regulatory compliance manager

Wells Fargo

<div><h2 class="jobSectionHeader">About this role:</h2>
Wells Fargo is seeking a Systems Operations Senior Manager to provide leadership for enterprise messaging platforms subject to financial services supervision, record retention, and audit requirements. This role is accountable for the operational integrity, regulatory compliance, resilience, and strategic evolution of regulated communication platforms supporting advisor, employee, and corporate populations.
The role balances operational excellence, regulatory alignment, and technology modernization, ensuring platforms remain continuously audit‑ready while improving efficiency, scalability, resiliency, and cost through disciplined operations and intelligent automation.<h2 class="jobSectionHeader">
In this role, you will:</h2><ul><li>
Lead the day‑to‑day operations and regulatory readiness of enterprise messaging platforms subject to supervision, retention, and audit requirements.</li><li>
Ensure consistent execution of retention, legal hold, supervision, and evidentiary controls across regulated messaging channels.</li><li>
Partner with Risk, Compliance, Legal, and Records Management to implement and operate regulatory and governance controls.</li><li>
Serve as the senior operations lead during audits, examinations, regulatory events, and platform incidents.</li><li>
Drive operational efficiency through automation, analytics, and workflow optimization while maintaining regulatory confidence.</li><li>
Oversee system reliability, including incident response, recovery, monitoring, and lifecycle management for high‑impact platforms.</li><li>
Lead platform modernization, migrations, and change initiatives with strong change control and testing discipline.</li><li>
Manage and develop managers and senior technologists across operations, engineering, and production support.</li><li>
Establish operational standards, runbooks, escalation processes, and performance thresholds.</li><li>
Promote a culture of accountability, documentation rigor, and continuous improvement.</li></ul><h2 class="jobSectionHeader">
Required Qualifications:</h2><ul><li>
7+ years of Systems Engineering and Technology Architecture experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education</li><li><div>
5+ years of experience with operational ownership of high‑availability production systems, including incident response, disaster recovery, and risk management</div></li><li>
3+ years of experience partnering with Risk, Compliance, Legal, or Audit functions to implement and operate regulatory or governance controls</li><li>
3+ years of management or leadership experience</li></ul><h2 class="jobSectionHeader">
Desired Qualifications:</h2><ul><li>
Demonstrated ability to translate regulatory and policy requirements into standardized, repeatable operational processes</li><li>
Experience operating or supervising regulated messaging platforms, such as email, instant messaging, or collaboration tools</li><li>
Experience applying automation, analytics, or intelligent workflow solutions to supervised or high‑risk operational processes</li><li>
Demonstrated success leading platform modernization, migration, or consolidation initiatives in regulated environments</li><li>
Experience managing vendor solutions and third‑party relationships supporting regulated technology platforms</li><li>
Ability to influence across Technology, Risk, Compliance, and Business stakeholders at senior levels</li></ul><h2 class="jobSectionHeader">
Job Expectations:</h2><ul><li>
Must be able to work onsite in one of the posted locations</li><li>
Sponsorship is not available for this position</li></ul>
Posting End Date:
22 Jun 2026<ul><li>Job posting may come down early due to volume of applicants.</li></ul>
We Value Equal Opportunity
Wells Fargo is an equal opportunity employer. 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.
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&rsquo;s risk appetite and all risk and compliance program requirements.
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.
Wells Fargo Recruitment and Hiring Requirements:
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.</div>

Systems Operations Senior Manager - Regulated Messaging Platforms

dLocal

<div>
 
 Why should you join dLocal?
 
 
 
 dLocal enables the biggest companies in the world to collect payments in 40 countries in emerging markets. Global brands rely on us to increase conversion rates and simplify payment expansion effortlessly. As both a payments processor and a merchant of record where we operate, we make it possible for our merchants to make inroads into the world&rsquo;s fastest-growing, emerging markets.
 
 
 By joining us you will be a part of an amazing global team that makes it all happen. Being a part of dLocal means working with 1000+ teammates from 30+ different nationalities and developing an international career that impacts millions of people&rsquo;s daily lives. We are builders, we never run from a challenge, we are customer-centric, and if this sounds like you, we know you will thrive in our team.
 
