Compliance Managers

Senior Business Controls Manager - Regulatory Management Team

Charlotte, North Carolina;Boston, Massachusetts; Phoenix, Arizona

**Job Description:**

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.

One of the keys to driving Responsible Growth is being a great place to work for our teammates around the world. We’re devoted to being a diverse and inclusive workplace for everyone. We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering competitive benefits to support their physical, emotional, and financial well-being.

Bank of America believes both in the importance of working together and offering flexibility to our employees. We use a multi-faceted approach for flexibility, depending on the various roles in our organization.

Working at Bank of America will give you a great career with opportunities to learn, grow and make an impact, along with the power to make a difference. Join us!

**Job Description:**

This job is responsible for leading and executing on internal control discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF). Key responsibilities include executing LOB or ECF processes and tools to drive adherence to enterprise-wide standards. Job expectations include supporting the implementation of quality assurance and quality control processes within the LOB or ECF through ongoing monitoring and testing of controls, identifying issues and control improvements for remediation, and building out actions plans and milestones.

The Enterprise Credit Commercial Business Control Manager will lead a team responsible for executing Regulatory Management duties.

**Responsibilities:**

• Leads the assessment of the design and effectiveness of the risk and control environment to support Client Operational Services and ensure adherence to enterprise-wide standards

• Performs monitoring and testing of controls, identifying issues and control improvements for remediation

• Leads the implementation of optimized controls and enhanced Quality Assurance (QA) practices to support business continuity efforts

• Manages the performance and productivity of team members that conduct quality inspection reviews

• Ensures timely execution of QA activities including control execution, case management, and results reporting

• Manages and reviews all operations front line unit responses for regulatory exams, internal audits, and other monitoring and inspection reviews

• Ensures accuracy of data and that relevant information is captured for inspection metrics to support governance for dashboard reporting

• Providing coaching, mentorship and leadership to a team of associates

• Providing guidance on required data to ensure compliance with the designated regulations.

• Leading or participating with work team developing updates to any Front Line Until (FLU) procedures for the designated regulation

• Assisting with ad-hoc requests and prioritizing workload accordingly

• Partnering with control partners on annual assessment of Policy and Standards to assess impact to the line of business within Enterprise Credit

• Support the overall management of and research required for regulatory exams, internal audits, and other monitoring and inspection reviews and evaluates data and information relevant to inspection metrics to support governance activities for dashboard reporting

**Skills:**

• Controls Management

• Risk Management

• Strategy Planning and Development

• Stakeholder Management

• Continuous Improvement

• Drives Engagement

• Influence

• Strategic Thinking

• Talent Development

• Monitoring, Surveillance, and Testing

• Quality Assurance

• Data and Trend Analysis

• Decision Making

• Problem Solving

**Required Qualifications:**

• Ability to work independently and self-manage multiple tasks at once

• Strong communication and collaboration skills

• Ability to lead and execute while maintaining a positive and energetic attitude during times of pressure, adversity, or change

• Candidate must be highly organized

• 7-10 years experience in either credit underwriting, credit operations with a specific focus on Regulatory Management preferred

• Participant must have the ability to solve complex problems, be detail oriented, and demonstrate a high regard for data accuracy

• Proficient in Outlook, Excel, SharePoint, PowerPoint and WebEx skills

• Ability to navigate credit agreements, collateral documentation and loan documents

**Desired Qualifications:**

• Working knowledge of regulatory environment

• Familiarity with commercial/corporate loan agreements

• Experience in Commercial Banking, credit underwriting, monitoring and collateral analysis and familiar with credit policy and procedures

• Regulatory, audit, and/or issue management experience

**Shift:**

1st shift (United States of America)

**Hours Per Week:**

40

Bank of America and its affiliates consider for employment and hire qualified candidates without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national origin, ancestry, citizenship, protected veteran or disability status or any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other bases such as medical condition, marital status or any other factor that is irrelevant to the performance of our teammates.

To view the "EEO is the Law" poster, CLICK HERE (https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf) .

To view the "EEO is the Law" Supplement, CLICK HERE (https://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCP\_EEO\_Supplement\_Final\_JRF\_QA\_508c.pdf) .

Bank of America aims to create a workplace free from the dangers and resulting consequences of illegal and illicit drug use and alcohol abuse. Our Drug-Free Workplace and Alcohol Policy (“Policy”) establishes requirements to prevent the presence or use of illegal or illicit drugs or unauthorized alcohol on Bank of America premises and to provide a safe work environment.

To view Bank of America’s Drug-free workplace and alcohol policy, CLICK HERE .

Senior Business Control Specialist - Regulatory Management Team

Jacksonville, Florida;Simi Valley, California; Phoenix, Arizona; Boston, Massachusetts; Charlotte, North Carolina

**Job Description:**

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.

One of the keys to driving Responsible Growth is being a great place to work for our teammates around the world. We’re devoted to being a diverse and inclusive workplace for everyone. We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering competitive benefits to support their physical, emotional, and financial well-being.

Bank of America believes both in the importance of working together and offering flexibility to our employees. We use a multi-faceted approach for flexibility, depending on the various roles in our organization.

Working at Bank of America will give you a great career with opportunities to learn, grow and make an impact, along with the power to make a difference. Join us!

Job Description:

This job is responsible for driving and executing on internal control discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF). Key responsibilities include providing analytical and administrative support for LOB or ECF specific processes and tools to drive adherence to enterprise-wide standards. Job expectations include monitoring and testing controls and implementing quality assurance and quality control processes within the LOB or ECF by evaluating data to help identify, track, and report issues and control improvements for remediation. The Senior Business Controls Specialist (Regulatory Management Team) will provide analytical support to Enterprise Credit (Commercial) Officers in executing internal control discipline and operational excellence related to FDPA (Flood Regulation) during the underwriting/monitoring process.

