senior compliance analyst

Newrez

<div><div>Exceed the expectations of our residential mortgage borrowers &amp; business partners through superior service, simple processes, and effective communications.</div><div><br>
We deliver on this mission by empowering our employees by encouraging and recognizing superior performance and innovative solutions, by promoting teamwork and divisional cooperation.</div><div></div><div><div><br>
POSITION SUMMARY:</div></div><div>
The Senior Compliance Analyst &ndash; Originations supports the Company&rsquo;s Compliance Management Plan through compliance testing, reporting, monitoring, and partnership with business lines to ensure adherence to federal, state, and local laws and regulations. The role contributes to the development, enhancement, and implementation of policies, procedures, and technology solutions that maintain a strong compliance environment.</div><div></div><div><div>
DESCRIPTION:</div><div>
Essential Functions, Duties, and Responsibilities</div></div><ul><li>
Support all aspects of the Company&rsquo;s compliance initiatives, including the development of policies, procedures, test plans, reports, and technology requirements to meet regulatory obligations under RESPA, TILA, ECOA, FCRA, GLBA, HMDA, SAFE Act, and applicable state consumer protection and lending laws.</li><li>
Assist in preparing and executing compliance risk assessments and developing compliance test plans.</li><li>
Provide daily compliance support to business units by answering routine to complex inquiries, identifying and resolving issues, and escalating significant matters to management as appropriate.</li><li>
Provide compliance oversight for new product and program launches.</li><li>
Lead the preparation and submission of key compliance reporting, including the HMDA LAR, Mortgage Call Report (MCR), and other routine or complex reports required by management.</li><li>
Coordinate and test updates or enhancements to technology platforms, including proprietary systems, reporting tools, and third-party compliance integrations (e.g., ComplianceEase, Mavent, RiskExec).</li><li>
Participate in federal, state, and agency/investor examinations, including loan file reviews, drafting responses, and leading remediation planning and post-implementation testing.</li><li>
Monitor regulatory changes across federal, state, and local jurisdictions, identify impacts, and assist in updating policies, procedures, and technology to ensure compliance.</li><li>
Mentor junior staff members.</li><li>
Communicate information clearly and accurately to internal and external stakeholders.</li><li>
Perform additional duties as assigned by management.</li></ul><div>
Qualifications and Education Requirements:</div><ul><li>
High school diploma or equivalent required; bachelor&rsquo;s degree preferred.</li><li>
4&ndash;6 years of demonstrated mortgage legal and/or compliance experience required.</li><li>
10+ years of mortgage lending experience required.</li></ul><div></div><div>
Skills, Abilities, and Knowledge:</div><ul><li>
Excellent interpersonal, written, and verbal communication skills.</li><li>
Strong research and writing abilities.</li><li>
Ability to manage multiple priorities in a fast-paced environment.</li><li>
Proficient in Microsoft Outlook, Word, PowerPoint, and Excel.</li><li>
Familiarity with mortgage Loan Origination Systems (LOS), documents, and XML data.</li><li>
Knowledge of NMLS and FHA Connection.</li><li>
Experience with automated compliance systems (e.g., Mavent, ComplianceEase) preferred.</li></ul><div></div><div>
Work Environment and Physical Requirements:</div><ul><li>
Working on-site at assigned office location.</li><li>
Regular and punctual attendance adhering to schedule established by leadership.</li><li>
Flexibility to work occasionally adjusted work schedules, overtime, and evening and/or weekend hours to meet deadlines or as business needs demand.</li><li>
Working in a cubicle hub, maintaining focus on phone calls in a noisy environment within earshot of multiple other conversations.</li><li>
Sedentary work in a stationary position at a cubicle for prolonged periods of time.</li><li>
Constant repetitive motions required for operating a computer, such as typing and managing phone calls.</li><li>
Constantly communicating effectively verbally in English, including accurately exchanging information with others following identification of correct procedures.</li></ul><div></div><div>
By applying to this position candidate acknowledges that this is not a remote role and is required to be on-site.</div><div></div><div>
Additional Information:</div><div>
While this description is intended to be an accurate reflection of the position&rsquo;s requirements, it in no way implies/states that these are the only job responsibilities. Management reserves the right to modify, add or remove duties and request other duties, as necessary.</div><div></div><div><br>
All employees are required to have smart phones that meet Company security standards with the ability to install apps such as Okta Verify and Microsoft Authenticator. Employment will be contingent on this requirement.</div><div></div><div>
Company Benefits:</div><div>
Newrez is a great place to work but we are only as strong as our greatest asset, our employees, so we believe in rewarding them!</div><ul><li><div>
Medical, dental, and vision insurance</div></li><li><div>
Health Savings Account with employer contribution</div></li><li><div>
401(k) Retirement plan with employer match</div></li><li><div>
Paid Maternity Leave/Parental Bonding Leave</div></li><li><div>
Pet insurance</div></li><li><div>
Adoption Assistance</div></li><li><div>
Tuition reimbursement</div></li><li><div>
Employee Loan Program</div></li><li><div>
The Newrez Employee Emergency and Disaster Fund is a new program to support our team members</div></li></ul><div></div><div>
Newrez NOW:</div><ul><li><div>
Our Corporate Social Responsibility program, Newrez NOW, empowers employees to become leaders in their communities through a robust program that includes volunteering, philanthropy, nonprofit grants, and more</div></li><li><div>
1 Volunteer Time Off (VTO) day, company-paid volunteer day where all eligible employees may participate in a volunteer event with a nonprofit of their choice</div></li><li><div>
Employee Matching Gifts Program: We will match monetary employee donations to eligible non-profit organizations, dollar-for-dollar, up to $1,000 per employee</div></li><li><div>
Newrez Grants Program: Newrez hosts a giving portal where we provide employees an abundance of resources to search for an opportunity to donate their time or monetary contributions</div></li></ul><div><br>
Equal Employment Opportunity<br>
We're proud to be an equal opportunity employer- and celebrate our employees' differences, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, and Veteran status. Different makes us better.</div></div><div></div>