 
 
 What will I be doing?
 
 
 
 <ul>
 <li>
 Support license and registration applications across MENA jurisdictions (strategy, documentation, regulatory interactions) through to approval
 </li>
 <li>
 Maintain and update the licensing tracker of the application status, timelines
 </li>
 <li>
 Coordinate with external regulatory advisors and local law firms on license applications, structural questions, and regulatory perimeter assessments
 </li>
 <li>
 Contribute to dLocal's long-term licensing strategy for the region
 </li>
 <li>
 Maintain the regulatory framework by country and entity for day-to-day use: what licenses and permissions exist, what activities they authorise, applicable conditions, limits, and reporting obligations
 </li>
 <li>
 Ensure quality, accuracy, and timely delivery of regulatory reports and compliance submissions for each licensed MENA entity
 </li>
 <li>
 Identify and assess how regulatory requirements apply to new business needs (new flows, use cases, products), and design compliant operating models
 </li>
 <li>
 Provide expert advice to internal teams
 </li>
 <li>
 Support merchant and partner onboarding from a regulatory standpoint
 </li>
 <li>
 Monitor regulatory developments and trends across the region
 
 
 
 </li>
 </ul>
 
 What skills do I need?
 
 
 
 <ul>
 <li>
 Advanced degree in Law, Compliance, Finance, or a comparable field
 </li>
 <li>
 5+ years of experience in a regulatory affairs, compliance, or legal advisory role &mdash; ideally within a fintech, payments company, financial institution, or law firm operating in the MENA region
 </li>
 <li>
 Deep knowledge of financial services regulation across MENA markets, including payment institution licensing frameworks, AML/CFT requirements, and data privacy obligations
 </li>
 <li>
 Fluency in Arabic and English (written and spoken) is mandatory. French is a plus for Morocco-based candidates
 </li>
 <li>
 Proven ability to operate across both licensing (forward-looking, strategic) and compliance/assurance (operational, day-to-day) functions
 </li>
 <li>
 Experience managing regulatory relationships and submissions directly with MENA financial authorities
 </li>
 <li>
 Highly analytical, structured, and detail-oriented &mdash; able to translate complex regulatory requirements into practical business guidance
 </li>
 <li>
 Autonomous and hands-on, comfortable working in a fast-paced, international environment with multiple workstreams in parallel
 </li>
 <li>
 Professional and collaborative, with strong stakeholder management skills across diverse internal teams
 
 
 
 </li>
 </ul>
 
 What do we offer?
 
 
 
 Besides the tailored benefits we have for each country, dLocal will help you thrive and go that extra mile by offering you:
 
 
 <ul>
 <li>
 Flexibility: we have flexible schedules and we are driven by performance
 </li>
 <li>
 Fintech industry: work in a dynamic and ever-evolving environment, with plenty to build and boost your creativity
 </li>
 <li>
 Referral bonus program: our internal talents are the best recruiters - refer someone ideal for a role and get rewarded
 </li>
 <li>
 Social budget: you'll get a monthly budget to chill out with your team (in person or remotely) and deepen your connections!
 </li>
 <li>
 dLocal Houses: want to rent a house to spend one week anywhere in the world coworking with your team? We&rsquo;ve got your back!
 
 
 
 </li>
 </ul>
 
 Flexibility in how you work:
 
 We focus on impact and productivity over fixed hours. This means our teams have flexible schedules and, depending on your role and location, you will combine self‑managed focus time with moments of in‑person connection in our collaboration hubs.
 
 
 
 What happens after you apply?
 
 
 
 Our Talent Acquisition team is invested in creating the best candidate experience possible, so don&rsquo;t worry, you will definitely hear from us. We will review your CV and keep you posted by email at every step of the process!
 
 
 Also, you can check out our webpage, Linkedin and Youtube for more about dLocal!
 
 
 We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.
</div>

Regulatory Affairs Officer – MENA

talabat

<div>
 Since launching in Kuwait in 2004, talabat, the leading on-demand food and Q-commerce app for everyday deliveries, has been offering convenience and reliability to its customers. talabat&rsquo;s local roots run deep, offering a real understanding of the needs of the communities we serve in eight countries across the region.
 
