Operational Compliance Advisor

13 hours ago

Chicago IL United States TransUnion LLC Full time

TransUnion's Job Applicant Privacy Notice

Personal Information We Collect

Your Privacy Choices

What We'll Bring:

At TransUnion, we strive to build an environment where our associates are in the driver's seat of their professional development, while having access to help along the way. We encourage everyone to pursue passions and take ownership of their careers. With the support of colleagues and mentors, our associates are given the tools needed to get where they want to go. Regardless of job titles, our associates have the opportunity to learn new things and be a leader every day.

Come be a part of our team - you'll work with great people, pioneering products and cutting-edge technology.

As Advisor of Operational Compliance, you will be responsible for expanding and maintaining our operational framework for First Line Controls and Monitoring consistent with the TransUnion 3 Lines of Defense Model.

What You'll Bring:

  • 5 plus years of regulatory compliance experience, with hands-on experience supporting and/or leading regulatory/compliance-related objectives.
  • Comprehensive regulatory knowledge in consumer protection laws, including FCRA and UDAAP.
  • Regulatory exam and/or compliance audit work experience.
  • Ability to influence cross-organizational stakeholders with desired outcomes.
  • Proven ability to interact effectively with external business partners and regulatory agencies.
  • Analytical skills; ability to interrogate for data for accuracy, identify insights and trends, and calculate KPIs.
  • Bachelor's degree.

Impact You'll Make:

  • Identifies and prioritizes process and technology-related dependencies to operational compliance gaps and/or new regulatory requirements, as well as the development and implementation of business plans to meet new compliance and/or regulatory requirements impacting Enterprise Operations.
  • Coordinates US and global cross-organizational efforts (e.g., Global Technology, Legal, Compliance, Consumer Operations, etc.) toward operationalizing new compliance and/or regulatory requirements.
  • Participates in the development of regulatory strategies and business operations training plans to ensure full operationalization of new compliance and/or regulatory requirements.
  • Coordinates response(s) to relevant inquiries by regulatory agencies as directed by TransUnion's Chief Compliance Officer and other senior leadership in Legal, Compliance, and Enterprise Operations. This position will catalog, track and monitor all deliverables associated with regulatory inquiries and/or supervisory exams, providing regular updates on progress and constraints/risks.
  • Collaborates with the internal business operations and/or governance representatives for the compliance policy requirements initiated through industry-related initiatives that require the creation and implementation of regulatory-related business requirements and compliance remediation.
  • Participates in regularly scheduled industry-level meetings (as needed).
  • Ensures adequate controls are in place to reduce regulatory risk and assist operational business units with control gap remediation.

This is a hybrid position and involves regular performance of job responsibilities virtually as well as in-person at an assigned TU office location for a minimum of two days a week.

Benefits:

TransUnion provides flexible benefits including flexible time off for exempt associates, paid time off for non-exempt associates, tuition reimbursement, additional (following any short-term disability) 10 weeks of parental leave with gradual return, adoption assistance, fertility coverage, spousal and domestic partner benefits, charity gift matching, employee stock purchase plan, retirement contributions with employer match, organizational growth potential through our online learning platform with guided career tracks, and access to TransUnion's Employee Resource Groups.

We are committed to being a place where diversity is not only present, it is embraced. As an equal opportunity employer, all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, veteran status, genetic information, marital status, citizenship status, sexual orientation, gender identity or any other characteristic protected by law.

TransUnion's Internal Job Title: Advisor, Compliance

#J-18808-Ljbffr

  • Senior Compliance Advisor

    14 hours ago

    Chicago, IL, United States cibc Full time

    We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are...

  • Second Chair Advisor

    4 weeks ago

    Westport, CT, United States Lead Advisor Full time

    Lead Advisor, LLC is a wealth management consulting and search firm. This role is for one of our clients. Visit other wealth management focused roles at jobs.lead-advisor.comOur client, an award-winning wealth management and planning practice in Westport, is hiring a Second Chair Advisor to continue to deliver first class service to their clients.The ideal...

  • Compliance Manager

    2 days ago

    Washington, DC, United States Course Advisor Full time

    What You Need to Know About Compliance Manager Compliance Manager Definition : Plan, direct, or coordinate activities of an organization to ensure compliance with ethical or regulatory standards. Daily Life Of a Compliance Manager Conduct environmental audits to ensure adherence to environmental standards. Collaborate with human resources departments to...

  • Compliance Officer

    2 days ago

    Chicago, IL, United States Jones Lang LaSalle Incorporated Full time

    LaSalle is seeking a highly skilled and motivated person to join our team as Compliance Officer. The ideal candidate will have an in-depth knowledge of broad compliance matters relating to both broker dealer and investment advisory activities, along with a deep understanding of the related regulatory requirements. The successful candidate will work closely...

  • Compliance Officer

    2 days ago

    Nevada, IA, United States Course Advisor Full time

    Compliance Officer Definition : Examine, evaluate, and investigate eligibility for or conformity with laws and regulations governing contract compliance of licenses and permits, and perform other compliance and enforcement inspection and analysis activities not classified elsewhere. Job Opportunities In 2016, there was an estimated number of 288,300 jobs in...

