Bank Compliance Officer - To 95K - Kingstown, MD - Job 3333

The Position Our bank client is seeking to fill a Compliance Officer –Sub-Advisory/ERISA Funds role in the Chicago, IL area. The successful candidate will be the compliance program lead working closely with other employees of the compliance department, business partners, legal team, portfolio management and operations teams, and other service providers and stakeholders on the daily administration of the compliance programs. The position includes a generous salary of up to $155K and an excellent benefits package. (This is not a remote position). Compliance Officer –Sub-Advisory/ERISA Funds responsibilities include: Directing and overseeing the involvement of other compliance team members assigned to support the compliance programs which may include directly managing other team members. Leading compliance oversight of sub-advisers and other key service providers, including frequent communication with compliance staff, distribution and review of annual, quarterly, and other periodic questionnaires, participation in virtual and on-site (as practicable) due diligence calls, and documentation and reporting of findings. Supporting all aspects of the compliance program, including among other things the design and operation of compliance policies and procedures, risk evaluations and conflicts monitoring, testing, training, addressing violations, and client reporting. Supporting the registered investment company and ERISA plan assets clients. Serving as a point of contact and liaison for regulators along with the CCO on all regulatory exams and inquiries together with other members of the compliance department. Compliance oversight of portfolio management, trading, and related operations. Providing Compliance reporting and other support to the sub-advisory clients, communicating and liaising with the Compliance staff of the clients, and leading clients’ due diligence and update meetings and calls. Monitoring and evaluating the impact of business and regulatory developments on the programs, including new rules, regulatory guidance, and best practices, and recommending and consulting with the CCO on program adjustments. Leading or participating in committees overseeing operations and compliance and preparing and presenting related compliance reports. Participating in the design and drafting of compliance policies and procedures, as needed. Serving as compliance program contact for internal and outside audits, annual compliance reviews, and risk assessments. Leading the development and administration of compliance supervision, testing, and training programs. Requirements Who Are You? You’re someone who wants to influence your own development. You’re looking for an opportunity where you can pursue your interests and your passion. Where a job title is not considered the final definition of who you are, but merely the starting point for your future. You also bring the following skills and experience: Bachelor’s and/or master’s degree, with an emphasis in business, finance, accounting, or equivalent preferred. MBA, JD, CFA, CPA a plus. IACCP or comparable certification is a plus. Five or more years of professional experience with an investment management or financial services firm and a background in compliance, risk management, legal or related roles. Familiarity with ERISA regulations and servicing ERISA accounts are required. Broad financial services knowledge and understanding of fundamental investment concepts, practices, and procedures in the asset management industry and knowledge of the compliance rules. Ability to work well under pressure/deadlines and independently manage multiple projects, as well as lead other members of the Compliance and business teams. Strong communication and presentation skills and ability to effectively structure presentations and other communications for clients, consultants, boards, committees, and senior management. Benefits The position includes a generous salary of up to $155K and an excellent benefits package. (This is not a remote position).