 
 We harness innovative technology and knowledge to simplify everyday life for our customers, optimize operations for our restaurants and local shops, and provide our riders with reliable earning opportunities daily.
 
 
 Here at talabat, we are building a high performance culture through engaged workforce and growing talent density. We're all about keeping it real and making a difference. Our 6,000+ strong talabaty are on an awesome mission to spread positive vibes. We are proud to be a multi great place to work award winner.
 
 
 
 Job Description
 
 
 
 Government relations at talabat isn't paperwork in a back office &mdash; it's a strategic function that keeps one of the UAE's largest delivery platforms operating smoothly. You'll be the person who ensures our licences are current, our compliance is airtight, and our relationships with key government authorities are strong. When a regulatory issue hits, you're the one who resolves it. When we expand to new locations, you're the one who clears the path.
 
 
 
 What You'll Do
 
 
 
 
 Government Liaison and Relationship Management
 
 
 
 <ul>
 <li>
 Serve as talabat's primary point of contact with UAE government authorities including DED, Municipality, Ministry of Commerce, MOH, Ministry of Interior, and Consumer Protection Authority
 </li>
 <li>
 Build and maintain direct relationships with key officials across these bodies
 </li>
 <li>
 Represent talabat at government meetings and hearings, including Ministry of Interior matters related to driver operations
 
 
 </li>
 </ul>
 
 Licensing, Compliance and Regulatory
 
 
 
 <ul>
 <li>
 Own the end-to-end licensing process for new branches and activities &mdash; from commercial registry updates through municipal and civil defense clearances
 </li>
 <li>
 Manage the renewal cycle for all trade licences, chamber of commerce registrations, health certificates, and other official documents
 </li>
 <li>
 Track and resolve violations from traffic, municipality, and food safety authorities before they escalate
 </li>
 <li>
 Keep the legal team informed of procedural and regulatory changes that affect operations
 
 
 </li>
 </ul>
 
 Cross-functional Support
 
 
 
 <ul>
 <li>
 Coordinate with marketing on campaign licensing requirements and with procurement on customs clearance
 </li>
 <li>
 Process contract attestations with the Ministry of Justice and embassies
 </li>
 <li>
 Handle CSR initiative approvals and trademark registration/renewal
 </li>
 <li>
 Manage correspondence with authorities regarding driver and customer information inquiries
 
 
 </li>
 </ul>
 
 What Success Looks Like
 
 
 
 
 First 90 days:
 
 You've mapped every active licence, renewal deadline, and pending government matter. You own the full compliance calendar and nothing is at risk of lapsing. You've introduced yourself to key contacts at our primary government authorities.
 
 
 
 6 months:
 
 You've built direct relationships that mean you can pick up the phone and resolve issues faster. You've identified at least 2&ndash;3 process improvements &mdash; whether that's better use of UAE digital government platforms, earlier escalation patterns, or more efficient coordination with internal teams.
 
 
 
 12 months:
 
 You're a trusted strategic partner to the business. Legal, operations, and leadership come to you proactively on regulatory matters. Compliance incidents have decreased. Licensing for new locations is faster and smoother.
 
 
 
 Qualifications
 
 
 
 <ul>
 <li>
 Deep UAE government relations experience &mdash; you know how DED, Municipality, MOH, and Ministry of Commerce work from the inside. You have existing relationships with government officials and understand how to navigate bureaucratic processes efficiently
 </li>
 <li>
 Fluent Arabic and English &mdash; spoken and written. You'll be drafting correspondence, attending hearings, and building relationships in both languages
 </li>
 <li>
 5+ years in government relations, public affairs, or regulatory compliance in the UAE &mdash; this is not a role for someone learning the landscape
 </li>
 <li>
 Track record of managing multi-authority compliance &mdash; you've juggled licensing, renewals, and regulatory matters across several government bodies simultaneously
 </li>
 <li>
 Experience resolving government violations or disputes &mdash; you've handled escalations and know how to get outcomes
 
 
 </li>
 </ul>
 
 Bonus if you have
 
 
 
 <ul>
 <li>
 Experience in government relations for a technology, logistics, or delivery company
 </li>
 <li>
 Familiarity with UAE e-government platforms and digital services
 </li>
 <li>
 Experience setting up new branch licences in multiple Emirates
 </li>
 <li>
 Bachelor's degree in law, public administration, political science, or related field
 </li>
 <li>
 Knowledge of trademark registration processes in the UAE
 
 
 </li>
 </ul>
 
 You'll thrive here if you...
 