Senior Compliance Analyst- Originations

<div>
 <strong>
  Who We Are
  <br/>
  <br/>
 </strong>
 At OKX, we believe that the future will be reshaped by crypto, and ultimately contribute to every individual's freedom. OKX is a leading crypto exchange, and the developer of OKX Wallet, giving millions access to crypto trading and decentralized crypto applications (dApps). OKX is also a trusted brand by hundreds of large institutions seeking access to crypto markets. We are safe and reliable, backed by our Proof of Reserves. Across our multiple offices globally, we are united by our core principles:
 <em>
  We Before Me
 </em>
 ,
 <em>
  Do the Right Thing
 </em>
 , and
 <em>
  Get Things Done
 </em>
 . These shared values drive our culture, shape our processes, and foster a friendly, rewarding, and diverse environment for every OK-er. OKX is part of OKG, a group that brings the value of Blockchain to users around the world, through our leading products OKX, OKX Wallet, OKLink and more.
 <br/>
 <br/>
 <strong>
  About The Opportunity
  <br/>
  <br/>
 </strong>
 Join OKX at the forefront of innovation in the cryptocurrency space as a Compliance Manager, a pivotal role where you&rsquo;ll help shape and strengthen our global compliance framework. This opportunity is ideal for someone passionate about building clarity and structure within regulatory operations, particularly in Know Your Customer (KYC) and Know Your Business (KYB) processes. You will take the lead in mapping, refining, and operationalizing these critical processes to ensure seamless integration across the business. Beyond foundational KYC/KYB responsibilities, you will also contribute to safeguarding the platform by supporting the ongoing implementation and maintenance of Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) controls. Working closely with cross-functional teams, this role offers the chance to influence internal standards, engage with regulatory developments, and contribute to global best practices in crypto compliance. You will also have the chance to influence industry standards through collaboration with regulatory industry groups. Engaging with cutting-edge technology, this role allows for continuous learning and adaptation in a fast-paced environment.
 <br/>
 <br/>
 <strong>
  What You&rsquo;ll Be Doing
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Policy Development : Maintain compliance policies and procedures that align with industry best practices and regulatory requirements.
  </li>
  <li>
   Risk Assessment: Conduct regular risk assessments and assurance reviews to identify potential compliance risks and recommend corrective actions.
  </li>
  <li>
   Business Risk Assessments: Participate in periodic and quarterly business-wide risk assessments, contributing compliance input on products, customers, geographies, and delivery channels, and helping to document and track mitigating actions.
  </li>
  <li>
   Reporting and Documentation: Prepare and submit compliance reports to senior management, ensuring timely and accurate documentation of compliance activities.
  </li>
  <li>
   Collaboration: Work closely with various departments, including legal, finance, and operations, to ensure a cohesive approach to compliance and risk management.
  </li>
  <li>
   Incident Management: Investigate compliance incidents or breaches, manage the response process, and implement corrective measures to prevent future occurrences.
  </li>
  <li>
   Monitoring and Enforcement: Establish monitoring mechanisms to ensure ongoing compliance with policies and regulations, and assist Head of Compliance to take necessary enforcement actions.
  </li>
  <li>
   Training and Education: Provide training and resources to employees on compliance matters, fostering a culture of awareness and ethical behavior.
  </li>
  <li>
   Oversee QA review processes, ensuring casework is accurate, complete, and aligned with internal standards, regulatory requirements, and AML best practices.
  </li>
  <li>
   Analyze data to identify process gaps and opportunities, and partner with Compliance Leaders.
  </li>
  <li>
   Support regulatory compliance activities, including maintaining up-to-date understanding of applicable regulations, assisting with regulatory change implementation, and supporting regulatory reporting, inspections, and inquiries as needed.
   <br/>
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Requirements
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   5+ years of experience in compliance, AML/CTF, or regulatory roles within financial services, fintech, or virtual asset businesses, with a strong focus on KYC/KYB program ownership.
  </li>
  <li>
   In-depth understanding of UAE regulatory requirements, particularly the Virtual Assets Regulatory Authority (VARA) framework and broader UAE AML laws and Cabinet Decision No. (10) of 2019.
  </li>
  <li>
   Proven experience in mapping, documenting, and enhancing onboarding processes (KYC/KYB) for both individual and corporate clients in a regulated environment.
  </li>
  <li>
   Strong working knowledge of international AML/CTF standards (e.g., FATF), and their application in the context of virtual assets and VASPs (Virtual Asset Service Providers).
  </li>
  <li>
   Experience working with cross-functional teams including Legal, Product, Operations, and Engineering to embed compliance into scalable business processes.
  </li>
  <li>
   Ability to design and implement risk-based due diligence procedures, including customer risk rating models, enhanced due diligence (EDD), and ongoing monitoring.
  </li>
  <li>
   Demonstrated participation in business-wide or enterprise risk assessments, preferably including quarterly risk assessment exercises, with the ability to translate assessment outcomes into practical controls and action plans.
  </li>
  <li>
   Proven regulatory compliance experience, including supporting regulatory reporting, responding to regulatory requests, and contributing to regulatory inspections, thematic reviews, or remediation projects.
  </li>
  <li>
   Prior involvement in regulatory engagements, inspections, or audits, ideally with VARA, the UAE Central Bank, or other local regulatory bodies.
  </li>
  <li>
   Strong analytical and problem-solving skills; comfortable handling complex regulatory interpretations and operationalizing them into clear procedures.
  </li>
  <li>
   Excellent communication skills (written and verbal) with the ability to engage confidently with internal stakeholders, regulators, and partners.
  </li>
  <li>
   Professional certifications such as CAMS, ICA, CRCMP, or equivalent are strongly preferred.
   <br/>
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Perks &amp; Benefits
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Competitive total compensation package
  </li>
  <li>
   L&amp;D programs and Education subsidy for employees' growth and development
  </li>
  <li>
   Various team building programs and company events
  </li>
  <li>
   Comprehensive healthcare schemes for employees and dependants
  </li>
  <li>
   More that we love to tell you along the process!
   <br/>
   <br/>
   <br/>
  </li>
 </ul>
 Notice
 <em>
  <strong>
   :
  </strong>
 </em>
 All official OKX vacancies are posted on this site. We are not affiliated with other third-party job boards except Linkedin.com, listings on other sites may be inaccurate or outdated. This is the only source of truth for applications.
 <br/>
 <br/>
 Information collected and processed as part of the recruitment process of any job application you choose to submit is subject to OKX's Candidate Privacy Notice.
 <br/>
 <br/>
</div>


