Current jobs related to Compliance Officer - Pittsburgh - Raymond James
-
Compliance and Investigations Manager
2 weeks ago
Pittsburgh, Pennsylvania, United States Office of Federal Contract Compliance Programs Full timeJob SummaryThis position is located in a district office within the Office of Federal Contract Compliance Programs (OFCCP). The purpose of OFCCP is to enforce, for the benefit of job seekers and wage earners, the contractual promise of affirmative action and equal employment opportunity required of those who do business with the Federal Government.Key...
-
Business Compliance Officer
5 days ago
Pittsburgh, Pennsylvania, United States BNY Mellon Full timeJob Title: Business Compliance OfficerAbout BNY MellonBNY Mellon is a leading global financial services company that helps clients manage and service their financial assets. With operations in 35 countries and a presence in over 100 markets, we provide a wide range of financial services to institutions, corporations, and high-net-worth individuals.About the...
-
Business Compliance Officer
4 months ago
Pittsburgh, United States BNY Mellon Full timeOverview of BNY Mellon:BNY Mellon is a global financial services company focused on helping clients manage and service their financial assets, operating in 35 countries and serving more than 100 markets. BNY Mellon is a leading provider of financial services for institutions, corporations, and high-net-worth individuals, providing superior asset management...
-
Business Compliance Officer
1 month ago
Pittsburgh, United States BNY Mellon Full timeOverview of BNY Mellon: BNY Mellon is a global financial services company focused on helping clients manage and service their financial assets, operating in 35 countries and serving more than 100 markets. BNY Mellon is a leading provider of financial services for institutions, corporations, and high-net-worth individuals, providing superior asset management...
-
Regulatory Compliance Officer
3 weeks ago
Pittsburgh, Pennsylvania, United States MMS Group Full timeJob OverviewMMS Group, a leader in property management for over four decades, is dedicated to maintaining high standards across our diverse portfolio, which includes over 40,000 residential units. Our properties range from luxurious high-rises to affordable housing options, catering to a variety of clients including building owners, governmental bodies, and...
-
Safety and Compliance Officer
2 weeks ago
Pittsburgh, Pennsylvania, United States Trinity Health Full timeJob SummaryWe are seeking a highly skilled and experienced Safety Officer to join our team at Trinity Health. As a Safety Officer, you will play a critical role in maintaining a safe and healthy work environment for our employees, patients, and visitors.Key ResponsibilitiesRisk Assessment and Mitigation: Conduct regular risk assessments to identify potential...
-
Quality Assurance Compliance Officer
3 weeks ago
Pittsburgh, Pennsylvania, United States Familylinks Inc Full timeJob OverviewPosition SummaryWe are seeking a committed Quality Compliance Specialist to enhance our Compliance department. This role is crucial for upholding our mission to make a positive difference in the lives of individuals through comprehensive community, behavioral, and social services.As a Quality Compliance Specialist, you will play a key role in...
-
Quality Assurance Compliance Officer
3 weeks ago
Pittsburgh, Pennsylvania, United States Familylinks Inc Full timeJob OverviewPosition SummaryWe are looking for a committed Quality Compliance Specialist to enhance our Compliance department's efforts. This role is crucial for upholding high standards and driving continuous enhancement in our human services.As a Quality Compliance Specialist, you will be integral to our mission of making a positive difference in lives...
-
Consumer Compliance Officer
4 weeks ago
Pittsburgh, United States BNY Mellon Full timeAt BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit...
-
Consumer Compliance Officer
1 month ago
Pittsburgh, United States BNY Mellon Full timeBring your ideas. Make history. BNY offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the “bank of banks” - 97% of the world’s top banks work...
-
Business Compliance Officer
5 days ago
Pittsburgh, PA , USA, United States BNY Mellon Full timeJob Title: Business Compliance OfficerAbout BNY Mellon:BNY Mellon is a leading global financial services company, operating in 35 countries and serving over 100 markets. We provide a range of financial services, including asset management, wealth management, asset servicing, issuer services, clearing services, and treasury services.About the Team:The Risk...
-
Parking Compliance Officer
3 weeks ago
Pittsburgh, Pennsylvania, United States Pittsburgh Parking Authority Full timeJob OverviewPOSITION SUMMARY:This role entails monitoring designated areas to ensure compliance with parking regulations and issuing citations for violations. The position requires working various shifts, including days and evenings, and may involve operating a vehicle for street cleaning enforcement. This position is part of a collective bargaining unit and...
-
Food Safety Compliance Officer
3 weeks ago
Pittsburgh, Pennsylvania, United States Aramark Full timeJob OverviewWe are in search of a dedicated Food Safety Compliance Officer to support district operations. This role will be instrumental in implementing comprehensive safety and risk management programs aimed at safeguarding individuals, property, the environment, and organizational assets. Key ResponsibilitiesThis position will serve as a vital operational...
-
Cash Handling and Compliance Officer
2 weeks ago
Pittsburgh, Pennsylvania, United States Crescent Services Full timeJob OverviewAs a key member of our team at Crescent Services, you will be responsible for ensuring the accuracy and integrity of our financial records. This includes reviewing and verifying financial postings, maintaining accurate records, and preparing reports for management.Key ResponsibilitiesVerify and reconcile financial transactions to ensure accuracy...
-
IT Compliance Specialist
6 days ago
Pittsburgh, Pennsylvania, United States Carnegie Mellon University Full timeJob SummaryWe are seeking a highly skilled IT Compliance Specialist to join our team at Carnegie Mellon University. The successful candidate will be responsible for ensuring that our organization adheres to all relevant IT compliance standards and regulations, with a focus on NIST and Cybersecurity Maturity Model Certification (CMMC).Key...
