<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 seeking a strategic and results-driven Project Manager to lead a team of analysts focused on identifying, evaluating, and mitigating stranded costs across the organization. This role is pivotal in shaping financial strategy and operational efficiency, with direct visibility to senior leadership. The ideal candidate will combine strong project management skills with a deep understanding of utility economics, asset valuation, and regulatory frameworks. </p><p><br></p><p> Key Responsibilities </p><ul><li>Lead and manage cross-functional projects related to stranded cost identification, quantification, and resolution. Supervise and mentor a team of financial and regulatory analysts, ensuring high-quality analysis and timely deliverables. </li><li>Develop project plans, timelines, and resource allocations to meet strategic objectives. </li><li>Analyze financial data, asset performance, and regulatory impacts to assess stranded cost exposure. Prepare and present findings, insights, and actionable recommendations to senior management and executive stakeholders. </li><li>Collaborate with internal departments (Finance, Legal, Operations, Regulatory Affairs) to align strategies and ensure compliance. Monitor industry trends, regulatory changes, and emerging risks that may impact stranded cost liabilities. </li><li>Drive continuous improvement in analytical methodologies and reporting frameworks. </li></ul><p>Apply now and bring your strategic mindset to a team that values innovation, impact, and smart execution!</p>
We are looking for an experienced IT Risk and Compliance Specialist to lead and enhance our organization's compliance programs. This role requires an individual with a strong understanding of banking regulations, risk management principles, and anti-money laundering (AML) practices. Based in Kerrville, Texas, this position offers the opportunity to collaborate across departments and ensure adherence to regulatory requirements.<br><br>Responsibilities:<br>• Develop, implement, and maintain the organization's compliance program, including conducting risk assessments and ensuring regulatory reporting is accurate and timely.<br>• Monitor and evaluate changes in banking laws and regulations, ensuring all compliance measures align with current requirements.<br>• Design and deliver training programs for staff on compliance topics such as suspicious activity reporting, customer due diligence, and enhanced due diligence.<br>• Investigate and address compliance violations or suspicious transactions, escalating issues when necessary.<br>• Collaborate with various departments to identify and mitigate compliance risks while ensuring effective controls are in place.<br>• Maintain an in-depth understanding of the organization's products, services, and customer base to accurately assess risk exposure.<br>• Prepare detailed compliance reports and documentation to support audits and regulatory reviews.<br>• Provide expert guidance on interpreting complex regulations and implementing effective policies to meet compliance standards.
<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>We are looking for a dedicated Compliance Specialist to join a trusted credit union in the central area of Oahu, Hawaii. In this role, you will play a key part in ensuring adherence to Federal and State regulations, as well as supporting the implementation of compliance programs. This position offers an excellent opportunity to contribute to the financial industry while enjoying the unique environment of this on-site role with a great team.</p><p><br></p><p>Responsibilities:</p><p>• Monitor and enforce compliance with Federal and State laws, ensuring regulatory requirements are met.</p><p>• Assist in the development, review, and implementation of compliance programs and policies.</p><p>• Collaborate with department leaders to address compliance-related concerns and improve operational practices.</p><p>• Conduct audits to identify potential risks and recommend corrective actions.</p><p>• Maintain detailed records of compliance activities, including risk assessments and regulatory updates.</p><p>• Provide training and guidance to staff on compliance-related topics and procedures.</p><p>• Support Anti-Money Laundering (AML) initiatives and ensure adherence to related policies.</p><p>• Participate in risk assessment processes to identify and mitigate potential compliance issues.</p><p>• Stay informed about changes to regulations and industry standards, adapting policies accordingly.</p><p>• Assist in preparing reports and documentation for internal and external audits.