Senior Compliance Analyst, Dubai

Western Digital

<div><b>Company Description</b><p><br>
At Western Digital, our vision is to power global innovation and push the boundaries of technology to make what you thought was once impossible, possible.</p><p>
At our core, Western Digital is a company of problem solvers. People achieve extraordinary things given the right technology. For decades, we&rsquo;ve been doing just that&mdash;our technology helped people put a man on the moon and capture the first-ever picture of a black hole.</p><p>
We offer an expansive portfolio of technologies, HDDs, and platforms for business, creative professionals, and consumers alike under our Western Digital&reg;, WD&reg;, and WD_BLACK&trade;.</p><p>
We are a key partner to some of the largest and highest-growth organizations in the world. From enabling systems to make cities safer and more connected, to powering the data centers behind many of the world&rsquo;s biggest companies and hyperscale cloud providers, to meeting the massive and ever-growing data storage needs of the AI era, Western Digital is fueling a brighter, smarter future.</p><p>
Today&rsquo;s exceptional challenges require your unique skills. Together, we can build the future of data storage.</p><b><br>
Job Description</b><p><br>
We are seeking a highly skilled and experienced Senior IT Compliance Analyst to join our Business Applications team in San Jose, United States. In this critical role, you will be responsible for ensuring our organization's IT systems and processes adhere to relevant compliance standards and regulations.</p><ul><li>
Develop, implement, and maintain IT compliance programs aligned with industry standards and regulatory requirements</li><li>
Support IT Management to comply with risk assessments and audits of business applications and IT systems to identify potential compliance issues</li><li>
Analyze complex data sets to evaluate the effectiveness of compliance controls and generate comprehensive reports for stakeholders</li><li>
Collaborate with cross-functional teams to implement corrective actions and improve compliance processes</li><li>
Stay up-to-date with evolving IT compliance regulations and industry best practices</li><li>
Provide guidance and training to staff on IT compliance policies and procedures</li><li>
Manage and oversee compliance-related projects, ensuring timely completion and adherence to quality standards</li><li>
Liaise with internal and external auditors and regulatory bodies during compliance reviews and audits</li><li>
Develop and maintain documentation for IT compliance policies, procedures, and controls</li></ul><br>
<b>
Qualifications</b><br>
<ul><li>
Bachelor's degree in Information Technology, Computer Science, or a related field</li><li>
5+ years of experience in IT compliance or a similar role within the technology sector</li><li>
In-depth knowledge of IT compliance frameworks such as COBIT, ITIL, and ISO 27001</li><li>
Strong understanding of regulatory requirements including SOX, GDPR, and HIPAA</li><li>
Proven track record of implementing and maintaining effective compliance programs</li><li>
Excellent analytical skills with the ability to interpret complex data and generate actionable insights</li><li>
Proficiency in compliance management software and business applications</li><li>
Strong risk assessment and management capabilities</li><li>
Exceptional attention to detail and organizational skills</li><li>
Excellent written and verbal communication skills</li><li>
Ability to work efficiently in a fast-paced, dynamic environment</li><li>
Relevant certifications such as CISA, CISSP, or CRISC are highly desirable</li><li>
Experience with IT governance and information security best practices</li></ul><br>
<b>
Additional Information</b><p><br>
Western Digital is committed to providing equal opportunities to all applicants and employees and will not discriminate against any applicant or employee based on their race, color, ancestry, religion (including religious dress and grooming standards), sex (including pregnancy, childbirth or related medical conditions, breastfeeding or related medical conditions), gender (including a person&rsquo;s gender identity, gender expression, and gender-related appearance and behavior, whether or not stereotypically associated with the person&rsquo;s assigned sex at birth), age, national origin, sexual orientation, medical condition, marital status (including domestic partnership status), physical disability, mental disability, medical condition, genetic information, protected medical and family care leave, Civil Air Patrol status, military and veteran status, or other legally protected characteristics. We also prohibit harassment of any individual on any of the characteristics listed above. Our non-discrimination policy applies to all aspects of employment. We comply with the laws and regulations set forth in the &quot;Know Your Rights: Workplace Discrimination is Illegal&rdquo; poster. Our pay transparency policy is available here.</p><p>