Responsibilities:

• Maintaining an engagement pipeline requiring coordination of various teams to ensure closing deadlines are met.

• Providing guidance and coaching on requirements necessary to ensure adherence with internal policy and designated regulation

• Participating with work team developing updates and training to any Front Line Unit (FLU) procedures for the designated regulation

• Serve as a point of contact and SME in partnering with, Operations, Legal, Audit, and Control Partners on annual assessments and Exams

• Supports the monitoring and testing of controls by evaluating data to identify issues and control improvements for remediation

• Supports the overall management of and research required for regulatory exams, internal audits, and other monitoring and inspection reviews and evaluates data and information relevant to inspection metrics to support governance activities for dashboard reporting

Skills:

• Controls Management

• Issue Management

• Monitoring, Surveillance, and Testing

• Quality Assurance

• Risk Management

• Analytical Thinking

• Attention to Detail

• Critical Thinking

• Problem Solving

• Written Communications

• Decision Making

• Innovative Thinking

• Prioritization

• Recording/Organizing Information

• Research

Required Qualifications:

• 3-5 years’ experience in risk management, compliance, operational controls and/or LOB underwriting or operations

• Ability to navigate credit agreements, collateral documentation and loan documents

• Proficient in Outlook, Excel, SharePoint, PowerPoint and WebEx skills

• Ability to work independently and self-manage multiple tasks at once

• Strong communication and collaboration skills

• Ability to lead and execute while maintaining a positive and energetic attitude during times of pressure, adversity, or change

• Candidate must be highly organized

• Participant must have the ability to solve complex problems, be detail oriented, and demonstrate a high regard for data accuracy

Desired Qualifications:

• Working knowledge of Flood insurance and/or regulations

• Strong oral and written communication skills including the ability to communicate effectively with leadership, Compliance, Audit and Credit Review on a regular basis

• Experience in Commercial Banking, credit underwriting, monitoring and collateral analysis and familiar with credit policy and procedures

• Regulatory, audit, and/or issue management experience

Will consider any EC Commercial Location

**Shift:**

1st shift (United States of America)

**Hours Per Week:**

40

Bank of America and its affiliates consider for employment and hire qualified candidates without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national origin, ancestry, citizenship, protected veteran or disability status or any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other bases such as medical condition, marital status or any other factor that is irrelevant to the performance of our teammates.

To view the "EEO is the Law" poster, CLICK HERE (https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf) .

To view the "EEO is the Law" Supplement, CLICK HERE (https://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCP\_EEO\_Supplement\_Final\_JRF\_QA\_508c.pdf) .

Bank of America aims to create a workplace free from the dangers and resulting consequences of illegal and illicit drug use and alcohol abuse. Our Drug-Free Workplace and Alcohol Policy (“Policy”) establishes requirements to prevent the presence or use of illegal or illicit drugs or unauthorized alcohol on Bank of America premises and to provide a safe work environment.

To view Bank of America’s Drug-free workplace and alcohol policy, CLICK HERE .

+ Manage a team of 4 to 5 export compliance officers.

+ Draft, prepare and review high volume of export license applications.

+ Collaborating with other members of the overall Licensing organization on best practices and metrics / internal reporting.

+ Managing OCR-EASE recordkeeping requirements for complex export authorizations.

+ Provide training as needed to Export Compliance Officers, Authorization Owners, and Users.

+ Create and manage metrics, KPIs and present to leadership.

+ Developing, reviewing, updating, and implementing comprehensive export compliance procedures and forms to drive the Company’s overall compliance with export laws and regulations.

+ Working with the functions and businesses to ensure export compliance requirements are published in and adopted by business and/or functional processes.

+ Communicating procedural changes via email, through training, and other communication vehicles.

+ Supporting the Export Compliance investigations team in investigating and resolving compliance problems, questions, or complaints.

+ Performing or supporting export related audits including facilitation of data gathering requests.

Key Responsibilities

+ Support consent agreement audits.

+ Oversee compliance related to post-approval reviews for export authorizations.

+ Conducts reviews of Export applications.

+ Develop, edit, communicate procedures and related forms.

+ Assist with training and training development.

+ Provide guidance on export regulations.

+ Maintain record keeping.

+ Compliance resolution.

+ Communicate clearly with business and functional personnel on export-related matters.

U.S. PERSON REQUIREMENTS

Due to compliance with U.S. export control laws and regulations, candidate must be a U.S. Person, which is defined as, a U.S. citizen, a U.S. permanent resident, or have protected status in the U.S. under asylum or refugee status.

YOU MUST HAVE

+ Bachelor’s Degree.

+ Minimum of 10 years in export compliance.

+ Robust knowledge of the International Traffic in Arms Regulations (ITAR) and/or Export Administration Regulations (EAR).

+ U.S. Person status as defined by the ITAR.

+ Experience with SAP / GTS or other ERP systems and related export compliance modules.

WE VALUE

+ Six Sigma and process improvement knowledge.

+ Experience in drafting procedures, forms, reports, contracts, agreements, licenses, or presentations.

+ Proactive, well-organized, highly motivated.

+ Ability to work independently once tasks are assigned.

+ Excellent communication, presentation, and interpersonal skills a plus.

+ Experience working in a compliance-related role, especially one involving export compliance.

+ Experience with MS Office.

+ Experience with developing or using digital tools.

+ Master’s degree or juris doctorate a plus.

Honeywell is an equal opportunity employer. Qualified applicants will be considered without regard to age, race, creed, color, national origin, ancestry, marital status, affectional or sexual orientation, gender identity or expression, disability, nationality, sex, religion, or veteran status.