 
 
 <ul>
 <li>
 Enjoy building long-term relationships and navigating complex stakeholder environments
 </li>
 <li>
 Are energised by working in a fast-paced company where things move quickly and priorities shift
 </li>
 <li>
 Take ownership &mdash; you don't wait to be told when a licence is expiring
 </li>
 <li>
 Are comfortable operating independently while keeping the right people informed
 
 
 </li>
 </ul>
 
 This might not be for you if...
 
 
 
 <ul>
 <li>
 You prefer a slow, predictable work environment with one task at a time
 </li>
 <li>
 You need detailed instructions for every situation &mdash; this role requires judgment and initiative
 </li>
 <li>
 You're uncomfortable representing a company in formal government settings
 
 
 </li>
 </ul>
 
 Additional Information
 
 
 
 
 As part of the talabat team:
 
 
 
 <ul>
 <li>
 Competitive compensation and benefits package
 </li>
 <li>
 Sponsored healthcare and gym membership
 </li>
 <li>
 Monthly talabat app credits
 </li>
 <li>
 Parental leave
 </li>
 <li>
 The opportunity to shape government relations at one of the region's most recognised tech brands
 </li>
 <li>
 A diverse, cross-cultural team environment
 </li>
 <li>
 Clear path to grow into a Head of Government Relations or regional GR role
 </li>
 </ul>
</div>

Sr. Government Relations Officer

Planned Parenthood

<div>About Us: Planned Parenthood is committed to creating a dynamic work environment that values diversity, equity, inclusion, respect, integrity, customer focus, and innovation. We are committed to creating a welcoming space for all people on our staff, in our health centers, and in our community. We do this by tending to the team, respecting and honoring all people, jumping in, trying and learning, caring for our business, and returning to our mission.

Abortion Care: At PPRM, we all work in abortion care. This role supports abortion care through direct clinical triage, patient education, and follow-up, ensuring timely and empathetic support to those navigating abortion services.

Our Ideal Candidate:
<ul><li>2&ndash;4 years of administrative, or compliance support experience. Prior legal assistant experience is strongly preferred</li>
<li>Strong organization and communication skills; ability to multi-task</li>
<li>Ability to manage sensitive information with prioritization with strict deadlines</li>
<li>Proficiency with common workplace technologies, including Microsoft Outlook, Excel, and Adobe applications</li>
</ul>
What You'll Do:

Policy &amp; Document Management
<ul>
<li>Maintain the non‑clinical and Policy Library, including version control, approvals, review cycles, and publication</li>
<li>Governing document maintenance (C3 and C4)</li>
<li>Coordinate regular policy reviews and track updates and approvals</li>
<li>Ensure policies, procedures, and forms are accurately labeled, stored, and accessible</li>
<li>Maintain documentation inventories and crosswalks as needed for audits and accreditation</li>
</ul>
 Audit Support
<ul>
<li>Maintain accreditation and audit evidence libraries and document trackers</li>
<li>Coordinate document collection, formatting, and submission preparation for audits including tracking of high-risk clinical audit completion and follow up</li>
<li>Support compilation of workplans, attestations, corrective action documentation, and supporting materials</li>
<li>Complete non-clinical internal audits as necessary
</li><li>Track deadlines, follow‑ups, and reviewer requests</li>
</ul>
Compliance, Legal, Operations &amp; Tracking
<ul>
<li>Maintain compliance calendars, logs, trackers, and dashboards as assigned</li>
<li>Support committee operations (including CRQM), such as agendas, materials, and minutes</li>
<li>Support intake and routing of compliance‑related documentation and requests</li>
<li>Triage the legal inbox and legal requests</li>
<li>Track and manage statutory and regulatory requirement for PPRM&rsquo;s owned and leased properties</li>
<li>Assist with compliance data collection and reporting initiatives under leadership direction</li>
</ul>
Administrative &amp; Program Support
<ul>
<li>Provide administrative and operational support to Compliance &amp; Risk leadership and managers including tracking CLIA proficiency testing and incident management tracking
</li><li>Provide Administrative and operational support to the General Counsel</li>
<li>Assist with document formatting, proofreading, and standardization</li>
<li>Support compliance training, logistics, and documentation tracking as needed</li>
<li>Assist with Medical Records requests when the Compliance and Medical Records Specialist require additional support and provide coverage for that role when they are out of the office</li>
</ul>
Legal Intake &amp; Administrative Triage
<ul>
<li>Track and coordinate legal requests once matters are identified as Legal‑owned, separate from Compliance‑owned items.</li>
<li>Maintain a Legal request log aligned with the standardized Legal intake and triage workflow</li>
<li>Surface urgent or externally driven matters (deadlines, subpoenas, claims, Board visibility) to the General Counsel for awareness&mdash;without assessing legal risk or merit.</li>
</ul>
Legal&ndash;Compliance&ndash;Finance&ndash;Risk Handoffs
<ul>
<li>Manage administrative handoffs when matters transition between Compliance, Risk, Finance, and Legal (e.g., investigations, regulatory issues, contracts with elevated risk).</li>
<li>Ensure continuity of documentation, timelines, and assigned owners when escalation occurs.</li>
<li>Support standing Legal&ndash;Compliance&ndash;CFAO coordination meetings administratively (agenda prep, action tracking). or is out of office</li>
<li>Maintain licensing and supporting documentation for clinical regulatory bodies including CLIA and Boards of Pharmacy, under direction of leadership</li>
</ul>
Project &amp; Initiative Support
<ul>
<li>Provide administrative support for strategic initiatives, workplan system implementations and special projects</li>
<li>Assist with policy rollout and change management, including scheduling training, communicating updates, and tracking adoption</li>
<li>Compile and organize department updates, KPI dashboards, and briefings</li>
<li>Assist in the preparation of board and leadership meeting materials related to risk, compliance, legal, operations</li>
</ul>
Travel &amp; Expense Management
<ul>
<li>Coordinate travel, lodging, and logistics</li>
<li>Reconcile expenses and ensure alignment with organizational policies</li>
</ul>
Other Duties as Assigned
<ul>
<li>Provide additional operational or administrative support to advance departmental priorities</li>
</ul>
<div>Salary Range:$25.28 to $30.19 
<ul><li>Although our full pay range is included above, the budgeted hiring range for new hires is $25.28 to $27.74 and based on related professional experience.</li></ul></div>
<div>
Schedule: Full-time; Exempt; Benefits Eligible</div>
<ul><li>Monday - Friday: 9am - 5pm; Hybrid opportunity with ability to work onsite 20% of the time.</li>
</ul>
Benefits:
<ul>
<li>Medical/Vision/Dental, with extended mental health coverage.</li>
<li>Accrued PTO and Sick Time</li>
<li>401k/Safe Harbor Contributions (PPRM contributes up to 3% of your pay to your 401k after 1 year of service).</li>
<li>Employee Loan Program</li>
<li>Employee Assistance Program and WorkLife Partnership.</li>
<li>Paid Family Leave/Paid Parental Leave and MORE!</li>
</ul>
To learn more about our amazing benefits visit us HERE. (https://www.plannedparenthood.org/planned-parenthood-rocky-mountains/careers)

COVID-19 Protocol: Vaccination against COVID-19 will no longer be a condition of employment. However, all Health Center/Patient or Community Facing Employees, must have the COVID vaccine or wear a mask at all times beginning November 1st. Proof must be uploaded upon hire. You will upload a picture or pdf of your vaccination card(s) prior to your start date.
Flu Protocol: All employees working directly with patients, the community or working in a health center will be required to have the flu shot or wear a mask during patient/community contact or while in the health center from November 1 &ndash; April 30 each year (Flu Season). Proof must be uploaded upon hire. You will upload a picture or pdf of your vaccination card(s) prior to your start date.
Background Check Required: Planned Parenthood of the Rocky Mountains is an equal employment opportunity employer and is committed to maintaining a non-discriminatory work environment, and does not discriminate against any employee or applicant for employment on the basis of race, color, religion, sex, national origin, age, disability, veteran status, marital status, sexual orientation, gender identity, or any other characteristic protected by applicable law.<h4 class="jobSectionHeader">
Education</h4>
Required<ul><li>
High School or better</li></ul>
Equal Opportunity Employer 
This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights (https://www.eeoc.gov/poster) notice from the Department of Labor.</div>

