ideal candidate has hands-on experience with framework-driven security compliance and strong analytical and documentation skills.</p>
<p>We are looking for a <strong><u>dedicated experienced (5+ yrs) Privacy & Compliance Specialist</u></strong> to join the compliance department of a respected nonprofit organization in New York, NY. This is a long-term contract position that offers the opportunity to contribute to meaningful work in a dynamic and detail-oriented environment. The ideal candidate will bring strong organizational skills, legal expertise, and a proactive approach to supporting compliance efforts.</p><p><br></p><p>Responsibilities:</p><p>• Manage and track internal client requests, including document reviews and follow-ups.</p><p>• Monitor and ensure reported compliance issues are documented and resolved effectively.</p><p>• Provide administrative support by submitting check requisitions and processing invoices.</p><p>• Assist with clerical tasks such as maintaining records, scheduling, and correspondence.</p><p>• Collaborate with team members to ensure compliance processes run smoothly.</p><p>• Support the preparation and organization of legal documents and compliance materials.</p><p>• Conduct research and assist with resolving compliance-related inquiries.</p><p>• Maintain proficiency in Microsoft Office Suite to perform daily tasks efficiently.</p>
<p>We are looking for an experienced Investment Analyst specializing in compliance to join our team in Fort Worth, Texas. </p><p><br></p><p>exciting <strong><u>Opportunity: Investment Analyst -</u></strong> Compliance at our leading investment firm in Fort Worth, Texas! Leverage your investment firm experience in this dynamic hybrid role, enjoying a flexible schedule and fantastic perks like free gourmet lunches daily. Monitor portfolio guidelines, ensure trade compliance, and collaborate with portfolio management, trading, and risk teams to maintain our state-of-the-art compliance system. Benefit from comprehensive health plans, generous PTO, and a supportive culture that fosters growth. Join a team where your expertise drives impact in a fast-paced, rewarding environment. Apply now for this direct-hire role and elevate your career with unparalleled benefits! Don’t miss the chance to thrive in a role that values your skills and offers a vibrant workplace. Act fast to secure your spot in our innovative firm!</p><p><br></p><p>Joe.Faradie at roberthalf com for confidential consideration</p><p><br></p><p>connect with me on linkedin</p>
We are looking for an experienced IT Risk and Compliance Analyst to join our team in Fort Worth, Texas. In this role, you will play a critical part in ensuring the organization’s IT operations align with regulatory standards and best practices. Your expertise will contribute to assessing risks, improving compliance processes, and safeguarding the company’s technology infrastructure.<br><br>Responsibilities:<br>• Evaluate IT controls and compliance with established frameworks such as ISO 27001, COBIT, and regulatory standards.<br>• Conduct comprehensive risk assessments, control testing, and gap analyses to identify areas for improvement.<br>• Provide support for internal and external IT audits, including remediation planning and execution.<br>• Develop and maintain documentation for policies, procedures, and compliance evidence.<br>• Collaborate with cross-functional teams to enhance control effectiveness and mitigate technology risks.<br>• Monitor regulatory developments and ensure compliance with evolving laws and industry standards.<br>• Assist in the implementation of tools and systems to streamline compliance and risk management efforts.<br>• Lead initiatives to educate stakeholders on IT risk and compliance obligations.<br>• Track and report on the organization's risk posture and compliance status.<br>• Support complaint handling and compliance investigations related to IT operations.
<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>We are looking for a detail-oriented Labor Compliance Specialist to join our team in Phoenix, Arizona. This is a Contract to permanent position offering an excellent opportunity for growth and development. The role requires expertise with prevailing wages and certified payroll, and involves ensuring compliance across multiple states. The ideal candidate will bring a strong work ethic, adaptability, and the ability to work independently in a hybrid work environment.</p><p><br></p><p>Responsibilities:</p><ul><li>Perform Prevailing Wage and Davis Bacon project reporting (multi-state) and ensure accurate processing, recording, and reporting of Certified Payroll Records (CPR)</li><li>Assist with tracking and reporting hours for projects subject to owner-controlled insurance to meet reporting requirements</li><li>Perform audits of various payroll records to ensure accuracy and compliance</li><li>Track Subcontract Certified Payroll Reports </li><li>Answer certified payroll questions and requests</li><li>Assist with compliance related projects as assigned by Labor Compliance Manager</li><li>Additional duties as required. <strong> </strong></li></ul><p><br></p>