Why Arcoro?

Want to work with a solid company that’s transforming HR for the construction industry? Our team of dedicated professionals helps construction, contracting and field services companies hire, manage and grow their workforce with a market-leading SaaS solution. As a member of the A-Team, you’ll enjoy a top-notch employee experience where you can embrace your problem-solving skills and innovation, work with a team of great colleagues and see the impact of your contribution each day Our culture is collaborative, and we believe strongly in training, growth and internal advancement. We offer competitive compensation including comprehensive benefits and a generous time-off policy. We offer both on-site and remote opportunities.

At Arcoro, you will help create software products that are cutting edge, easy to use, and that make an appreciated and notable difference in our customer’s daily lives.

About the Job:

We are looking for an experience d IT Compliance Manager to join our team in support of our growth.

This person will support our organization in maintaining Regulatory & Compliance Standards by supervising AICPA SOC 2 Type 2 Audits and managing Assessments of Internal Department Security Protocols and Practices. This position will guarantee the presence of sufficient and efficient process controls that adhere to regulatory requirements and security frameworks such as the NIST Cybersecurity Framework (CSF).

Other job duties include Employee Security Training, Tracking Risk Remediation Activity and Communicating Compliance Program Results to Senior Management. Successful candidates stay up to date with industry security trends and developments. We are looking for a self-motivated, fast-paced individual to help ensure the success of our team.

Salary Range (DOE): $75,325 - $105,725

What you will be doing?

+ Supervising and helping with Security Audits & Risk Assessments

+ Making recommendations that improve Data Security

+ Help formulate Security Policies and Procedures

+ Analyze and develop Department Reporting Standards

+ Perform other duties as assigned

Must Haves:

+ 3+ years Work Experience & Knowledge of AICPA SOC 2 Audits, HIPAA or HITRUST Assessments

+ Familiar with NIST Cybersecurity Frameworks

+ Effective communication skills

+ Good time management skills

+ Critical Thinking skills

Nice To Haves:

+ Experience with ISO 27001 Risk Assessments

+ Experience with SaaS Application Services & Cloud Infrastructures

+ Experience with KnowBe4 Security & Awareness Training

+ General knowledge of Networking, Security, and IT Operations

+ Technical writing

Perks and Benefits:

+ Competitive salary

+ 401(k) with Company match

+ Medical/Dental/ Vision, STD/LTD, Life Insurance

+ Unlimited PTO and Company-paid holidays

+ Remote work

About the Company

A rapidly growing SaaS company, Arcoro offers proven modular HR solutions for the construction and contracting industries. Our product suite and software platform provides end-to-end HR functionality to help drive business outcomes, enabling companies to better manage the entire employee lifecycle through improved candidate quality and flow, shortened time to hire, centralized learning and improved employee productivity. Our HR solutions integrate with top construction ERP systems further positioning Arcoro as a leader in proven modular HR solutions. With Arcoro’s flexible solutions, customers select the modules that meet their needs for talent acquisition, talent management, core HR, benefits administration, time and attendance tracking and more. Arcoro has over 7000 customers across North America.

Arcoro is a Fair and Equal Opportunity Employer

Arcoro is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. We prohibit discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state, or local laws.

**Earnest’s mission is to make higher education accessible and affordable for everyone.** We empower past, present, and soon-to-be students to maximize their financial futures through thoughtful guidance and impactful products.

We build tools that help people feel in control of their financial future, including:

+ **Private student loans** - low rates, people-first service, and flexible payments.

+ **Student loan refinancing** - break free from high interest rates or monthly payments.

+ **Scholarships** - access to thousands of scholarships to help students pay less.

**The Compliance Manager position will report to the Senior Manager, Compliance.**

**As the Compliance Manager, you will:**

+ Engage the business to determine key areas of potential risk and work closely with the process owners to establish and document procedures and controls around those processes to mitigate risk effectively and efficiently.

+ Assist in identifying Compliance Risks and emerging issues applicable to ongoing and proposed business activities.

+ Develop and implement written policies/procedures and checklists designed to ensure compliant business operations.

+ Assist in designing processes that comply with the Laws and Regulations and emerging compliance trends, including creating and implementing effective manual, automated, preventive and detective internal controls around the marketing and customer communications functions.

**Your Impact:**

+ Play a key role in the First Line of Defense Compliance Team and work closely with the business to develop procedures and controls around critical business operations to ensure the processes are operating effectively while maintaining Earnest's risk appetite.

+ Act as a liaison between the 2nd Line of Defense Compliance Team and Internal Audit for compliance and risk related items.

**About You:**

+ 6+ years of regulatory management or operational risk experience

+ 5 years of direct experience in consumer compliance as well as a solid familiarity with consumer lending and fair lending laws

+ Bachelor’s degree

**Even Better:**

+ Fin-tech experience

+ Experience with Compliance Marketing Reviews

+ A CRCM or other equivalent certification

+ Experience in data analytics

**About Us:**

What makes an “Earnie” culture:

+ **Drivers** – Drivers are satisfied by making things happen, not coming along for the ride. They feel a strong sense of ownership for their projects and teams and demand high standards from themselves and others.

+ **Humility** – Humble team players check their egos and consider the team’s needs above their own. They are self-aware of their strengths and opportunities for improvement.

+ **Growth Mindset** – People with a growth mindset approach challenges and failures as learning opportunities. They seek feedback to improve, give feedback to others, and genuinely want to perform well.

Earnies are committed to helping students live their best lives, free from the stress of student debt. If you’re as passionate as we are about our mission, read more below, and let’s build something great together!

**Earnest believes in enabling our employees to live their best lives. We offer a variety of perks and competitive benefits, including:**

+ Health, Dental, & Vision benefits plus savings plans

+ Work anywhere in the U.S.