</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>Robert Half is looking for an Operations/Compliance Specialist to join our client's team in the Philadelphia area. In this Operations/Compliance Specialist role, you will play a key part in managing regulatory processes and ensuring compliance with local and state requirements. Your expertise will be essential in coordinating with governmental bodies and providing exceptional service to clients.</p><p><br></p><p>Responsibilities:</p><ul><li>Manage and oversee compliance processes related to permitting, zoning, licensing, and regulatory requirements.</li><li>Prepare, review, and submit documentation to city and state agencies.</li><li>Serve as the primary point of contact with regulatory officials, inspectors, and government representatives.</li><li>Assist with client onboarding, proposal development, and project implementation.</li><li>Deliver clear and precise communication to institutional clients and high-net-worth individuals.</li><li>Ensure all administrative tasks related to compliance are handled efficiently and accurately.</li><li>Collaborate with team members to streamline workflows and improve operational efficiency.</li><li>Maintain detailed records of filings, communications, and project statuses.</li><li>Provide guidance and support to clients navigating regulatory challenges.</li></ul>
<p>We are partnering with a highly reputable, large chemical and oil & gas company in The Woodlands area—recognized as a desirable employer in the industry—to fill a <strong>long-term contract role</strong> on their Payroll Operations team. This is an exciting opportunity for a detail-oriented professional to support payroll processes and ensure accuracy across a large employee population. The role offers a 9/80 schedule and is fully on-site.</p><p><br></p><p><strong>Position Overview:</strong></p><p>The <strong>Time Management Representative/Specialist</strong> plays a key role in ensuring accurate and timely payroll processing for salaried exempt/non-exempt and hourly employees. This individual will be responsible for supporting timekeeping policies, conducting audits, providing guidance on pay practices, and serving as a liaison between HR and Payroll functions. The role requires a self-motivated professional who can manage sensitive information, adapt to changing priorities, and deliver high-quality, error-free work.</p><p><br></p><p><strong>Key Responsibilities:</strong></p><ul><li>Maintain a <strong>Center of Excellence (COE)</strong> for U.S. Dollar timekeeping, ensuring standardization of schedules, wage codes, pay practices, and shift relief policies.</li><li>Administer and document site pay policies for salaried exempt/non-exempt employees.</li><li>Conduct time entry audits to ensure compliance with payroll policies, site practices, and applicable laws. Provide recommendations and process improvements as needed.</li><li>Act as the <strong>primary point of contact</strong> for employee and supervisor timekeeping/payroll inquiries, interpreting policies and providing guidance.</li><li>Process changes to timesheets, including prior period adjustments and training attendance.</li><li>Serve as liaison between site HR, Corporate HR Payroll, and HRMS teams to resolve timekeeping issues.</li><li>Facilitate annual audits and support end-user testing for system releases.</li><li>Review and approve requests for new work schedules.</li><li>Lead or contribute to timekeeping-related technology projects.</li></ul><p><br></p>
<p>Our client is currently seeking a highly skilled <strong>Payroll Processor</strong> to join their team in The Woodlands, TX<strong> on a long-term contract basis</strong>. This role is pivotal in ensuring that payroll is processed accurately, on time, and in compliance with applicable laws across a diverse workforce, including domestic and expatriate employees. Additionally, this position provides backup support for payroll tax administration and global relocation activities. If you are detail-oriented, process-driven, and thrive in a dynamic environment, we encourage you to apply!</p><p><br></p><p><strong>Key Responsibilities</strong></p><p><strong>Payroll Processing:</strong></p><ul><li>Manage and execute end-to-end payroll cycles for multi-state and U.S. expatriates, ensuring accuracy and timeliness across bi-weekly, semi-monthly, and monthly payrolls.</li><li>Import batches, balance payroll transactions, and run preview reports to validate data and resolve any discrepancies.</li><li>Review computed wages and identify/correct errors to maintain accuracy.</li><li>Ensure all changes to payroll are reflected and processed correctly in the system.</li></ul><p><strong>Payroll Support & Communication:</strong></p><ul><li>Respond to inquiries and requests related to payroll, including employee concerns and detailed reporting.</li><li>Inspect and approve automated system output, including registers and standard reports, correcting out-of-balance conditions as needed.