Western Digital thrives on the power and potential of diversity. As a global company, we believe the most effective way to embrace the diversity of our customers and communities is to mirror it from within. We believe the fusion of various perspectives results in the best outcomes for our employees, our company, our customers, and the world around us. We are committed to an inclusive environment where every individual can thrive through a sense of belonging, respect and contribution.</p><p>
Western Digital is committed to offering opportunities to applicants with disabilities and ensuring all candidates can successfully navigate our careers website and our hiring process. Please contact us at jobs.accommodations@wdc.com to advise us of your accommodation request. In your email, please include a description of the specific accommodation you are requesting as well as the job title and requisition number of the position for which you are applying.</p><p>
Based on our experience, we anticipate that the application deadline will be <b>03/08/2026</b> (3 months from posting), although we reserve the right to close the application process sooner if we hire an applicant for this position before the application deadline. If we are not able to hire someone from this role before the application deadline, we will update this posting with a new anticipated application deadline.</p><p>
#LI-AS1</p><div></div><p><b>
Compensation &amp; Benefits Details</b></p><ul><li>
An employee&rsquo;s pay position within the salary range may be based on several factors including but not limited to (1) relevant education; qualifications; certifications; and experience; (2) skills, ability, knowledge of the job; (3) performance, contribution and results; (4) geographic location; (5) shift; (6) internal and external equity; and (7) business and organizational needs.</li><li>
The salary range is what we believe to be the range of possible compensation for this role at the time of this posting. We may ultimately pay more or less than the posted range and this range is only applicable for jobs to be performed in California, Colorado, New York or remote jobs that can be performed in California, Colorado and New York. This range may be modified in the future.</li><li>
If your position is non-exempt, you are eligible for overtime pay pursuant to company policy and applicable laws. You may also be eligible for shift differential pay, depending on the shift to which you are assigned.</li><li><p>
You will be eligible to be considered for bonuses under <b>either </b>Western Digital&rsquo;s Short Term Incentive Plan (&ldquo;STI Plan&rdquo;) or the Sales Incentive Plan (&ldquo;SIP&rdquo;) which provides incentive awards based on Company and individual performance, depending on your role and your performance. You may be eligible to participate in our annual Long-Term Incentive (LTI) program, which consists of restricted stock units (RSUs) or cash equivalents, pursuant to the terms of the LTI plan. Please note that not all roles are eligible to participate in the LTI program, and not all roles are eligible for equity under the LTI plan. RSU awards are also available to eligible new hires, subject to Western Digital&rsquo;s Standard Terms and Conditions for Restricted Stock Unit Awards.</p></li><li>
We offer a comprehensive package of benefits including paid vacation time; paid sick leave; medical/dental/vision insurance; life, accident and disability insurance; tax-advantaged flexible spending and health savings accounts; employee assistance program; other voluntary benefit programs such as supplemental life and AD&amp;D, legal plan, pet insurance, critical illness, accident and hospital indemnity; tuition reimbursement; transit; the Applause Program; employee stock purchase plan; and the Western Digital Savings 401(k) Plan.</li><li><b>
Note:</b> No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, benefits, or any other form of compensation and benefits that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company&rsquo;s sole discretion, consistent with the law.</li></ul><p><b>
Notice To Candidates: </b>Please be aware that Western Digital and its subsidiaries will never request payment as a condition for applying for a position or receiving an offer of employment. Should you encounter any such requests, please report it immediately to Western Digital Ethics Helpline or email compliance@wdc.com.</p></div>