+ Mac computers + work from home stipend to set up your home office

+ Monthly internet and phone reimbursement

+ Employee Stock Purchase Plan

+ RSUs

+ 401(k) plan to help you save for retirement plus a company match

+ Robust tuition reimbursement program

+ $1,000 travel perk on each Earnie-versary to anywhere in the world

+ Competitive days of annual PTO

+ Annual “my day”

+ Pet insurance!

+ Competitive parental leave

+ Plenty of Earnest swag, optional in person team gatherings, picnics, celebrations, and plenty of fun virtual events

**At Earnest, we are committed to building an environment where our employees feel included, valued, and heard. Our belief is that a strong commitment to diversity, inclusion, equity, and belonging enables us to move forward with our mission. We are dedicated to adding new perspectives to the team and encourage anyone to apply if your experience is close to what we are looking for.**

_Earnest provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, sexual orientation, gender identity, veteran status disability or genetics. Qualified applicants with criminal histories will be considered for the position in a manner consistent with the Fair Chance Ordinance._

\#LI-AM1

A little about our pay philosophy: We take pride in compensating our employees fairly and equitably. We are showcasing a range of your potential base salary, determined primarily based on a candidate’s location. Earnest takes a market-based approach, categorizing U.S. locations into one of five zones based on a cost of labor index for that geographic area. The successful candidate’s starting pay will also be determined based on job-related qualifications, internal compensation, and budget. This range may be modified in the future.

Pay Range

$113,000—$142,000 USD

ADP is hiring a **Client Service Manager.**

+ Are you ready to grow your career and lead a team at an established, respected, global company?

+ Are you empathic to client needs, the people you lead, and internal partners to drive success?

+ Are you looking for an inclusive environment with a culture of collaboration and belonging?

If so, this may be an opportunity for you. Read on and decide for yourself.

In this role, you will lead a team that serves as ADP's front-line for solving clients' challenges -- including issue resolution, ticket triage, answering questions, helping clients, training their users on ADP technology, and more. You and your team carry the weight of ADP's service reputation and client satisfaction in your hands.

Every day, you'll leverage your project management and leadership expertise to assist in establishing the direction of your team's daily activities, coaching and developing your team members, creating an overall productive and enjoyable working environment for your team, and managing and resolving client escalations.

To thrive in this role, you must be comfortable working in a metrics-driven ticket environment as part of a structured day. You have a way with clients and the people that you lead that builds rapport, establishes trust, and shines with professionalism. As a result, your client satisfaction scores make you proud. Pace should not scare you. We also have a healthy dose of fun. Not only can you find a career here but friendships that last in a company that values inclusion.

**A little about ADP:** We are a global leader in human resources technology, offering the latest AI and machine learning-enhanced payroll, tax, human resources, benefits, and much more. We believe our people make all the difference in cultivating an inclusive, down-to-earth culture that welcomes ideas, encourages innovation, and values belonging. We've received recognition as a global Best Places to Work and a recipient of many prestigious awards for diversity, equity, and inclusion, including a DiversityInc® Top 50 Company, Best CEO and company for women, LGBTQ+, multicultural talent, and more. As part of our deep DEI commitment, our CEO has joined the OneTen coalition to create one million jobs for Black Americans within ten years. Learn more about DEI at ADP on our YouTube channel: http://adp.careers/DEI\_Videos.

**Ready to #MakeYourMark? Apply now!**

To learn more about Client Services at ADP, watch here: https://adp.careers/Client\_Services\_Videos.

**WHAT YOU'LL DO:** Responsibilities

**Here's what you can expect on a typical day:**

**Be a Leader.** You will provide overall direction, prioritize critical issues, and support your team to ensure that work is completed accurately and with quality according to scheduled deadlines, priorities, and overall goals. You will serve as a resource for your team, based on a solid working knowledge of the team's responsibilities and each associate's development plan. You'll also participate in task forces, strategic initiatives, stretch assignments, and collaboration opportunities with other ADP business units.

**Mentor and Train** . You will motivate associates while providing continuous feedback on performance and coaching. You will help develop your team members' careers and coordinate any additional training as needed with leadership support.

**Represent ADP.** You will represent ADP as the first level of client-escalated issues. You'll develop an action plan and oversee resolution efforts for payroll processing. Plus, you will provide direct feedback to associates on opportunities to enhance services provided to clients.

**Flex and Adapt.** You thrive in a structured environment where you set priorities, organize your day, multi-task, change direction, and provide prompt follow-up. You're a problem solver who can find an answer, or a solution, for time-sensitive issues and meet deadlines. You take the initiative to seek answers, solutions, and positive outcomes for both the client and ADP.

**TO SUCCEED IN THIS ROLE:** Required Qualifications

+ At least **five years** of client service experience

+ At least **three years** of people leadership experience

+ 25% travel

**BONUS POINTS FOR THESE:** Preferred Qualifications

+ Bachelor's degree or equivalent in experience and skills

+ Certifications including Fundamental Payroll Certification (FPC) or Certified Payroll Professional (CPP)

+ Hands-on payroll knowledge/experience

**YOU'LL LOVE WORKING HERE BECAUSE YOU CAN:**

+ Be yourself in a culture that values equity, inclusion, and belonging and creates a safe space for diverse perspectives and insights.

+ Belong by joining one of nine business resource groups to connect globally with networks and allies who share common interests and experiences.

+ Grow your career in an agile, fast-paced environment with plenty of opportunities to progress.

+ Continuously learn through ongoing training, development, and mentorship opportunities.

+ Be your healthiest. Best-in-class benefits start on Day 1 because healthy associates are happy ones.