</li></ul><p><strong>Tax Administration:</strong></p><ul><li>Execute periodic tax filings (quarterly and year-end). </li><li>Collaborate with third-party providers and stay current with payroll tax law changes; resolve tax notices from federal, state, and local agencies.</li><li>Collect and update state unemployment rates, ensuring proper application in the system.</li></ul><p><strong>Year-End & Vendor Reconciliation:</strong></p><ul><li>Coordinate year-end planning activities, including W2 processing and resolution of post-delivery issues.</li><li>Reconcile payments to vendors and third-party providers, ensuring financial accuracy.</li></ul><p><strong>Audit & Compliance:</strong></p><ul><li>Validate SAP data through comprehensive audits, balancing payroll results, general ledger postings, and third-party remittances.</li><li>Assist with both internal and external audits, maintaining compliance with organizational policies and government regulations.</li></ul><p><strong>Special Projects:</strong></p><ul><li>Support various management-directed special initiatives and process improvements.</li></ul><p><br></p>
<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>One of our successful clients within the financial services industry, is looking to hire a Director of Regulatory Reporting who can oversee and manage the regulatory reporting function within the organization. In this role, you will create and develop revenue generating internal controls, ensure accurate and timely submission of various regulatory reports to relevant regulatory authorities while maintaining compliant with applicable regulations, drive strategic planning, prepare financial statements, and keep abreast of US GAAP, statutory, and regulatory updates. The ideal Director of Regulatory Reporting for this role should have strong communication skills, proven experience in a compliance setting, and excellent multitasking abilities. </p><p><br></p><p>Major Responsibilities</p><p>· Point of contact for regulatory requirements</p><p>· Inform management on compliance issues</p><p>· Create and implement corrective action plan</p><p>· Develop and implement a comprehensive regulatory reporting strategy</p><p>· Lead and manage a team of regulatory reporting professionals</p><p>· Analyze regulatory risks</p><p>· Coordinate filings with external auditors</p><p>· Perform bank regulatory capital analysis</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>
<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>
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>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>We are seeking a detail-oriented and proactive Property Management Coordinator to oversee and enhance operations related to building facility inspections, board meeting support, vendor management, and compliance with community governing documents. This role requires a strong ability to communicate effectively with Boards of Directors, vendors, and residents, while ensuring timely execution of tasks and adherence to applicable regulations, including Davis-Stirling Act requirements.</p><p><strong>Key Responsibilities:</strong></p><ol><li><strong>Facility Inspections and Maintenance Coordination:</strong></li></ol><ul><li>Conduct routine site inspections to assess building facilities and common areas, documenting necessary repairs or improvements.</li><li>Compile actionable follow-up lists and oversee resolution of identified issues, coordinating with vendors and stakeholders as required.</li></ul><ol><li><strong>Meeting and Administrative Support:</strong></li></ol><ul><li>Prepare and distribute professional board meeting packages within designated timeframes, ensuring compliance with Davis-Stirling Act requirements.</li><li>Attend board meetings in accordance with the Management Agreement, providing input, recording minutes, and drafting detailed follow-up item lists.</li><li>Handle inquiries and directives from Boards of Directors for assigned properties with responsiveness and professionalism.</li></ul><ol><li><strong>Vendor Proposal Management and Project Oversight:</strong></li></ol><ul><li>Facilitate procurement by obtaining and reviewing vendor proposals at the instruction of Boards of Directors.</li><li>Assist in preparing scopes of work for regular maintenance and special projects, ensuring alignment with community goals and standards.</li></ul><ol><li><strong>Budget Preparation and Financial Analysis:</strong></li></ol><ul><li>Collaborate with the Accounting Department to develop annual budgets and supporting documentation for member distribution.</li><li>Review budget comparisons for accuracy, analyze variances, and propose corrective measures to optimize financial reporting.</li><li>Approve invoices and monitor financial reports to ensure compliance with established budgets.</li></ul><ol><li><strong>Community Communications and Compliance:</strong></li></ol><ul><li>Draft and distribute notices, mailings, and email blasts as directed by Boards of Directors, ensuring adherence to Davis-Stirling Act guidelines.</li><li>Manage the issuance of violation notices and other communications in accordance with governing documents and community standards.</li></ul><ol><li><strong>Calendar and Disclosure Management:</strong></li></ol><ul><li>Maintain and update annual community calendars, ensuring timely execution of monthly responsibilities, including disclosures mandated by the Davis-Stirling Act.</li></ul><p><br></p><p><br></p>