<p><b> </b>Position Overview</p><p>The Human Resources Compliance Manager will be responsible for ensuring all HR and program operations remain compliant with agency policies, labor laws, and funding requirements. This position will conduct audits, monitor timekeeping, support quality assurance, and collaborate closely with program and case management teams to maintain documentation integrity.</p><p>This role is ideal for someone detail-oriented, proactive, and passionate about maintaining structure within a mission-driven environment.</p><p><br></p><p>Key Responsibilities</p><ul><li>Review and monitor employee timekeeping daily to ensure accuracy and policy compliance.</li><li>Conduct regular audits of personnel files, training documentation, and compliance records.</li><li>Partner with managers to ensure adherence to local, state, and federal labor laws.</li><li>Oversee HR compliance related to client services, grant funding, and program requirements.</li><li>Support onboarding and offboarding processes, ensuring all records are complete and accurate.</li><li>Develop and update HR compliance checklists, policies, and procedures.</li><li>Provide compliance training and quality assurance reviews across departments.</li><li>Assist with internal and external audits as needed.</li></ul><p>Qualifications</p><ul><li>Bachelor’s degree in Human Resources, Business Administration, or related field (preferred).</li><li>5+ years of HR or Compliance experience in a nonprofit, housing, or social services setting.</li><li>Knowledge of employment laws, HR best practices, and compliance regulations.</li><li>Strong organizational, analytical, and communication skills.</li><li>Experience using HRIS/timekeeping systems (ADP, Paycom, Paylocity, etc.).</li><li>Bilingual (English/Spanish) preferred.</li><li>Ability to travel locally for client home QA visits when needed.</li></ul><p> </p>
<p><strong>Job Title:</strong> Compliance Analyst / Supply Chain Analyst</p><p><strong>Location:</strong> El Segundo - Onsite then after probation Hybrid options.</p><p><strong>Job Type:</strong> Full-Time</p><p><br></p><p><strong>About the Company:</strong></p><p> We are a dynamic and growing organization seeking a detail-oriented Compliance Analyst to support our supply chain, logistics, and operational compliance functions. This is a great opportunity for an emerging professional who is passionate about data analysis, process improvement, and cross-functional collaboration.</p><p><br></p><p><strong>Job Summary:</strong></p><p> The Compliance Analyst will ensure adherence to internal policies, regulatory requirements, and supply chain standards. This role will support operational efficiency, track key performance metrics, and collaborate with multiple departments to optimize workflows. The ideal candidate is analytical, organized, and comfortable working in a fast-paced environment.</p><p><br></p><p><strong>Key Responsibilities:</strong></p><ul><li>Monitor and ensure compliance with internal policies, government regulations, and supply chain standards.</li><li>Analyze operational and inventory data to identify trends, inefficiencies, and areas for improvement.</li><li>Maintain accurate records and documentation related to shipments, vendor contracts, and regulatory filings.</li><li>Collaborate with cross-functional teams including procurement, operations, and logistics to resolve issues and improve workflows.</li><li>Prepare reports, dashboards, and presentations to communicate key insights to management.</li><li>Assist in audits, inspections, and quality assurance processes.</li><li>Participate in process improvement initiatives, including system updates and automation of recurring tasks.</li><li>Support vendor and customer communications related to compliance and operational requirements.</li></ul><p><strong>Qualifications:</strong></p><ul><li>Bachelor’s degree in Business, Supply Chain, Logistics, Finance, or related field.</li><li>1–5 years of experience in compliance, logistics, or supply chain operations (internships and projects considered).</li><li>Strong proficiency in Microsoft Excel, including PivotTables and formulas.</li><li>Familiarity with ERP systems (SAP, NetSuite, or similar) and reporting tools (Tableau, Power BI) preferred.</li><li>Knowledge of supply chain processes, inventory management, and regulatory compliance standards.</li><li>Strong analytical, organizational, and problem-solving skills.</li><li>Excellent communication skills and the ability to collaborate with cross-functional teams.</li><li>Bilingual (English/Spanish) is a plus.</li></ul><p><br></p>
We are looking for a skilled SEC Compliance Manager/Director to oversee tax and audit operations for businesses and associated individuals in Virginia Beach, Virginia. This role requires an expert in federal, state, and local tax regulations, capable of managing complex financial statements and ensuring compliance with all relevant laws. The ideal candidate will possess advanced analytical abilities and a deep understanding of taxation and auditing processes.<br><br>Responsibilities:<br>• Prepare and file accurate income tax returns and estimated payments for partnerships, S-corporations, trusts, and related individuals.<br>• Supervise the development of tax-basis financial statements, ensuring precise calculations for complex tax provisions such as 263A and 199A.<br>• Lead audits and reviews of financial statements and tax compliance, while collaborating with external advisors and auditors as necessary.<br>• Review and manage fixed asset ledgers, including the computation of tax depreciation across all companies.<br>• Maintain thorough records to support financial statement and tax return positions.<br>• Mentor and oversee accounting staff to ensure their growth and productivity.<br>• Analyze and recommend process enhancements to improve efficiency and minimize risk.<br>• Stay updated on changes in tax laws and evaluate their impact on businesses and individuals.<br>• Assess multi-state and local tax filing requirements, including income tax, payroll tax, and sales and use tax, as businesses expand.<br>• Conduct in-depth research on tax and accounting issues to ensure accuracy and compliance.