+ Focus on your mental health and well-being. We're here to provide exceptional service to our clients, and none of that happens without each of us taking care of ourselves and being there for one another.

+ Join a company committed to giving back and generating a lasting, positive impact upon the communities in which we work and live.

+ Get paid to pay it forward. Company-paid time off for volunteering for causes you care about.

What are you waiting for? **Apply now!**

**Jobs.adp.com**

**Diversity, Equity, Inclusion & Equal Employment Opportunity at ADP:** ADP is committed to an inclusive, diverse and equitable workplace, and is further committed to providing equal employment opportunities regardless of any protected characteristic including: race, color, genetic information, creed, national origin, religion, sex, affectional or sexual orientation, gender identity or expression, lawful alien status, ancestry, age, marital status, protected veteran status or disability. Hiring decisions are based upon ADP’s operating needs, and applicant merit including, but not limited to, qualifications, experience, ability, availability, cooperation, and job performance.

**Ethics at ADP:** ADP has a long, proud history of conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our people to uphold our values with the highest level of integrity and behave in a manner that fosters an honest and respectful workplace. Click https://jobs.adp.com/life-at-adp/ to learn more about ADP’s culture and our full set of values.

**About this role:**

Wells Fargo is seeking a **Compliance Director** in Corporate Risk to lead **Personal Lending Compliance.** Learn more about the career areas and business divisions at wellsfargojobs.com . This Compliance Director will be responsible for developing, implementing, and executing regulatory oversight programs for business initiatives and operations, as well as serving as a strong advocate for Wells Fargo's second line of defense partner, providing guidance and vision in the front line's execution of business plans across business groups.

This Compliance Director will report directly to the Head of Consumer Lending Compliance. They will be responsible for the coordination and execution of team wide oversight including monitoring, reporting, and planning needs in the Personal Lending business.

**In this role, you will:**

+ Lead and manage a team through the implementation of a companywide compliance program with high-risk complexity associated with the Personal Lending business

+ Manage and develop the execution and challenges of compliance-related decisions

+ Direct and oversee a complex regulatory environment to include establishing standards

+ Oversee and credibly challenge the reporting, escalation and timely remediation of compliance-related issues, deficiencies, or regulatory matters

+ Direct the implementation of effective compliance strategies to assess key risks and anticipate regulatory issues; and identify opportunities to simplify and drive consistency of solutions to strengthen compliance risk management

+ Lead and actively participate as a key member and compliance representative on various business-based governance committees

+ Foster an environment that ensures strong communication and cooperation across the three lines of defense, including business line leadership, Legal, Audit, Compliance, and other corporate stakeholders to facilitate transparency, balance, and credible challenge

+ Sustain a strong risk culture that identifies and provides oversight and escalation of existing and emerging compliance issues across business groups, legal entities, geographies, and jurisdictions; and ensure that escalated compliance issues receive immediate senior management attention.

+ Recommend opportunities for process improvement and risk control development

+ Create a culture of excellence by proactively attracting, retaining, and developing a team of talented and diverse compliance professionals to support the execution of the Consumer Lending compliance program

+ Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity or oversee and monitor specific elements of the companywide compliance program

+ Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements

+ Identify reporting, escalation, timely remediation of issues and deficiencies or regulatory matters regarding compliance risk management

+ Make decisions and resolve issues to meet business objectives

+ Interpret policies, procedures, and compliance requirements

+ Provide leadership on high-level performance and team growth to achieve objectives

+ Manage allocation of people and financial resources for Compliance

**Required Qualifications:**

+ 8+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

+ 4+ years of Management experience

**Desired Qualifications:**

+ Deep experience in the financial services industry with specific expertise providing advice and guidance to a business focused on setting strategic direction in delivering an integrated bank at scale

+ Strong expertise in personal lending and retail services businesses

+ Deep understanding of the ever-evolving governance and regulatory environments as well as industry and compliance risk-related best practices

+ Organizational courage and willingness to make tough, informed decisions and thoughtfully share independent perspectives

+ Strong analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas or issues into well-defined solutions with a track-record for delivering results

+ Effective communicator, both orally and in writing, with the ability to ask well-crafted questions and present ideas in a clear and compelling manner

+ Ability to engender creative thinking and teamwork while communicating effectively amongst diverse, differing, competing or conflicting perspectives and priorities

+ Proven collaboration and ability navigate formal and informal channels

+ Demonstrated success in leading, influencing, and building strong internal and external business relationships in a heavily matrixed organization to progress objectives requiring a high level of cooperation

+ Proven success within Strategic Leadership, including experience creating and achieving a desired future state vision through influence on individual and group goals, reinforcements, and systems

+ An MBA, JD, CRCM or other related professional designation

**Job Expectations:**

+ Ability to travel up to 15% of the time

+ This position offers a hybrid work schedule

+ This position is not eligible for VISA sponsorship

**Posting End Date:**

23 Jun 2024

***Job posting may come down early due to volume of applicants.**

**We Value Diversity**

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

**Applicants with Disabilities**

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .

**Drug and Alcohol Policy**

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

**Company:** WELLS FARGO BANK

**Req Number:** R-377072-5

**Updated:** Fri Jun 21 02:09:27 UTC 2024

**Location:** TEMPE,Arizona

Senior Principal Human Resources Compliance Manager

**General Information**

Ref #:

20240038912

Travel Amount Required:

Up to 25%

Job Type:

Regular-Full Time

Location:

Lowell - Massachusetts - United States, USA - USA - Remote

**Company Overview**

Here at UKG, our purpose is people™. Our HR, payroll, and workforce management solutions help organizations unlock happier outcomes for all. And our U Krewers, who build those solutions and support our business, are talented, collaborative, and innovative problem-solvers. We strive to create a culture of belonging and an employee experience that empowers our people – both at work and at home. Our benefits show that we care about the whole you, from adoption and surrogacy assistance to tuition reimbursement and wellness programs. Our employee resource groups provide a welcoming place to land, learn, and connect with those who share your passions and interests. What are you waiting for? Learn more at www.ukg.com/careers \#WeAreUKG

**Description & Qualifications**

Description

About the Role:

You will play a critical role in ensuring that our organization adheres to all relevant global labor laws, regulations, internal policies and industry standards. This position requires a deep understanding of global HR practices and business operations, a high level of integrity, a proactive approach and excellent communication skills to effectively collaborate with cross-functional teams. This role will partner collaboratively with Legal, Employee Relations, Corporate Compliance, Privacy, IT and Internal Audit teams to implement HR compliance solutions aimed at reducing risk and building a HR compliance program that promotes a culture of integrity, fairness and legal adherence.

Responsibilities:

Compliance Oversight, Policy Development, and Implementation:

· Establish and oversee global HR compliance practices to minimize operational and organizational risk and establish best-in-class HR compliance standards including; OFCCP, time-tracking, wage & hour, global mobility, record retention, background check compliance

· Develop, update, and communicate HR policies and procedures to ensure compliance with local, state, federal, and international regulations.

· Monitor and interpret local, state, and federal employment laws and regulations to ensure company-wide compliance. Collaborate within HR and cross-functionally to communicate requirements and implement necessary changes to HR policies and procedures to reflect legal updates.

Training and Education:

· Collaborate with various teams including, HR, Legal, Ethics/Integrity, Privacy, and SOX to develop, update, and communicate HR policies and procedures that align with industry best practices and legal requirements. Maintain knowledge of trends and best practices related to regulatory changes and new technologies in human resources.

· Develop and maintain a comprehensive training program for employees on HR policies and compliance matters. Identify areas of opportunity for compliance education and training for managers and business leaders and partner with COEs to develop and deliver training, as needed.

· Conduct training sessions to increase awareness of compliance requirements and to remain compliant with required training.

· Help build awareness campaigns within HR highlighting the importance of, and ongoing changes in, HR Compliance programs highlighting risk management, exposure, and escalation process; develops and delivers process guides and training for employees, managers, and HR

Audit and Monitoring:

· Primary POC to oversee regular HR data audits and partner with other HR leaders to research and problem solve complex business data issues across all HR functional areas to ensure compliance with HR policies, procedures, governance, labor laws, data quality and (SOX) / regulatory compliance.

· Regularly audit HR processes and documentation to identify and rectify areas of non-compliance.

· Maintain accurate and organized records of compliance-related activities, trainings, and policy changes.

· Identify areas of risk for global compliance and identify strategies and plans to mitigate risks.

Regulatory Updates:

· Maintain reporting schedule and delivery of regulatory required reporting on employee data: pay equity, AAP, EEOC, I&D data, etc.

· Stay abreast of changes in employment laws and regulations, and proactively update HR policies and practices accordingly in all global locations including, US, Canada, UK, India etc.

· Provide guidance to HR and management on the impact of regulatory changes.

Collaboration and Communication:

· Contribute to various HR Projects and guide project team in adhering to data and process compliance.

· Collaborate with cross-functional teams, including legal, finance, and IT, to ensure alignment on compliance-related matters, interpret and apply employment laws and regulations.

· Drive relevant Sarbanes Oxley (SOX) compliance efforts within HR to ensure processes are effective and well documented, collaborating with stakeholders to ensure controls are practical and ownership lines are clearly established.

· Responsible for on-going maintenance and compliance of job description library.

Qualifications

About You

Basic Requirements

· 10+ years of experience in HR or HR compliance or a related field.

· Minimum 10+ years’ experience managing compliance programs and/or projects in companies with a global workforce.

· Knowledge of applicable laws, regulations, and statutes related to employment, and HR compliance globally

· Experience with Affirmative Action Planning, Equal Employment Opportunity, UK Gender Pay Data, Australian Gender Pay Data or at least one similar global report, required.

· Experience working at a global organization on global compliance programs.

Preferred Requirements

· Experience designing and administering scalable compliance related processes and programs

· Ability to communicate with and influence all levels of the organization on high profile topics (e.g., regulatory audits) – ability to explain complex employment requirements in easily understandable manner to allow them to make decisions on risk

· Ability to coach team members (peers, senior leadership) on HR compliance policies, processes, rules and regulations

· Thorough understanding of labor laws, regulations, and industry best practices.

· Excellent written and verbal communication skills and comfort presenting to audiences at different levels of the organization.

· Demonstrated ability to manage sensitive and confidential information.

· Strong interpersonal skills and the ability to work collaboratively across all levels of the organization.

· Proficiency in HR software and systems for record keeping and reporting.

\#LI-JJ1

**Pay Transparency for Colorado, New York, Washington and California**

The pay range for this position in Colorado, New York, Washington and California is $137,900 to $195,000, however, base pay offered may vary depending on skills, experience, job-related knowledge and location. This position is also eligible for a short-term incentive and a long-term incentive as part of total compensation.

Information about UKG’s comprehensive benefits can be reviewed on our careers site at https://www.ukg.com/careers.

San Francisco Bay Area Pay Law

There is a different range applicable to specific work locations, within the San Francisco Bay area, the base pay range for this role in those locations is USD $137,900 to $195,000 per year.

**EEO Statement**

**Equal Opportunity Employer**

Ultimate Kronos Group is proud to be an equal opportunity employer and is committed to maintaining a diverse and inclusive work environment. All qualified applicants will receive considerations for employment without regard to race, color, religion, sex, age, disability, marital status, familial status, sexual orientation, pregnancy, genetic information, gender identity, gender expression, national origin, ancestry, citizenship status, veteran status, and any other legally protected status under federal, state, or local anti-discrimination laws.