We are looking for a skilled Project Manager specializing in compliance to join our team on a long-term contract basis in Chicago, Illinois. In this role, you will oversee critical compliance initiatives, manage cross-functional collaboration, and ensure projects are delivered on time and within budget. This position offers the opportunity to work closely with legal, audit, and risk management teams within a dynamic construction environment.<br><br>Responsibilities:<br>• Oversee multiple compliance-related workstreams, ensuring projects remain on schedule and within budget.<br>• Collaborate with cross-functional teams, including the Risk & Compliance Director, Legal Operations, and Audit teams, to align project goals.<br>• Coordinate the implementation of compliance systems and develop tools such as risk registers and compliance obligation registers.<br>• Work closely with business leaders across the organization to support risk identification and mitigation activities.<br>• Prepare and maintain presentation materials for executive steering committee updates.<br>• Act as the primary liaison between stakeholders and implementation partners during software rollouts.<br>• Ensure all compliance projects adhere to organizational standards and regulatory requirements.<br>• Provide guidance and support for project management activities across various departments.<br>• Monitor progress and resolve any issues that may arise during the execution of compliance initiatives.
We are in search of a Manager for Billing Research & Compliance to become an integral part of our team. The role is based in Houston, Texas, and is crucial within the healthcare industry. As part of this role, you will be tasked with ensuring all charges in clinical trials are routed to the correct party, maintaining compliance with government billing regulations, and managing a team to effectively follow guidelines.<br><br>Responsibilities <br>• Oversee the routing of all charges in clinical trials to the responsible parties.<br>• Ensure adherence to government billing regulations and guidelines.<br>• Manage a team, fostering productivity and adherence to guidelines.<br>• Uphold compliance with research billing.<br>• Engage with accounting software systems and ERP - Enterprise Resource Planning.<br>• Oversee Accounts Receivable (AR) processes.<br>• Conduct regular auditing to ensure accuracy and compliance.<br>• Oversee and manage corporate compliance activities.<br>• Maintain knowledge and understanding of government grants.<br>• Conduct and oversee Clinical Research activities.
<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 looking for a detail-oriented Compliance Analyst to join our client's team on a 6-month contract basis. This role is fully-remote and offers an exciting opportunity to contribute to regulatory compliance within the mortgage industry, ensuring adherence to industry standards and legal requirements. This position supports legal and compliance initiatives across the organization, with a focus on fair lending regulations (FCRA, ECOA, HMDA), consumer protection laws (TCPA, CCPA/CPRA), and financial regulations (AML/BSA).</p><p><br></p><p>Responsibilities:</p><ul><li>Provide day-to-day support with cross-functional partners to address compliance risks and identify areas of improvement</li><li>Assist with regulatory compliance reporting and processes, including HMDA and ECOA</li><li>Lead the corrective action process as needed, including collaborating across business units to resolve and document issues </li><li>Assist with the fraud escalation and investigation process</li><li>Facilitate the data request process for regulatory reporting </li><li>Assist with fulfilling requests for external audits</li><li>Lead the development and deployment of annual and new hire compliance training, and follow up to ensure completion</li><li>Maintain existing policies and procedures and draft new policies and procedures as necessary</li><li>Manage the customer complaint and other customer investigation process</li><li>Conduct risk-based reviews on new vendors within the procurement process</li><li>Work with cross-functional teams to evaluate and update processes and policies</li></ul><p> </p>