-
Regulatory and Compliance Specialist
3 months ago
Pittsburgh, United States Compass Business Solutions, Inc. Full timeJob DescriptionJob DescriptionExus Renewables North America is an independent investment and asset management firm focused on the renewable energy sector (wind, solar, and battery storage). Exus combines comprehensive financial, technical, and operational know-how to provide turn-key investment and asset management solutions to its investors and clients. ...
-
Regulatory Compliance Analyst
3 weeks ago
Pittsburgh, Pennsylvania, United States Exus Renewables North America Full timeExus Renewables North America is a leading independent investment and asset management firm dedicated to the renewable energy sector, including wind, solar, and battery storage. Our firm integrates extensive financial, technical, and operational expertise to deliver comprehensive investment and asset management solutions to our clients and investors. We are...
-
IT Compliance Specialist
2 weeks ago
Pittsburgh, Pennsylvania, United States Carnegie Mellon University Full timeAbout the Role:Carnegie Mellon University is seeking a highly skilled and detail-oriented IT Compliance Specialist to join our team. As a key member of our Information Technology Services department, you will be responsible for ensuring that our organization adheres to all relevant IT compliance standards and regulations, with a focus on NIST and...
-
IT Compliance Specialist
3 weeks ago
Pittsburgh, Pennsylvania, United States Carnegie Mellon University Full timeJob SummaryWe are seeking a highly skilled and detail-oriented IT Compliance Specialist to join our team at Carnegie Mellon University. The successful candidate will be responsible for ensuring that our organization adheres to all relevant IT compliance standards and regulations, with a focus on NIST and Cybersecurity Maturity Model Certification (CMMC).Key...
-
Compliance Analyst
3 weeks ago
Pittsburgh, Pennsylvania, United States Compass Business Solutions, Inc. Full timePosition OverviewCompass Business Solutions, Inc. is a leading firm specializing in investment and asset management within the renewable energy sector, focusing on wind, solar, and energy storage solutions. Our organization combines extensive financial, technical, and operational expertise to deliver comprehensive investment and asset management services to...
Compliance Officer
4 months ago
TriState Capital Bank is an independent chartered bank subsidiary of Raymond James. Headquartered in Pittsburgh, PA, TriState Capital Bank provides premier private banking, commercial banking, and treasury management products and services to corporate, institutional, and high-net-worth (HNW) clients.
Job Summary
Under intermittent supervision, uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures are up-to-date and commensurate with the level of risk being mitigated. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with a high level of latitude for un-reviewed actions or decisions. Provides comprehensive solutions to vastly complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve very complex issues.
Essential Duties and Responsibilities
* Oversees the compliance program(s) for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.
* Coaches, trains and mentors less experienced Compliance Specialists.
* May serve as a "team lead" for more junior compliance associates including potentially assisting in the talent selection process. Reviews the policies, procedures, and test findings produced by other compliance associates.
* Directs adjustments to existing programs, policies and procedures, as required.
* Ensures that compliance activities are commensurate with the level of risk being mitigated.
* Provides escalated support and guidance to compliance efforts in assigned business entity.
* Informs Senior Compliance Management about issues that may involve rule violations or potential liability.
* Assists management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.
* Researches compliance issues.
* Develops and maintains compliance policies and procedures.
* Develops compliance training programs, including maintaining training records and coordinating training with other compliance activities.
* Reports compliance program status and activities to compliance and business management.
* Manages external compliance examinations, ensuring that requested information and reports are provided.
* May make risk-based recommendations to Senior Management using extensive industry knowledge to review products, production, and asset value changes across the firm's business lines.
* Routinely interacts with Managing Directors of FID, ICD, and IAD, Chief Executive Officer, Chief Administration Officer, Director of Business Development, Chief Counsel, Chief Information Security and Privacy Officer, Chief Compliance Officer, Associate Compliance Directors, Compliance Managers and associates, Technology Strategy and Alignment department, Supervision & Supervision management, Compliance & Standards Committee Meetings, and FINRA and SIFMA representatives.
* Prepares and delivers written and oral presentations to management.
* Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities
Knowledge of
* Concepts, practices and procedures of securities industry and/or banking compliance reviews.
* Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.
* Fundamental investment concepts, practices and procedures used in the securities industry.
* Principles of banking and finance and securities industry operations.
* Financial markets and products.
Skill in
* Overseeing compliance programs.
* Integrating and aligning compliance processes and procedures with business processes.
* Coordinating complex compliance activities.
* Providing support and guidance for compliance efforts.
* Identifying and implementing controls and quality assurance processes.
* Reviewing materials for compliance with rules and regulations.
* Researching compliance issues.
* Developing compliance training programs.
* Gathering information and preparing oral and written reports.
* Preparing and delivers written and oral presentations.
* Investigating compliance irregularities.
* Making rule-based and analytical decisions.
* Operating standard office equipment and using required software applications.
Ability to
* Provide training, coaching and mentoring for others.
* Partner with other functional areas to accomplish objectives.
* Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
* Attend to detail while maintaining a big picture orientation.
* Gather information, identify linkages and trends and apply findings to assignments.
* Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate.
* Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
* Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
* Work independently as well as collaboratively within a team environment.
* Provide a high level of customer service.
* Establish and maintain effective working relationships at all levels of the organization.
* Maintain confidentiality.
* Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.
Educational/Previous Experience Requirements
Education/Previous Experience
* Bachelor's Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in Compliance and/or the financial services industry.
* ~or~
* Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications
* None Required.
* Appropriate series license(s) for assigned functional area preferred.
* Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.