View The EEO Know Your Rights poster (https://www.eeoc.gov/sites/default/files/2022-10/EEOC\_KnowYourRights\_screen\_reader\_10\_20.pdf) and its **supplement** .

View the Pay Transparency Nondiscrimination Provision (https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp\_%20English\_formattedESQA508c.pdf)

UKG participates in E-Verify. View the E-Verify posters here (https://www.e-verify.gov/sites/default/files/everify/posters/EVerifyParticipationPoster.pdf) .

**Disability Accommodation**

For individuals with disabilities that need additional assistance at any point in the application and interview process, please email [email protected].

Quality & Compliance Director (Facilities) - Remote

Job ID

170283

Posted

11-Jun-2024

Service line

GWS Segment

Role type

Full-time

Areas of Interest

Facilities Management

Location(s)

Minneapolis - Minnesota - United States of America, Remote - US - Remote - US - United States of America

Get ready for an exciting career with CBRE!

CBRE is the global leader in commercial real estate services. We have been ranked the industry’s top brand by the Lipsey Company for 15 consecutive years and one of Fortune’s "Most Admired Companies" in the sector for four years running!

Through our values of respect, integrity, service, and excellence, we steadfastly focus on crafting successful outcomes for our clients, employees, and shareholders.

We offer a competitive compensation package with benefits Medical, Dental, Vision, 401(k), Disability, Paid holidays and Vacation.

About the role:

The purpose of this position is to lead the CBRE Quality Representatives staff on large client accounts (may include multiple accounts/clients). Alternatively, this role may lead corporate CBRE (not assigned to any account) QA departments facilitating the company QA and Compliance objectives and how those objectives are cascaded to client accounts. This role leads the staff in the creation, implementation, and routine maintenance, of CBRE and/or the client's Quality Management System(QMS). This role handles the delivery of all quality and compliance for regulated and non-regulated services; per the master service agreement, Quality agreement, and any local service level agreements.

**What you'll do:**

Responsible for all contractual agreement aspects (MSA, QA, SLA) where regulated quality and/or quality of service provided is stipulated. Ensures that CBRE is appropriately staffed to achieve the quality results committed in those contracts.

Evaluates, selects, implements, and actualizes standard processes across the client portfolio. Researches, builds, and aligns quality initiatives with current regulatory bodies requirements as a function of the scope of work CBRE provides the client.

Attends Quality Forum monthly meetings to provide in-depth explanations for monthly reports and department metrics. Leads and participates in continuous improvement objects for CBRE and the client.

Interfaces, partners, and interacts with both CBRE and the clients' leadership teams. Appropriately communicates initiatives and/or issues across the functional areas impacted. Responsible for reporting Compliance (among other quality and business metrics) status to the client during review meetings. Appropriately raises and notifies CBRE and client management of Q&C issues.

Oversees inspection readiness program. Depending on staffing strategy, may have responsibility to lead audits as well as serve as the primary quality representative for CBRE operations during external agency or client audits. Is accountable for audit observations and the associated corrective measures.

Coordinates the staff responsible for the vendor management for the client. Ensures compliance and qualification of all regulated service vendors.

Leads the staff(s) assigned to the Q&C Department (may involve multiple client accounts and staffs).

Author and work on terms of Quality Agreements with clients and vendors.

Investigates deviations/events, issues and handles Corrective/Preventative Actions. Participates in creation and management of changes.

Performs other areas as assigned.

Handles the planning, organization, and controls for the Quality & Compliance group(s). Will lead a mix of direct and matrix reports. Approves subordinate's recommendations for staff recruitment, selection, promotion, advancement, corrective action and termination. Effectively recommends same for direct reports to next level management for review and approval. Monitors appropriate staffing levels and reports on utilization and deployment of human resources. Leads and supports staff in areas of staffing, selection, training, development, coaching, mentoring, measuring, appraising and rewarding performance and retention. Leads by example and models behaviors that are consistent with the company's values.

**What you'll need:**

To perform this job successfully, an individual should be able to perform each crucial duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required.

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Bachelor's degree in Biology, Microbiology, Chemistry, or Engineering; or equivalent related work experience. Minimum of 8-10 years experience in a pharmaceutical and/or healthcare quality organization. Previous departmental experience required.

FDA, ISO, or similar quality assurance audit related certification preferred. Must have appropriate license and/or certification where required by law. Green or Black Belt Six Sigma Certification preferred.

Ability to comprehend, analyze, and interpret business documents. Ability to respond effectively to the most sensitive issues. Ability to write reports, manuals, speeches and articles using distinctive style. Ability to make effective and persuasive presentations on topics to employees, clients, top management and/or public groups. Ability to empower and negotiate effectively with key employees, top management, and client groups to take desired action.

Comfortable meeting and engaging with new people.

Warm and engaging demeanor. Ability to assess circumstances, empathize and offer help.

Requires in-depth knowledge of financial terms and principles. Ability to calculate figures. Ability to forecast and prepare budgets. Conducts financial/business analysis including the preparation of reports.

Ability to solve sophisticated problems and take care of a variety of options in situations. Requires analytical and quantitative skills with validated experience in developing strategic solutions for a growing matrix-based multi-industry sales environment. Draws upon the analysis of others and makes recommendations that have a direct impact on the company.

Experience with Desktop publishing, Microsoft Office Suite and Online Help. Previous experience with SAP, Trackwise, Regulus, and/or CMMS systems.

Formal training with lean manufacturing, Six Sigma, 5S programs (among others) preferred.

Previous oversight of training and qualification programs within a regulated environment preferred.