  • Environmental Compliance Inspector

    2 days ago

    , CA, United States Course Advisor Full time

    What Do Environmental Compliance Inspectors Do? Career Description: Inspect and investigate sources of pollution to protect the public and environment and ensure conformance with Federal, State, and local regulations and ordinances. Life As an Environmental Compliance Inspector Perform laboratory tests on samples collected, such as analyzing the content of...

  • VP Compliance Officer

    2 months ago

    chicago, United States Madison-Davis, LLC Full time

    A broker dealer located in Chicago looking to bring on board a “VP Compliance Officer -FCM Advisor” to join their team. This role is currently in a hybrid schedule (3 days in office / week).Responsibilities:Support the Head of FCM Compliance by providing Compliance Advisory services to FCM (futures commission merchant) business line.Complete or assist in...

  • VP Compliance Officer

    2 months ago

    chicago, United States Madison-Davis, LLC Full time

    A broker dealer located in Chicago looking to bring on board a “VP Compliance Officer -FCM Advisor” to join their team. This role is currently in a hybrid schedule (3 days in office / week).Responsibilities:Support the Head of FCM Compliance by providing Compliance Advisory services to FCM (futures commission merchant) business line.Complete or assist in...

  • VP Compliance Officer

    2 months ago

    Chicago, United States Madison-Davis, LLC Full time

    A broker dealer located in Chicago looking to bring on board a “VP Compliance Officer -FCM Advisor” to join their team. This role is currently in a hybrid schedule (3 days in office / week).Responsibilities:Support the Head of FCM Compliance by providing Compliance Advisory services to FCM (futures commission merchant) business line.Complete or assist in...

  • Financial Advisor

    4 weeks ago

    Chicago, IL, United States STRIDE Financial Full time

    Job Title: Licensed Financial AdvisorLocation: Lincoln Park - Chicago, ILCompany: STRIDE InvestmentsAbout Us: STRIDE Investments is a leading private wealth management firm based in Chicago, dedicated to providing exceptional financial planning and wealth management services. Our mission is to help clients achieve their financial goals through...

  • Senior HQ Compliance Advisor

    3 days ago

    Saint Louis, MO, United States Edward Jones Full time

    Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is...

  • Senior HQ Compliance Advisor

    3 days ago

    Saint Louis, MO, United States Edward Jones Full time

    Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is...

  • Senior Compliance Analyst

    2 days ago

    Chicago, IL, United States Driehaus Capital Management LLC Full time

    Driehaus Capital Management LLC is a privately held investment management firm that manages global, emerging markets, US growth equity and alternative investment strategies. The firm has a diverse institutional client base comprised of corporate and public pensions, endowments, foundations, sub-advisory, family offices, wealth managers and financial...

  • Chief Compliance Officer, Registered Investment Advisor

    2 days ago

    New York, NY, United States SGS Société Générale de Surveillance SA Full time

    Responsibilities Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) affiliates of Société Générale in the Americas to ensure compliance with the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related rules and regulations....

  • Operations Associate

    4 weeks ago

    Chicago, IL, United States Arete Wealth Full time

    The CompanyThrough its full-service broker-dealer, registered investment advisor, and insurance units, Arete Wealth Inc. has offered comprehensive and sophisticated wealth management services for investors, clients, and partners since 2007. The Nashville-based firm offers high-net-worth investors access to a unique suite of alternative investments in...

  • Executive Director of Compliance Review

    11 hours ago

    Chicago, United States Vigilant Wealth Management Full time

    200 W Madison St, Chicago, IL 60606, USA Job Description Posted Friday, November 8, 2024 at 6:00 AM Our Story Founded in 2008, Hightower is a wealth management firm that provides investment, financial and retirement planning services to individuals, foundations and family offices, as well as 401(k) consulting and cash management services to corporations....

  • Chief Compliance Officer, Registered Investment Advisor

    12 hours ago

    New York, NY, United States SGS Société Générale de Surveillance SA Full time

    Responsibilities: Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) affiliates of Société Générale in the Americas to ensure compliance with the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, and...

  • Physician Advisor

    14 hours ago

    Chicago, IL, United States Prime Healthcare Full time

    Overview Company is an equal employment opportunity employer. Company prohibits discrimination against any applicant or employee based on race, color, sex, sexual orientation, gender identity, religion, national origin, age (subject to applicable law), disability, military status, genetic information or any other basis protected by applicable federal,...

  • Senior Compliance Specialist

    2 days ago

    Chicago, United States HighTower Full time

    Our Story Founded in 2008, Hightower is a wealth management firm that provides investment, financial and retirement planning services to individuals, foundations and family offices, as well as 401(k) consulting and cash management services to corporations. Hightower's capital solutions, operational support services, size and scale empower its vibrant...

  • Chief Compliance Officer, Registered Investment Advisor

    12 hours ago

    New York, NY, United States SGS Société Générale de Surveillance SA Full time

    Responsibilities Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) affiliates of Société Générale in the Americas to ensure compliance with the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related rules and regulations....