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Managing Director - Credit Risk Review – To $190K – Tampa, FL – Job # 3353b Who We Are The Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & Rockport, TX. Our nationally unique value proposition centers around providing the very best available banking and accounting talent. In fact, most of our recruiters are former bankers or accountants themselves! We know how to evaluate the very best banking and accounting talent available in the market. Whether you are a candidate seeking a new opportunity or a bank or company president trying to fill an essential position, The Symicor Group stands ready to deliver premium results for you. The Position Our bank client is seeking to fill a Managing Director - Credit Risk Review role in the Tampa, FL market.  This position offers a generous salary of up to $190K and a full benefits package. Managing Director - Credit Risk Review responsibilities include: The primary objective of Credit Risk Review (CRR) is to conduct timely and independent assessments of the banki's credit exposures and credit risk. Results from CRR’s assessments are provided to senior management and Risk Committee of the Board of Directors. As CRR Advisor Senior you will join a highly skilled team providing independent assessments of commercial credit exposures.  You may have responsibility of being a Reviewer in Charge. The Reviewer in Charge is responsible for the successful completion of a review engagement, including managing Reviewers, performing credit portfolio analysis, summarizing the results stemming from the review of credit files sampled as part of a review engagement. Your deep understanding of sound Commercial lending and credit risk practices will enable you to provide valuable insights and recommendations to drive effective credit risk management practices. The position requires robust credit knowledge and strong experience related to Commercial credit extension and management. 10-15+ years of Credit Risk/Credit Underwriting preferred. Strong verbal and written communication, in addition to ability to handle difficult conversations, are critical to effectively communicate with stakeholders. Job Description Analyzes file review activities for assigned business segment. Executes file review assessment on complex credit and credit related transactions, and demonstrates understanding of the inherent level and materiality of risk.  Serves as an expert resource to the team. Correlates industry, economic, regulatory and other trends in the credit cycle. Provides expert insight and includes findings in the credit review assessment. Analyzes complex credit facility structures and underwriting processes within the context of credit policies.  Validates scorecard risk ratings, testing and maintenance activities. Ensures understanding of portfolio issues, trends, and root causes in order to manage credit portfolios effectively. Analyzes output to support decisioning.  Analyzes risk in assigned credit portfolios by reviewing relevant reporting and assessing trends. Provides expert analytical insight and assesses the risk organization's sufficiency to identify and manage forward looking risks. Identifies risk concentrations, systemic trends or issues. Completes work papers, issue tracking and follows up on exam findings. Participates in continuous monitoring for assigned portfolios. Independently prepares materials and supporting documentation, and conducts meetings with Line of Business representatives. Effectively communicates Credit Risk Reviews plans and objectives for reviews. Who Are You? You’re someone who wants to influence your own development. You’re looking for an opportunity where you can pursue your interests and your passion. Where a job title is not considered the final definition of who you are, but merely the starting point for your future. You also bring the following skills and experience: Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and required certifications/licensures needed to be successful in this position. Preferred Skills Analytical Thinking, Commercial Real Estate, Competitive Advantages, Consumer Lending, Credit Risk Management, Data Analytics, decision-making, Financial Operations, Portfolio Risk, Risk Appetite Analytical Thinking, Conflict Management, Credit Risk, Effective Communications, Loan Review, Organizational Governance, Regulatory Environment - Financial Services Work Experience Roles at this level typically require a university / college degree.  Higher level education such as a Masters degree, PhD, or certifications is desirable.  Industry-relevant experience is typically 8+ years. Specific certifications are often required.  Instead of a degree, a comparable combination of education, job-specific certification(s), and experience (including military service) may be considered. Education Bachelors The next step is yours. Email us your current resume along with the position you are considering to: resumes@symicorgroup.com

Bookkeeper needed to support an automobile service business. Microsoft Office and QuickBooks knowledge a must. This is a full time, onsite position. Responsibilities also include greeting customers and answering phones. Please forward resume for consideration. Compensation based on experience.

Job Title: Third-party risk analyst Location: Fort Worth, TX (locals only) Mode of Work: Hybrid Yrs of experience: 3+ Any Visa ● Key Responsibilities: o Conduct assessments of third-party vendors to identify and evaluate potential risks. o Review vendor contracts, service level agreements (SLAs), and other legal documents to ensure compliance with AA risk management policies and regulatory requirements. o Collaborate with various stakeholders to gather information and assess the overall risk exposure related to third-party relationships. o Facilitate discussion with third-party vendors to identify potential risk mitigation strategies and controls to address identified risks. o Monitor and track vendor performance, ensuring compliance with contractual obligations. o Provide guidance and recommendations to AA Business Units on selecting and managing third-party vendors. o Maintain documentation of risk assessments, due diligence reviews, and compliance activities. o Stay updated on industry trends, regulatory changes, and emerging risks related to third-party risk management. ● Decision making (what decisions will this position be making): ○ Provide vendor risk assessment results to IT / Business owners to determine future vendor relationships. ○ Identify and escalate critical risks and issues to senior management. ○ Facilitate discussion with the vendor and business owner to identify strategies to mitigate risk. ○ Determine the appropriate level of ongoing monitoring required for each vendor relationship. ● Communication (who will this position communicate with and in what capacity): ○ Manager, Third Party Risk Management (TPRM) ■ Report to TPRM Manager and provide progress updates on day-to-day TPRM program operations and activities. ■ Attend regular meetings and reporting to facilitate the exchange of information, alignment of goals, and coordination of efforts between both roles. ○ Business Owner ■ Facilitate review of risk exposure with the business owner to communicate vendor risks ■ Provide risk exposure, mitigation strategies and other information to enable business decision making and business risk acceptance ○ Legal & Privacy ■ Collaborate to ensure third party compliance with relevant laws, regulations, and contractual obligations. ■ Collaborate with the Legal & Privacy teams to help align cybersecurity third party risk management practices with legal requirements and mitigate potential legal risks. ○ IT Vendor Management (ITVM) ■ Collaborate with the Legal & Privacy teams to help align cybersecurity third party risk management practices with IT vendor management policies, standards, and procedures. ○ Cybersecurity Product Teams ■ Engage with cybersecurity product teams to support identification, validation, and remediation of gaps and findings from third-party cybersecurity risk assessments. ■ Engage in effective communication and collaboration between the various cybersecurity product teams. Minimum Qualifications- Education & Prior Job Experience ● Education (Degree and level of attainment): ○ Bachelor's degree in computer science, information systems, risk management, or a related field. ● Experience (Industry/function and years of experience): ○ Experience (1-3 years) in cyber risk management, vendor management, audit, compliance, information security, or a related field. ○ Familiarity with regulatory requirements and industry best practices related to third-party risk management. ○ Familiarity with vendor risk management principles and best practices, such as managing vendors through their lifecycle from onboarding to termination. ○ Experience in conducting vendor risk assessments in alignment with minimum standards and requirements to identify gaps in vendor controls and facilitate discussion with the vendor to identify potential risk mitigation strategies. ○ Knowledge of relevant cybersecurity frameworks (e.g., NIST CSF, ISO 27001) and regulations (e.g., TSA Cyber Amendment, HIPAA, GDPR). ● Preferred Qualifications: ○ Experience in contract negotiation and vendor management. ○ Familiarity with industry-specific regulations (e.g., TSA, FAA, PCI DSS) and their cybersecurity requirements. ○ Experience working in highly regulated industries such as finance, healthcare, or government. ● Knowledge, skills, and abilities: ○ Ability to work independently and collaborate effectively with cross-functional teams. ○ Strong analytical and problem-solving abilities. ○ Proficiency in conducting risk assessments, evaluating vendor contracts, and identifying potential risks. ○ Familiarity with conducting on-site assessments and evaluating vendors' controls and processes. ○ Knowledge of relevant cyber security standards (e.g., NIST CSF, NIST 800-161, etc.). ○ Knowledge of cybersecurity technologies, tools, and best practices. ○ Familiarity with cybersecurity risk assessment methodologies and frameworks. ○ Ability to stay updated with the latest cybersecurity trends, threats, and regulatory changes

