Compliance Manager Jobs

Job Title: Manager, Compliance Audit/Internal Audit Management Company: Siemens Location: Iselin, NJ Description: '); } } checkframes(); Skip Navigation Job Details Manager, Compliance Audit/Internal Audit Management Company Siemens Corporation Division SC - Siemens Corporation Functional Area ACC - Accounting/Finance Location NJ - Iselin Req ID 86397 Job Type Regular Job Time Full-Time Experience Level Senior Level Required Education Bachelors Degree Required Travel 70% Company Description Siemens AG is a global powerhouse in electronics and electrical engineering, and operates in the industry, energy and healthcare sectors. For more than 160 years, Siemens has built a reputation for leading-edge innovation and the quality of its products, services and solutions. With 428,000 employees in 190 countries, Siemens reported worldwide sales of $116.6 billion in fiscal 2008. With its U.S. corporate headquarters in New York City, Siemens in the USA reported sales of $22.4 billion and employs approximately 69,000 people throughout all 50 states and Puerto Rico. For more information on Siemens in the United States, visit www.usa.siemens.com. Job Description Siemens is a global leader in energy, industrial products and healthcare equipment, a leading technology and research organization and operates in more than 190 countries. Siemens Corporate Finance & Audit (CF A) is a newly formed organization operating as a single, global audit function for the company. CF A adds value by delivering high-impact observations that help the company manage financial, operational, compliance and IT risk. As a member of the CF A audit team you will support this global mission. While being exposed to significant business travel (70% - 75%), you will be responsible for the execution of selected audit engagements primarily in North and South America. You will interact, as necessary, with engagement managers, directors, partners and practice specialists. You will be supporting and enhancing the audit methodology, promoting quality, developing an in-depth knowledge of the operations and risks for businesses. Within Compliance Audit, you will support the concept of Integrated Audits by working together with Directors, managers and auditors from other disciplines (i.e., Financial, Operational, IT & Transaction Services Audit). You will evaluate audit observations, determine the root cause of issues, assess the level of impact on the business ensure that audit observations have been discussed with management and assist management to put appropriate plans in place. Tasks: • Liaise under supervision of the Compliance Director in order to support the CF A Risk Assessment process • Identify and communicate changes in the business risk profile to the engagement director • Establish, maintain and leverage personal network / cross-regional relationships • Adhere to all performance coaching and development protocols, policies and procedures and ensure timely adherence to program requirements • Actively plan and prepare the assigned engagement tasks for Compliance Audit • Manage execution of your audit engagements in accordance with the internal global audit plan, methodology and guidelines • Cooperate with the Engagement Director to determine audit program customization requirements, develop the necessary audit program steps to execute specific audit program steps in consideration of team member skills, capabilities and work-load balance • Provide management and guidance for audit team members and perform quality reviews of work • Create high-impact reports • Provide timely status updates to the Engagement Director as requested, ensure escalation of potential issues and findings, as well as project risks and potential road-blocks, as the need arises • Support the Engagement Director in performing reviews of all Audit Engagement work papers, audit report findings and recommendations, in a timely manner • Leverage audit best practice work programs, tools and templates, appropriately tailoring to meet the specific Engagement requirements and provide input to the Engagement Director for consideration of enhanced best practice documentation to publish on the CF A Portal • Serve as the primary point of contact for the Engagement Director by providing timely status updates and communicating Engagement risks, issues, roadblocks and technical matters that require clarification Education: CF A Directors must have a Bachelors degree in Finance, Accounting or comparable degree. Relevant professional qualification (e.g. CFE, CIA, CPA, or equivalent) and / or advanced business degree is strongly preferred. Knowledge: Strong knowledge of Foreign Corrupt Practices Act (FCPA) is required. Familiarity with Sarbanes-Oxley regulations and COSO is a plus. Internal Control and risk management frameworks and internal audit methodologies is also required. Candidate should have experience with the execution of a risk-based audit engagement as well as a working knowledge of International Standards for the Professional Practice of Internal Auditing. Strong engagement skills, which include planning, organizing, conducting and monitoring Financial Audit Engagements, frequently in the context of an integrated audit, working with a team of resources, and ensuring the overall achievement of prescribed timelines and budgets as outlined in the audit plan. This will also include the ability to multi-task and successfully delegate priority tasks. - Spanish and / or Portuguese speaking skills are a plus. Experiences: • Must have a minimum of 8 years experience in Compliance/ Regulatory Audit and 1-2 years as a manager, preferably with the ‘Big 4’. • Must be willing to travel 70% - 75% to both domestic and international audit sites. • Experience in working in one of the industries in which Siemens operates (Healthcare, Energy or Industrial Sectors) or with global and complex organizations is preferable. Capabilities: - Networking Skills - Change Orientation - Organizing and Quality Orientation - Communication Skills - Strategic Thinking