Compliance, Risk & Quality Management (CRQM) & Legal Specialist

Dan - PIF Company

<div>
 
 We are hiring a
 
 Reporting &amp; Compliance Manager
 
 to join our team in Riyadh.
 
 
 We are looking for a strong professional with solid experience in reporting governance, compliance management, and
 
 project controls within large-scale hospitality
 
 , resort, or
 
 real estate
 
 developments.
 
 
 
 
 
 
 Key Requirements:
 
 
 
 
 
 
 &bull; 10+ years of experience
 
 
 &bull; Strong background in reporting, governance, compliance, or project controls
 
 
 &bull; Experience in
 
 hospitality
 
 ,
 
 resorts
 
 , or
 
 mega
 
 developments
 
 
 &bull;
 
 Owner-side
 
 ,
 
 PMC
 
 , or client representative experience is highly preferred
 
 
 &bull; Experience preparing executive and board-level reports
 
 
 &bull; Strong knowledge in
 
 KPI
 
 reporting, dashboards, compliance registers, and audit support
 
 
 &bull; Experience coordinating with Finance, Legal, Projects, and Operations teams
 
 
 &bull; Familiarity with
 
 Aconex
 
 ,
 
 ACC
 
 ,
 
 Asite
 
 ,
 
 SharePoint
 
 , or similar platforms
 
 
 
 
 
 
 Job Requirements:
 
 
 
 
 
 <ul>
 <li>
 Bachelor&rsquo;s degree in engineering, Construction Management, Finance, Business Administration, or equivalent.
 </li>
 <li>
 Master&rsquo;s degree in project management, Business Administration, or similar is preferred.
 </li>
 </ul>
 
 
 
 
 If your experience matches the above requirements, we would love to hear from you.
 
</div>

Reporting & Compliance Manager

Ameriprise Financial

<div>About Our Company 
We&rsquo;re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses &ndash; Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.
Job Description
The Annuity Supervision Team plays a vital role in supporting advisors and clients by providing oversight of annuity and insurance business activities in a dynamic, fast-paced environment. This position offers the opportunity to apply analytical expertise and regulatory knowledge to help ensure high-quality outcomes for clients while supporting advisor success. 
 
In this role, Sales Supervision Managers (SSMs) conduct supervisory reviews of advisor interactions with clients and prospects, including recommendations and sales of annuity and insurance products. SSMs bring strong subject matter expertise to evaluate suitability, mitigate risk, and promote sound business practices. The role involves regular collaboration with advisors and field leaders, clear and professional communication, and the ability to synthesize information from multiple systems to make informed decisions. 
 