Arena Investors, LP (“Arena”) is a global institutional asset manager that provides creative solutions for those seeking capital in special situations. With more than 180 people across eight global offices and operating in 20 countries, we often provide capital where others won’t. Arena is looking to expand the team through the addition of a senior Compliance Officer. In this role, this individual will work closely with the compliance team and have regular interface with staff throughout the organization. Reporting to the CCO, this position will be a broad generalist compliance role with full exposure across the business. Responsibilities: ·         Support front, middle and back-office personnel on a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940; ·         Support the CCO with FINRA broker-dealer requirements; ·         Monitoring of Client guidelines and restrictions; ·         Review of marketing materials; ·         Review of compliance policies and procedures; ·         Administration of firm (Investment Adviser and Broker-Dealer) annual compliance review (testing and monitoring); ·         Conflicts of interest review; ·         Code of Ethics administration (e.g. PA dealing, Gifts & Entertainment, Outside Business Activity, Political Contribution, etc.) via the StarCompliance platform; ·         Maintenance of restricted trading list and watchlist; ·         AML/KYC risk-assessment and due-diligence; ·         Service provider due-diligence; ·         Portfolio management review and monitoring (e.g. trade blotter, trade errors, best execution, allocation, principal/cross trades, etc.); ·         Regulatory filings oversight/co-ordination (e.g. Form ADV, Form PF, Form 13F, Form 13D/G, UK FCA filings, Singapore MAS filings, significant shareholder, etc.) ·         Keeping abreast regulatory developments; and ·         Ad-hoc projects. Requirements The individual will have demonstrated an ability to work in a fast-paced, performance-driven environment with an ability to think broadly about the business, incorporating continual improvement of processes and procedures with a goal of excellence while focusing on accuracy and efficiency.   ·         7 – 10 years of regulatory compliance experience at a SEC-registered investment adviser (primarily private credit exposure); ·         Experience with broker-dealer compliance (ideally Series 7 or Series 14 licensed); ·         Solid understanding of registered investment adviser and broker-dealer rules and regulations; ·         Familiarity with UK FCA and Singapore MAS rules and regulations; ·         Experienced reviewing marketing materials in line with SEC and FINRA rules; ·         Experienced conducting annual compliance reviews; ·         Experienced managing insurance clients; ·         Experienced administering regulatory filings with the SEC, FINRA, FCA, MAS and others; ·         Experienced handling MNPI processes (e.g. expert networks, Board seats, committee participation, NDA, etc.); ·         Ability to work independently, and balance multiple priorities; ·         Excellent organizational, oral and written communication skills; ·         Flexible and capable of prioritizing based on changing internal or external demands; and ·         Bachelor's degree required. Benefits Health Care Plan (Medical, Dental & Vision) Retirement Plan (401k, IRA) Life Insurance (Basic, Voluntary & AD&D) Paid Time Off (Vacation, Sick & Public Holidays) Family Leave (Maternity, Paternity) Short Term & Long Term Disability Training & Development Hybrid Schedule Free Food & Snacks Wellness Resources