Senior IT Compliance Analyst - Business Applications

Montpellier Resourcing

<p><strong>Up to £35,000 plus excellent bonus and benefits</strong></p><p><strong>Hybrid working available </strong></p><p><strong>GRADUATE OPPORTUNITY</strong></p><p><strong>Are you a highly motivated and detail-oriented individual with a passion for regulatory compliance? We are actively recruiting a talented Regulatory Compliance Analyst to join a growing Financial Crime team at a prominent financial services firm.</strong></p><p>This is an exceptional opportunity for a recent graduate or early-career professional to launch their career in a crucial area of financial services, focusing on payments, electronic money regulations, and FCA/PRA obligations. You'll gain hands-on experience and receive mentorship from seasoned professionals.</p><p><strong>Duties of the Compliance Analyst to include:</strong></p><ul><li><strong>Regulatory Reporting:</strong> Preparing and submitting essential regulatory reports, returns, and notifications.</li><li><strong>Policy Management:</strong> Maintaining and updating internal policies and procedures to ensure they are accurate and reflect all regulatory changes.</li><li><strong>Project Support:</strong> Assisting with regulatory projects and ensuring new products and services meet all compliance requirements.</li><li><strong>Research & Documentation:</strong> Conducting research on regulatory obligations and compiling data to support the wider compliance team. You will also help ensure all documentation is ready for audits and inspections.</li></ul><p><strong>Requirements for the successful Compliance Analyst to include:</strong></p><ul><li>Graduate-level education in Finance, Business, Law, Economics, or a related discipline.</li><li>1-2 years of experience in financial services is desirable.</li><li>Strong analytical and organizational skills with a keen eye for detail. Excellent written and verbal communication abilities are a must.</li><li>A positive, can-do attitude and a genuine interest in compliance and financial crime prevention.</li></ul><p><strong>What's on offer for you:</strong></p><ul><li>A clear and defined career path into AML and financial crime risk management.</li><li>Hands-on training and mentorship from highly experienced compliance professionals.</li><li>Exposure to senior stakeholders and key regulatory frameworks.</li><li>Full support for professional certifications like ICA or ACAMS.</li><li>A competitive graduate-level salary and benefits package.</li><li>Hybrid working model: 3 days in the London office, 2 days remote.</li></ul><p></p><p>This vacancy is being advertised by Montpellier Resourcing Associates Limited. The services advertised by Montpellier Associates Resourcing Limited are those of an Employment Agency</p><p></p>

Compliance Analyst (Financial Services)

Osaic

<div><p><b>Senior Analyst for Regulatory Services Opportunity in Financial Services
</b></p><p><b>Senior Analyst, Hybrid IA Compliance</b></p><p></p><p><b>
Location(s):
</b></p><p>Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339</p><p>
La Vista: 12325 Port Grace Blvd, La Vista, NE 68128</p><p>
Oakdale: 7755 3rd St. N, Oakdale, MN 55128</p><p>
Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255</p><p>
St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702</p><p></p><p><b>
Osaic is not considering remote candidates at this time.
</b></p><p></p><p>Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.</p><p></p><p><b>
Role Type: </b>Full-time</p><p></p><p><b>
Salary:</b> $90,000 - $100,000 per year + annual bonus</p><p>
Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.</p><p></p><p>
Our competitive compensation is just one component of Osaic&rsquo;s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits.</p><p></p><p><b>
Summary:
</b></p><p>Senior Analyst, Hybrid IA Compliance will be responsible for providing oversight functions to Financial Professionals that provide investment advisory services to clients through an Independent RIA or that provide investment advisory services in a dual RIA affiliation capacity. Additionally, this role will be involved in a variety of other compliance responsibilities, including development and implementation of regular reporting, surveillance reviews and corrective action related to monitoring of the investment advisory business, under the direction of the Director of IA Compliance Policies, Procedures &amp; Testing. This position involves daily interpreting and applying compliance policies and procedures to business practices, communicating with Financial Professionals and other functions of the Investment Advisory Compliance team.</p><p></p><p>
An ideal candidate must:</p><ul><li>
Have a thorough understanding of the securities industry</li><li>
Possess well-developed analytical skills, highly organized with the ability to handle multiple tasks and multiple priorities simultaneously</li><li>
Work well in a fast-paced and complex collaborative environment</li><li>
Excellent interpersonal, troubleshooting and communication skills</li><li>
Proficiency in MS Excel</li></ul><p></p><p><b>
Education Requirements:
</b></p><ul><li>Bachelor&rsquo;s degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
</li></ul><p></p><p><b>Responsibilities:
</b></p><ul><li>Supporting the IA Compliance with reviews of the investment advisory services provided to clients through an Independent RIA.</li><li>
Supporting the IA Compliance with reviews of the investment advisory services provided to clients through dually RIA affiliated Financial Professionals.</li><li>
Partnering with Compliance, Supervision, Legal, Operations and other internal business partners to address inquiries and assist with issue resolution.</li><li>
Working with Financial Professionals and Supervision to gather information as part of internal tasks and procedures.</li><li>
Producing various other data capturing tasks and procedures for IA Compliance.</li><li>
Identification and escalation of issues to senior management as necessary.</li><li>
Ensure compliance with Firm and industry regulations.</li><li>
Identify and share best practices or process improvements.</li></ul><p></p><p><b>
Basic Requirements:
</b></p><ul><li>3-5 years of relevant work experience such as RIA or regulatory agency</li><li>
Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 Securities Act of 1933, Securities Act of 1934 and FINRA rules and Regulations</li><li>
Excellent verbal and written communication skills</li><li>
Must be proficient with MS Office and Word and Excel.</li><li>
Strong abilities in analytical thinking, problem-solving, research, and time management. Ability to think through complex Compliance issues.</li><li>
Ability to work on assignments independently, using a high level of judgment and initiative in resolving problems and developing recommendations</li></ul><p></p><p><b>
Preferred Requirements:
</b></p><ul><li>FINRA Series 7, 24, 66, or 65.</li></ul><p></p><b>
Equal Opportunity Employer</b>
<p>
Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.</p>
<b>
Eligibility</b>
<p>
Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.</p>
<b>
Unqualified Applications</b>
<p>
Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.</p>
<b>
Recruiting Agencies</b>
<p>
Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.</p></div>