Successful candidates are highly analytical, collaborative, and adaptable, with a strong interest in staying current on evolving regulatory and industry trends.
Key Responsibilities<ul><li>
Conduct supervisory analysis using tools and other resources to identify and assess risk in annuity and insurance business.</li><li>
Determine approval or rejection of new applications.</li><li>
Communicate with advisors and field leaders as part of the process to complete supervisory reviews of business activity.</li><li>
Improve advisor policy adherence through coaching and training.</li><li>
Communicate with clients, when needed, regarding activity to determine suitability.</li><li>
Serve as subject matter expert providing information and/or research to a range of business partners.</li><li>
Support the team&rsquo;s efforts to innovate and improve the effectiveness and efficiency of processes.</li><li>
Keep updated on changes in the regulatory environment and competitive landscape, including new regulations and product offerings.</li><li>
Participate in maintaining the overall health of the team, including establishing individual development goals and engagement in team activities.</li><li>
Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters.</li></ul> 
Required Qualifications<ul><li>
 Bachelor's degree or equivalent, and 5+ years minimum relevant work experience</li><li>
 Relevant experience includes financial services, customer service, communications, education or other where you have built the skills needed to be successful in this role.</li><li>
Active SIE (Securities Industry Essentials)</li><li>
Ability to obtain Series 7 within 120 days and Series 24 within 90 additional days required; additional licenses or the ability to obtain may be required depending on function.</li></ul> 
Preferred Qualifications<ul><li>
Problem solving and analytical skills; ability to effectively analyze complex issues.</li><li>
Ability to consistently exercise good judgment when making decisions on complex matters that don't have clear answers.</li><li>
Strong written and verbal communication skills including ability to deliver unfavorable messages.</li><li>
Ability to consistently influence positive behavior through coaching and education.</li><li>
Ability to document activity in a fact-based and comprehensive manner.</li><li>
Ability to work effectively and efficiently both individually and in a team environment.</li><li>
Ability to manage workload, across multiple tools and processes, including prioritization and monitoring of pending cases.</li><li>
Ability to work effectively and efficiently both individually and in a team environment. Ability to manage workload, across multiple tools and processes, including prioritization and monitoring of pending cases.</li><li>
Technical product knowledge related to annuities</li><li>
Strong knowledge of FINRA, SEC and other regulatory bodies' rules relevant to the applicable product lines</li></ul>
Visa Sponsorship
Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).
In-Office Collaboration
We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders &mdash; clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
This position is based in Minneapolis, MN; Charlotte, NC; Las Vegas, NV; or Troy, MI, with an expectation of in-office presence. A limited exception may be considered for highly qualified candidates to be eligible for remote designation. This exception is narrowly defined based on specific business needs, and no other remote arrangements will be approved. Candidates must reside within approved locations to be eligible.
Base Pay Salary
The estimated base salary for this role is $87,400-$120,200 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.<div><div><div><div><div><div><div>
Full-Time/Part-Time</div></div></div></div></div></div></div>
Full time<div><div><div><div><div><div><div>
Exempt/Non-Exempt</div></div></div></div></div></div></div>
Exempt<div><div><div><div><div><div><div>
Job Family Group</div></div></div></div></div></div></div>
Legal Affairs<div><div><div><div><div><div><div>
Line of Business
</div></div></div></div></div></div></div>AWMBD Advice and Wealth Mgmt and Business Development
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law.
We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.</div>

Sales Supervision Mgr

First Abu Dhabi Bank (FAB)

<div>
 
 
 JOB PURPOSE:
 
 
 
 The
 
 
 Manager &ndash; Information Security will be responsible for managing FAB Kuwait&rsquo;s Information Security, Business Continuity and Data Privacy Program. He/She serves as the process owner of the appropriate second-line functional activities related to confidentiality, integrity, availability of Information assets in addition to Data Privacy and Buiness continuity as well third party risk management and physical security in compliance with regulatory requirements.
 
 
 
 
 
 The role will report directly to the Head of Risk &ndash; Kuwait and functionally to the Head of International Information Security at the Group, and shall be responsible to plan, implement, monitor and review the information security program for FAB Kuwait in consultation with Group Information Security Office &ndash; Head office team. The Manager &ndash; Information Security shall ensure the information security program, Data Privacy program and Business Continuity Management Program is in alignment with the regulatory, legal and statutory requirements of FAB Kuwait and the business strategy. The Manager &ndash; Information Security role will be operating out of the FAB Kuwait branch.
 
 
 
 
 
 
 KEY ACCOUNTABILITIES:
 