<p>Looking to advance your career in the world of compliance? One of our premier clients is currently looking for a Sr. SOX Compliance Analyst with proven expertise overseeing organizational Sarbanes-Oxley programs. As the Sr. SOX Compliance Analyst, you will assess, document, test, and enhance the effectiveness of internal controls over financial reporting, lead and execute the SOX compliance program, coordinate with external auditors and provide audit support, identify risk by performing risk assessments, prepare SOX compliance status updates, document and evaluate key business processes and ITGC controls, perform design and operating effectiveness testing of controls, and track remediation of control deficiencies, and coordinate operational activities for the organization ensuring compliance with local, federal, and state government regulations. 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>· Assist with the internal and external audit process</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 industry compliance requirements</p>
<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>
<p>We are looking for an experienced Gaming Audit and Compliance Manager to assist the current leadership team review and enhance compliance protocols within the organization. In this contract position, the Audit & Compliance Manager will play a crucial role in identifying gaps, implementing solutions, and ensuring adherence to regulatory standards in the gaming industry. This opportunity is based in Las Vegas, Nevada and will be on-site. The ideal candidate will have deep experience in gaming regulations, internal audits, and operational compliance within a casino environment.</p><p><br></p><p>Responsibilities:</p><p>• Assess existing compliance processes to identify deficiencies and develop actionable plans for improvement.</p><p>• Organize and maintain compliance documentation, ensuring all required internal controls are properly executed.</p><p>• Collaborate with the internal audit team to review violations and implement corrective measures.</p><p>• Establish schedules and procedures to manage compliance tasks efficiently.</p><p>• Conduct audits to verify adherence to Minimum Internal Control Standards (MICS) and other regulatory requirements.</p><p>• Partner with IT teams to address compliance-related technical needs and solutions.</p><p>• Prepare and present detailed audit findings to stakeholders.</p><p>• Utilize advanced Excel formulas for data analysis and reporting.</p>
<p><strong>Overview</strong></p><p>The Senior Compliance Analyst will be a key, experienced member of the Compliance Department, primarily responsible for the execution, enhancement, and oversight of the bank’s Financial Crimes Compliance program. This role involves independent decision-making, leading complex investigations, and mentoring junior staff. A deep, comprehensive understanding of <strong>Anti-Money Laundering (AML)</strong> and <strong>Bank Secrecy Act (BSA)</strong> regulations, <strong>Office of Foreign Assets Control (OFAC)</strong> sanctions, <strong>Know Your Customer (KYC)</strong> procedures, and the <strong>USA PATRIOT Act</strong> is mandatory. If you do not have significant experience in this area you will not be considered for the position.</p><p><br></p><p><strong>Key Responsibilities</strong></p><ul><li><strong>Advanced AML/BSA Investigations & Reporting:</strong></li><li>Lead and conduct complex, high-risk investigations into suspicious activity, transactions, and potential financial crimes.</li><li>Serve as a final reviewer or preparer of <strong>Suspicious Activity Reports (SARs)</strong> for filing with FinCEN, ensuring high quality and regulatory completeness.</li><li>Manage and provide subject matter expertise on complex alerts generated by monitoring systems.</li><li><strong>Enhanced Due Diligence (EDD) Management:</strong></li><li>Oversee and execute <strong>Enhanced Due Diligence (EDD)</strong> procedures for high-risk customers, including Foreign Correspondent Banks (FCBs), Money Service Businesses (MSBs), and Politically Exposed Persons (PEPs).</li><li>Review and approve complex Customer Due Diligence (CDD) and KYC files.</li><li><strong>Regulatory Implementation & Policy:</strong></li><li>Analyze new and evolving U.S. and international regulations (e.g., changes to BSA, OFAC, and FinCEN guidance) and assist in translating them into actionable, compliant internal policies and procedures.</li><li>Participate in regulatory change management projects and represent Compliance on cross-functional working groups.</li><li><strong>OFAC & Sanctions Expertise:</strong></li><li>Serve as a point person for escalated <strong>OFAC</strong> sanctions screening matches and potential violations, ensuring accurate blocking, rejecting, and reporting as required.</li><li><strong>Mentorship & Quality Assurance:</strong></li><li>Provide guidance and training to junior analysts on case management, regulatory interpretation, and best practices.</li><li>Conduct quality assurance (QA) reviews of analysts' work product (e.g., alert disposition, case narratives).</li></ul>
We are looking for an experienced Compliance Manager to join a leading asset management firm in Boston, Massachusetts. This role offers an exciting opportunity to oversee compliance functions, ensuring regulatory adherence and operational excellence within a dynamic financial environment. The ideal candidate will thrive in a collaborative setting and bring deep expertise in financial services compliance.<br><br>Responsibilities:<br>• Lead and supervise the Guideline Monitoring team, providing guidance and support to investment and trading staff.<br>• Design, implement, and evaluate compliance policies and procedures to align with changing regulatory standards.<br>• Conduct thorough internal audits, manage compliance risks, and address findings from external examinations.<br>• Collaborate across departments and actively participate in high-level committees to drive organizational initiatives.<br>• Investigate, resolve, and document trade errors while ensuring corrective measures are effectively implemented.<br>• Review disclosures and oversee compliance-related communications to maintain transparency and integrity.<br>• Monitor adherence to investor guidelines and regulatory requirements, ensuring consistent compliance practices.<br>• Provide expertise in regulatory frameworks, including Securities Acts of 1933 and 1934 and the Investment Advisers Act of 1940.<br>• Utilize compliance tools such as the Charles River Order Management System to enhance monitoring and reporting processes.