Proficient with Quality and Compliance management systems within Healthcare Environment(s).

Quality auditing experience preferred.

Decisions made with in-depth understanding and interpretation of procedures, company policies and business practices to achieve general results. Responsible for setting department goals. Errors in judgment may cause long-term impact to co-workers, supervisor, department and/or line of business.

Applicants must be currently authorized to work in the United States without the need for visa sponsorship now or in the future.

**Equal Employment Opportunity:** CBRE is an equal opportunity employer that values diversity. We have a long-standing commitment to providing equal employment opportunity to all qualified applicants regardless of race, color, religion, national origin, sex, sexual orientation, gender identity, pregnancy, age, citizenship, marital status, disability, veteran status, political belief, or any other basis protected by applicable law.

**Candidate Accommodations:** CBRE values the differences of all current and prospective employees and recognizes how every employee contributes to our company’s success. CBRE provides reasonable accommodations in job application procedures for individuals with disabilities. If you require assistance due to a disability in the application or recruitment process, please submit a request via email at [email protected] or via telephone at +1 866 225 3099 (U.S.) and +1 866 388 4346 (Canada).

**NOTE:** Some, but not all, of our positions may have an additional requirement to comply with COVID-19 health and safety protocols, including COVID-19 vaccination proof and/or rigorous testing. If you have questions about the requirement(s) for this position, please inform your Recruiter.

CBRE, Inc. is an Equal Opportunity and Affirmative Action Employer (Women/Minorities/Persons with Disabilities/US Veterans)

You are a part of a team that is at the core of ensuring that we meet Philips’ promise to comply with trade and transportation regulations.

You will be a key player in securing and optimizing the global goods flow by analysis and supporting compliance within US and international regulations governing the transport of dangerous goods, imports and exports, and supply chain security.

**In this role, you are responsible for:**

- Creating, updating, adhering to and enforcing safety rules, regulations, policies, and procedures.

- Primarily focusing on compliance for Imports, Exports, Dangerous Goods, and Supply Chain Security including day-to-day tasks for specific shipments/workflows as well as strategic planning to improve processes, programs, and systems for improved compliance and business efficiency.

- Providing data and reports regarding the performance of compliance functions within the business unit.

- Reviewing inbound and outbound shipping to ensure import/export compliance, to include export licenses, duty drawback, FDA clearance, harmonized tariff codes, FCC, and other governmental agencies.

- Implementing/maintaining local internal control procedures in our quality management system on export control and ensure compliance based on Export Control Laws and Regulations (written communication skills/technical writing skills is a must). This also includes occasionally hosting individual/classroom training sessions on compliance issues.

- At the direction of the manager/lead taking on day-to-day projects of varying scope and manage them through to the finish.

**You're the right fit if you have a customer-first attitude and the following:**

- Bachelor’s Degree with 5+ years of experience facilitating the import/export of products with US customs and other government agencies.

- Your skills include being a highly intellectual problem solver, self-motivated, and collaborative team player.

- Certifications and/or experience in the shipment of dangerous goods using IATA, IMDG, and 49CFR are preferred.

- Customhouse Broker (CHB) License (aka Licensed Customs Broker ), preferred.

You must be able to successfully perform the following minimum Physical, Cognitive and Environmental job requirements with or without accommodation for this position (https://www.careers.philips.com/na/en/office/remote-sedentary-work-physical,-cognitive-and-environmental-pce-job-requirements) .

**About Philips**

We are a health technology company. We built our entire company around the belief that every human matters, and we won't stop until everybody everywhere has access to the quality healthcare that we all deserve. Do the work of your life to help improve the lives of others.

+ Learn more about our business (https://www.philips.com/a-w/about.html) .

+ Discover our rich and exciting history. (https://www.philips.com/a-w/about/our-history.html)

+ Learn more about our purpose. (https://www.philips.com/a-w/about/environmental-social-governance/our-purpose)

+ Read more about our employee benefits (https://www.careers.philips.com/na/en/best-employee-benefits) .

If you’re interested in this role and have many, but not all, of the experiences needed, we encourage you to apply. You may still be the right candidate for this or other opportunities at Philips. Learn more about our commitment to diversity and inclusion here (https://www.careers.philips.com/global/en/diversity-and-inclusion) .

**Philips Transparency Details**

The pay range for this position is $79,000 to $137,000, annually. The actual base pay offered may vary depending on multiple factors including job-related knowledge/skills, experience, business needs, geographical location, and internal equity.

In addition, other compensation, such as an annual incentive bonus, sales commission or long-term incentives may be offered. Employees are eligible to participate in our comprehensive Philips Total Rewards benefits program, which includes a generous PTO, 401k (up to 7% match), HSA (with company contribution), stock purchase plan, education reimbursement and much more. Details about our benefits can be found here (https://www.careers.philips.com/na/en/best-employee-benefits) .

At Philips, it is not typical for an individual to be hired at or near the top end of the range for their role and compensation decisions are dependent upon the facts and circumstances of each case.

**Additional Information**

**_US work authorization is a precondition of employment. The company will not consider candidates who require sponsorship for a work-authorized visa, now or in the future._**

It is the policy of Philips to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status or a person’s relationship or association with a protected veteran, including spouses and other family members, marital or domestic partner status, or any other category protected by federal, state and/or local laws.

As an equal opportunity employer, Philips is committed to a diverse workforce. In order to ensure reasonable accommodation for individuals protected by Section 503 of the Rehabilitation Act of 1973, the Vietnam Veterans' Readjustment Act of 1974, and Title I of the Americans with Disabilities Act of 1990, applicants that require accommodation in the job application process may contact 888-367-7223, option 5, for assistance.

Equal Employment and Opportunity Employer/Disabled/Veteran