 
 <ul>
 <li>
 Review and Maintain Information Security, Buisness Contnuity and Data Privacy Policies, Standards, and Procedures for FAB Kuwait.
 </li>
 <li>
 Participate in discussions and coordinate activities between local business units, support functions, Compliance Team, IT and GSO &ndash; HO for information security and Data Privacy, related planning, implementations and review.
 </li>
 <li>
 Ensure compliance as per regulatory requirements (all Information Security / Bsiness Continuity/ Personal Data Protection specific regulations applicabe to FAB Kuwait / Third party risk management / Physical security .).
 </li>
 <li>
 Provide regular reporting on the status of information security program, initiatives, security &amp; technology risks and relevant incidents to the executive management.
 </li>
 <li>
 Laise with external agencies such as regulatory/advManager - Information Securityry/law enforcement bodies, as necessary, to ensure that the FAB Kuwait maintains a strong security posture and is kept well abreast of relevant threats identified by these agencies.
 </li>
 <li>
 Review new regulatory legislations; promptly communicate all regulatory notices/circulars to all concerned areas, provide interpretations if necessary; develop/monitor action plans towards its implementation.
 </li>
 <li>
 Assist Head office during Regulatory Examinations; ensure implementation/regularization of observations linked to compliance while meeting the deadline(s).
 </li>
 <li>
 Review Technology Risk Assessments for IT Projects, RCSA , Third party and Facility Risk assessments.
 </li>
 <li>
 Assist and support for Internal and External Audits. Monitor and track all open infosec issues with IT and concerned stakeholders.
 </li>
 <li>
 Oversee the tracking and closure of Security, BCM &amp; Privacy related Audit findings of FAB Kuwait.
 </li>
 <li>
 Govern the security awareness program for FAB Kuwait staff and customers.
 </li>
 <li>
 Provide support to FAB CSIRT and Group Data privacy for information security incident response and personal data breach handling.
 </li>
 <li>
 Provide SLOD oversight and support the business unit on the implementation of business continuity program in line with local regulatory requirements and Group BCM framework practices and RACI.
 </li>
 <li>
 Coordination with Business units/Fraud Risk / GSO for digital forensic investigation.
 </li>
 <li>
 Review and assess the regulatory circulars/notices, discuss with GSO-HO and enforce security controls as applicable.
 </li>
 <li>
 Assist Group Information Security Office&ndash; Head Office team in delivery of information security services to the branch such as vulnerability assessment, penetration testing, SOC monitoring etc.
 </li>
 <li>
 Review Management Dashboards/Security MIS related to Patching, VA, PT, Baselines and end point security controls and highlight risks to the branch executive management.
 </li>
 <li>
 Assess and Review Change Requests and Security Exceptions for FAB Kuwait.
 </li>
 <li>
 Review BRDs, Solution Design, Product Papers from Information Security, Data Privacy and Busines Continuity perspective and any other requirements for FAB Kuwait business units.
 </li>
 <li>
 Review and track compliance for Data Privacy and Protection controls.
 </li>
 <li>
 Review KPI and KRI for country information security processes.
 </li>
 </ul>
 
 
 
 
 
 QUALIFICATIONS &amp; EXPERIENCE:
 
 
 <ul>
 <li>
 Information Security or IT Security or IS Audit background.
 </li>
 <li>
 Must be having a minimum 5-7 years of Information Security Experience.
 </li>
 <li>
 Expert knowledge of Information Security Domains and should be certified (CISA, CISSP or CISM or any other relevant security certification).
 </li>
 <li>
 Experience in a similar type of role in a multinational business and dealing with regulatory authorities, governments and industry bodies.
 </li>
 <li>
 Experience in managing security compliance teams.
 </li>
 <li>
 Knowledge of CBK regulatios on Cyber security, Business continuity, &amp; local privacy regulations.
 </li>
 <li>
 Ability to comply with Data Privacy Policy / procedures, draft / update local Data Privacy Polcies. Review local Business initiatives and SOPs where required, for compliance with Data Privacy Compliance requirements in co-ordination with H.O. Teams.
 </li>
 <li>
 Ability to make good judgments regarding security risk and to prioritize resources and activity around managing those risks.
 </li>
 <li>
 Able to conduct the role independently and with integrity.
 </li>
 <li>
 Ability to plan, organize and prioritize tasks and projects.
 </li>
 <li>
 Good personal communication skills capable of dealing with wide range of stakeholders, including senior management.
 </li>
 <li>
 Fluent (spoken and written) in English, Arabic.
 </li>
 </ul>
</div>

Manager – Information Security - Kuwait

Search 9609+ Regulatory compliance manager jobs near you this June. New roles added regularly across leading industries. Apply today.