Sr Analyst, Hybrid IA Compliance

Ethics HR

<p><b>Job Responsibilities:</b></p><ul><li>Assist in achieving adequate information security control levels across the bank's information assets.</li><li>Ensure clear understanding to information security controls necessary to remediate identified risks and follow up remediation with the concerned business lines.</li><li>Assist in implementing PCI-DSS controls allowing for annual re-certification by coordinating with IT and the concerned Business lines.</li><li>Follow up on all PCI-DSS activities to be delivered on time &amp; reviewed by InfoSec Compliance Team Leader and validated by InfoSec Compliance Manager/Associate before delivering to the QSA.</li><li>Ensure clear understanding for information security controls necessary to fulfil compliance and regulatory requirements (Swift, CBE, PCI-DSS, etc.) to ensure an acceptable level of security maturity across the bank.</li><li>Follow up on all information security policies and security controls related to different standards are properly implemented before reviewing by InfoSec Compliance Team Leader &amp; validating by InfoSec Compliance Manager/Associate.</li><li>Follow up on the effectiveness of applied security controls and share knowledge with Information Security Governance Team of future suggested enhancements and optimization.</li><li>Coordinate with Information Security Team in raising non-compliance and risk of lack of security controls.</li><li>Follow up on breaches SLA&rsquo;s and non-compliances &amp; notify InfoSec Compliance Team Leader to be reported to InfoSec Compliance Manager/Associate &amp; Cyber Security Team to consider in the watch list.</li><li>Attends project design work shops and ensure that the security architecture standards are followed and considered.</li><li>Ensure adhering to policies and procedures in order to guarantee that the bank's business in conducted in compliance with Local Laws, CBE, the bank's Rules and Regulations, as well as, International Standards.</li><li>Ensure the correct functioning and implementation of Permanent Supervision system, compliance, money laundering and workplace success guidelines whenever &amp; wherever possible.</li></ul><p><b>Job Requirements:</b></p><ul><li>Bachelor's Degree in Computer Science or Electronics &amp; Communication Engineering or a related field from a reputable university.</li><li>Minimum 4 years of technical &amp; functional experience in Information Security field for the Senior Analyst.</li><li>Minimum 2 years of technical &amp; functional experience in Information Security field for the Analyst.</li><li>Analytical, self-motivated, cooperative &amp; proactive.</li><li>Excellent interpersonal, leadership and directing skills.</li><li>Excellent communication &amp; computer skills.</li><li>Strong understanding of banking operations.</li><li>Analytical mind-set with ability to grasp new concepts and diverse aspects of bank and risk operations.</li><li>Fluency in Arabic and English written/spoken.</li></ul><p>Job Type: Full-time</p><p>Work Location: Remote</p>

InfoSec Compliance Senior Analyst / Analyst

Arizona Public Service (APS)