<p>We are looking for an experienced Accounting Manager/Supervisor to oversee and enhance internal controls, operational processes, and risk management strategies. This role is critical in driving organizational efficiency, consistency, and compliance while supporting strategic business objectives. The ideal candidate will serve as a trusted advisor for process improvement initiatives and ensure alignment with compliance standards and long-term goals.</p><p><br></p><p>Responsibilities:</p><p>• Develop and implement a detailed Quality Assurance (QA) program to ensure operational excellence.</p><p>• Collaborate on the creation of annual plans, incorporating risk assessments and organizational priorities.</p><p>• Conduct strategic reviews and testing to evaluate risks and deliver actionable recommendations.</p><p>• Manage limited-scope projects aimed at improving operational efficiency and compliance.</p><p>• Educate staff and stakeholders on internal controls and risk mitigation strategies.</p><p>• Provide audit and compliance support to shared services teams.</p><p>• Advocate for process improvements that align with the organization’s mission and sustainability objectives.</p><p>• Partner with external auditors to ensure the effective implementation and evaluation of internal controls.</p><p>• Prepare detailed reports and analysis to support decision-making and enhance transparency.</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><em>The salary range for this position is $215,000 plus bonus, and it comes with benefits, including medical, vision, dental, life, and disability insurance. To apply to this hybrid Senior Director of IT SOX Compliance role please send your resume to [email protected]</em></p><p> </p><p>You know what’s awesome? Sweater weather. You know what else is awesome? A high-paying job that respects your work-life balance so you can enjoy your fall season. This role has perks that are unmatched by its competitors. Plus, this position doubles as a fast-track career advancement opportunity as they prefer to promote from within. </p><p> </p><p><strong>Job Description:</strong></p><ul><li>Manage the overall project management of the SOX 404 program, including business and IT controls. Plan deliverables and co-dependencies, anticipate issues, and provide the necessary tools and communications to enable the success of all business and IT SOX leads and testers.</li><li>Work closely with senior leadership and stakeholders to perform a risk assessment and scope SOX processes and controls in support of regions and SOX 404 certification. On a quarterly basis, drive the analytical risk assessment and scoping analytics.</li><li>Drive the strategic annual, quarterly and on-going SOX 404 and 302 compliance testing with management, process owners, and external auditors.</li><li>Manage the business and IT Process SOX 404 global leads, the team that partners with regional process owners.</li><li>Assist in the development and adoption of SOX best practices and delivering training to process owners and IT application owners, during both stable and transitional periods. Work with business and IT control owners and operators to ensure quality and consistency of new and existing controls. </li><li>Align the SOX 404 program with external audit to maximize external audit’s reliance on management’s work.</li><li>Prepare quarterly reporting for senior leadership and Audit Committee that includes testing results, deficiency root cause analysis, and audit milestone status.</li><li>Lead a team of SOX compliance professionals, providing mentorship and development opportunities.</li><li>Serve as the primary liaison with external auditors, regulators, and internal audit teams regarding SOX-related matters.</li></ul>
<p>Our client is a boutique Wealth Management firm looking to bring onboard a Compliance Analyst. The role is in Boston, mostly in office. </p><p><br></p><p>This role focuses on ensuring compliance and mitigating risk within a financial institution through meticulous analysis and proactive monitoring. Key responsibilities include conducting remote and onsite branch reviews and performing daily trade blotter reviews with an emphasis on exception reports, requiring strong attention to detail. The candidate will assist with annual supervisory controls testing, review and approve advertising, sales literature, trade corrections, and other compliance matters, while investigating potential violations of industry standards. The position also involves conducting electronic communication surveillance, managing continuing education programs, and overseeing accounts management, all while maintaining a strong knowledge of regulatory changes. Successful candidates will organize compliance records, manage compliance application systems, and maintain accurate documentation processes. </p>