<div></div><div><p><b>Date: </b>Dec 8, 2025
</p><p><b>Location:</b> PHOENIX, AZ, US, 85004-3903
</p><p><b>Company: </b>APS
</p><div><p>Our present and future success depends on the creative and dedicated people of our company who demonstrate the principles outlined in the APS Promise: Design for Tomorrow, Empower Each Other and Succeed Together.</p><div><div><div><h2 class="jobSectionHeader"><b>
Summary</b></h2>
</div><div><p><b>
IT Compliance Analyst - Senior/ Consultant<br>
</b></p>
<div></div><div>At APS, we&rsquo;re committed to operational excellence and compliance across our technology landscape. As a Business Operations Analyst Senior / Consultant, you&rsquo;ll play a critical role in ensuring secure, efficient, and compliant business operations. Your work helps safeguard systems, streamline processes, and deliver insights that drive smarter decisions.
<p>
You&rsquo;ll drive key initiatives focused on IT cyber and audit compliance readiness and performance, process improvement, and continuous enhancement of compliance practices. In this role, you&rsquo;ll champion the adoption of best practices and lead projects across IT that strengthen our compliance posture and support ongoing operational excellence.</p></div><br>
<p></p>
<p><b>
What your day would be like:</b></p>
<div>
You are responsible for:</div>
<ul><li><b>Analyze &amp; Improve</b>: Evaluate processes and systems to identify opportunities for efficiency and effectiveness to meet compliance objectives.</li>
<li><b>Lead Projects</b>: Drive cross-departmental initiatives focused on process and system improvements.</li>
<li><b>Ensure Security &amp; Compliance</b>: Proactively monitor performance, identify potential risks, and work to ensure regulatory compliance.</li>
<li><b>Develop Reports</b>: Create and maintain accurate reports and dashboards to support business decisions.</li>
<li><b>Collaborate</b>: Partner with IT and business teams to implement solutions that maximize organizational effectiveness.</li>
<li><b>Mentor</b>: Support and guide less tenured team members in developing their skills.</li></ul><br>
<p></p>
<p><b>
Who we&rsquo;re looking for:</b></p>
<ul>
<li><b>Operational Expertise</b>: Strong understanding of business operations, processes, and IT systems.</li>
<li><b>Analytical Skills</b>: Ability to interpret data, identify trends, and recommend actionable solutions.</li>
<li><b>Compliance Knowledge</b>: Familiarity with regulatory requirements and system security best practices.</li>
<li><b>Project Leadership</b>: Experience managing projects with moderate to complex scope and budgets.</li>
<li><b>Collaborative Communicator</b>: Skilled at working across teams and presenting findings clearly.</li>
<li><b>Continuous Learner</b>: Passion for staying current with industry standards and emerging technologies.</li>
</ul></div></div><div><div><h2 class="jobSectionHeader"><b>Minimum Requirements</b></h2>
</div><div><p><b>
IT Compliance Analyst - Senior</b></p>
<ul>
<li>BS/BA equivalency or an equivalent combination of four years relevant work experience and relevant college coursework in business, information technology or a related area.</li>
<li><b><i>PLUS</i></b> five (5) years of progressively responsible experience where strong understanding of business unit operations, business unit systems, database design, structure, functions and work processes and experience with database tools is obtained.</li></ul><br>
<p></p>
<p><b>
IT Compliance Analyst - Consultant</b></p>
<ul>
<li>BS/BA equivalency or an equivalent combination of four years relevant work experience and relevant college coursework in business, information technology or a related area.</li>
<li><b><i>PLUS</i></b> eight (8) years of progressively responsible experience where a strong understanding of business unit operations, business unit systems, database design, structure, functions and work processes and experience with database tools has been obtained.</li></ul><br>
<p></p>
<p><b>
Requirements:</b></p>
<ul>
<li>Demonstrated knowledge of business processes and operational knowledge including functions, procedures, processes, and computer systems.</li>
<li>Ability to identify process improvement opportunities, gaps, data analysis and recommended solutions which tie functional needs to technology solutions.</li>
<li>Demonstrated project/team experience and ability to prioritize work.</li>
<li>Ability to review data, see relationships and patterns, as well as possess strong analytical, communication, interpersonal and organizational skills.</li>
<li>Experience in managing projects and identifying and resolving issues.</li>
<li>Expertise in PC applications including advanced skill level in Microsoft Excel, Access, Word.</li>
<li>Requires proficient knowledge of emerging practices and technologies used within the business area.</li>
<li>Knowledge of applicable federal and state laws, regulations, and standards impacting business areas.</li>
<li>Demonstrated communication skills, both verbal and written.</li>
</ul></div></div><div><div><h2 class="jobSectionHeader"><b>Major Accountabilities</b></h2>
</div><div><p>
1) Participates or leads projects to identify and define business needs and objectives through research and fact finding combined with a good understanding of business functions, systems, and industry requirements.</p>
<p>
2) Researches, analyzes, and resolves routine to complex business/operational problems within the business units.<br>
Interfaces with IT, Systems Analysts, Cybersecurity or vendors to resolve issues as necessary.<br>
Follows up to ensure timely resolution of problems and ensure customer satisfaction.<br>
3) Participates in or oversees analysis, planning, and implementation of enhancements to new and existing processes, which may include new systems and/or enhancements to existing systems.<br>
Ability to gather and write moderate requirements based on business needs with consideration of business goals and future needs.<br>
4) Provides input and gathers functional requirements, policy/procedure interpretation, and future business system needs. For smaller projects, may coordinate assigned phases of project planning and execution, including estimating resources and tasks, creating, managing and controlling project schedules and resources.<br>
5) Using quantitative metrics, analyze process designs, workflows, and suggests process improvement initiatives, which may include potential technology solutions to streamline, automate, and/or improve process efficiencies.<br>
6) With limited direction, coordinates and participates in the development of effective business cases using sound cost/benefit analysis.<br>
Keeps apprised of current and emerging trends for business unit.<br>
7) Provides operational support for business area and multiple systems including, but not limited to, researching and resolving system problems, gap analysis, training identification and delivery, and data integrity audits.<br>
8) Writes, maintains, and supports a variety of reports or queries utilizing appropriate reporting tools.<br>
Assists in the development of standard and complex reports for business unit.<br>
Assists in the development and maintenance of standardized business reporting protocol and ensures data integrity and consistency in all reporting aspects.<br>
9) May monitor and track business goals, activities, performance monitoring, and issues for an assigned unit(s) to keep management apprised of business unit activities.<br>
10) Actively shares knowledge of business/technical environment, priorities, and processes to less tenured personnel.<br>
11) Conducts research, performs data analysis, and reports findings through formal presentations.<br>
12) Participates in project assignments as a lead or a key member.<br>
Responsible for coordinating activities within the business areas.<br>
Direct areas of project responsibility to include needs analysis, scope definition, testing strategy, implementation, and user acceptance.<br>
May support application/system training to functional users.<br>
13) May be responsible for ensuring appropriate data security controls including process and system documentation.<br>
14) Maintains documentation of processes, guidelines, tools, procedures, and training aids required to support business unit.<br>
15) May participate in the planning, development, and administration of business unit's budget functions.</p></div></div><div><div><h2 class="jobSectionHeader"><b>
Export Compliance / EEO Statement</b></h2>
</div><div><p>
This position may require access to and/or use of information subject to control under the Department of Energy's Part 810 Regulations (10 CFR Part 810), the Export Administration Regulations (EAR) (15 CFR Parts 730 through 774), or the International Traffic in Arms Regulations (ITAR) (22 CFR Chapter I, Subchapter M Part 120) (collectively, 'U.S. Export Control Laws'). Therefore, some positions may require applicants to be a U.S. person, which is defined as a U.S. Citizen, a U.S. Lawful Permanent Resident (i.e. 'Green Card Holder'), a Political Asylee, or a Refugee under the U.S. Export Control Laws. All applicants will be required to confirm their U.S. person or non-US person status. All information collected in this regard will only be used to ensure compliance with U.S. Export Control Laws, and will be used in full compliance with all applicable laws prohibiting discrimination on the basis of national origin and other factors. For positions at Palo Verde Nuclear Generating Stations (PVNGS) all openings will require applicants to be a U.S. person.<br>
<br>
Pinnacle West Capital Corporation and its subsidiaries and affiliates ('Pinnacle West') maintain a continuing policy of nondiscrimination in employment. It is our policy to provide equal opportunity in all phases of the employment process and in compliance with applicable federal, state, and local laws and regulations. This policy of nondiscrimination shall include, but not be limited to, recruiting, hiring, promoting, compensating, reassigning, demoting, transferring, laying off, recalling, terminating employment, and training for all positions without regard to race, color, religion, disability, age, national origin, gender, gender identity, sexual orientation, marital status, protected veteran status, or any other classification or characteristic protected by law.<br>
<br>
For more information on applicable equal employment regulations, please refer to EEO is the Law poster. Federal law requires all employers to verify the identity and employment eligibility of every person hired to work in the United States, refer to E-Verify poster. View the employee rights and responsibilities under the Family and Medical Leave Act (FMLA).<br>
In compliance with the Drug Free Workplace Act of 1988, the Company is committed to a work environment that is free from the effects of alcohol and controlled substances, and free from the abuse or inappropriate use of prescribed and over-the-counter medications. The Company requires employees to be subject to drug and alcohol testing that is job-related and consistent with business necessity, regulatory requirements and applicable laws.</p></div></div></div><p><b>
Home based:</b><b> </b>Home based employees primarily work from their home offices and come into an APS facility on an as-needed basis.</p>
<ul>
<li><i>Employees are expected to reside in Arizona (or New Mexico for Four Corners-based employees).</i></li>
<li><i>Working from a home office requires adequate technology and an appropriate ergonomic set up.</i></li>
<li><i>Role types are subject to change based on business need.</i></li></ul><br>
<p><br>
<b>Job Segment: </b>Nuclear, Energy</p></div></div><div></div>

IT Compliance Analyst - Senior/ Consultant

Search 10000+ Senior compliance analyst jobs near you this December. New roles added regularly across leading industries. Apply today.