Job Title: Financial Controls and Compliance Manager Company: Tyco Thermal Control Location: Houston, TX Description: Tyco Thermal Controls (TTC), a division of Tyco Flow Control, is a world leader in heat-tracing, fire & performance wiring and sensing solutions for the oil & gas, power, chemical and other process industries, as well as for the commercial and residential construction markets.  We have more than 2,000 employees in over 50 countries and provide innovative solutions to the most challenging heat tracing, wiring, sensing, leak detection, specialty heating, temperature measurement and floor-heating applications.  TTC has an opportunity for a Controls and Compliance Manager that will be located in Houston, TX.  Specific responsibilities for the Controls and Compliance Manager will include: ·          In charge of all aspects of compliance for TTC on a global basis (coordinated with EMEA, India and Asia Pacific Flow Control teams).  ·          Assist with the maintaining and monitoring of the internal controls systems to ensure compliance with TYCO policies, internal /external audit activities and SOX 404.·          Development and maintenance of relevant TTC specific policies and procedures and ensuring that they are aligned with TFC and Tyco policies and procedures and are then consistently applied throughout TTC globally.·          Provide accounting and internal control guidance and ensure that it is consistent with TYCO guidance and is in compliance with US GAAP.·          Major areas of responsibility include: Internal Controls, Accounting Policies and Restructuring Accounting ·          Manage and execute the TFC Monitoring Control framework, including onsite reviews of TTC and TFC Americas business units, performance of the desktop review program and active participation in TTC and TFC Americas Balance sheet reviews and other ad-hoc monitoring assignments.·          Lead the Americas based Flow Control groups to overall completion and certification of SOx 404 compliance, including leading efforts on: scoping, project management, issue resolution, and other ad-hoc tasks as necessary.·          Coordination and active participation with the external audit firm to identify and resolve SOx 404 / interim issues.·          Manage and execute the TTC annual risk assessment in coordination with TFC HQ.·          Coordination with Tyco Internal audit team to maintain effective relationship.·          Create and manage the implementation of financial accounting and internal control policies to satisfy the critical needs of the global segment.·          Perform technical accounting research to ensure business issues are in compliance with U.S. GAAP.  In addition, collaboration with the Tyco Technical Accounting group will be required. Requirements: -          Possess a Bachelor’s degree in Accounting, Business or related discipline with 3-5+ years related audit and compliance experience required-          Sound knowledge of internal financial / operational controls and US GAAP required-          Strong technical/business writing, communication  and presentation skills required-          Background in financial analysis, preferably with a large manufacturing company-          Operational finance experience a plus … working across multiple entities and/or functional areas-          Strong understanding of both financial and operational processes-          Good communication skills (written and verbal)-          Track record of continuous career progression, as role is meant to be a stepping stone into other roles within Tyco International-          Ability to work across multiple entities and / or functional areas-          Excellent computer skills in Microsoft Office applications (Word, Access, Excel, PowerPoint, Outlook) and knowledge of compliance systems (RCTS a plus) -          Knowledge of  Hyperion Enterprise, Hyperion Retrieve and SAP a plus-          Capacity to perform at a high level in a fast paced multi-tasking environment.-          Experience/proficiency in Sarbanes Oxley and CPA or other designation desired.  -          Individual should have the ability to quickly establish trust and rapport with regional finance and operating managers and communicate across a wide range of cultures -          Demonstrated ability to make good decisions, solve problems and drive for results. OTHER COMPETENCIES:Capacity to perform at a high level in a fast-paced, multi-tasking environment-     Ability to work effectively in a staff role, which requires the ability to quickly establish trust and rapport with divisional finance and operating managers-          Solid understanding of financial processes and internal controls-          Ability to convert detailed financial analysis into understandable summaries and recommendations-          High energy and self confidence-          Strong sense of natural curiosity… want to know how it works-          Quick learner, self-motivated, team player-          Good interpersonal skills and ability to work with multiple levels of management and within different functional areas-          Proven track record as an individual that learns quickly, is self-motivated and a team player.-          Foreign language skills a plus -          Willing to travel (approximately 25% - 35%) Send this Job to a FriendView all "Tyco" jobs

Job Title: Norkom/Actimize/Mantas Surveillance/Tech Compliance Mgrs Company: Mindstaff Location: New York, NY Description: Our Global Advisory client which has a large international Risk Mgmt practice is looking for people at the Sr, Mgr, and Sr. Mgr level who have strong AML Surveillance and Monitoring technology implementation exp.Candidates need to have experience implementing AML Surveillance and Monitoring Technology solutions for Financial Services firms (Mantas, Actimize, Norkom).We offer unique services - advising some of the world's largest companies on critical and highly sensitive matters. You will work as part of our team on diverse client engagements in areas such as:- Fraud detection and continuous monitoring- Securities litigation and surveillance- Anomaly detection software selection, configuration, and implementation- Project recovery- Defining, developing, and documenting business and system requirements- Developing application specifications for offshore development- Documenting workflows and re-engineering processes.- Assessing and documenting data and transactional flows.- Data quality analysis.- Participate in team decision-making.- Generating innovative ideas within a dynamic environment.- Development of 'monitoring' rules and scenarios.- Working on and preparing client deliverables.- Implementing various software solutions.- Managing small teams and client interaction\- 10+ years of technical and financial advisory related experience- Established practice and market eminence in a key industry, service area or client base- Experience in professional services firm preferred- BBA required; MBA preferred; ASA, CPA and/or CFA, a plusplease email all resumes to Register to View for prompt consideration

Job Title: Compliance Director-Product Company: Citi Location: Jersey City, NJ Description: Citi, the leading global financial services company, has some 200 million customer accounts and does business in more than 100 countries, providing consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. Additional information may be found at www.citigroup.com or www.citi.com .Citi Inc. and its subsidiaries ("Citi") are equal opportunity employers M/F/D/V and do not discriminate on the basis of any legally protected status or characteristic. Lead a team of people in reviewing communications pieces for Citi Private Bank.Develop a global approach to reviewing and approving material.  This will require coordination across all regions and business lines.Streamline current process to eliminate duplication.Work with the business to develop a more professional approach to material preparation and review.Train existing in business supervisors on the "rules of the road".Help establish a central review unit that would have a global reach across product lines.Participate in review process for the New Product Committee and annual product program review.  A qualified candidate would have 5-7 years of hands on communications review and 10+ of industry experience.  Must have an in-depth knowledge of FINRA  and SEC regulation dealing with communications guidelines.  Must have a strong knowledge of various products including Alternative Investments, Structured Products, Municipal Securities, Banking Services, Options, Commodities, Equities and Fixed Income.  Must be organized. Must have strong communications skills and be able to work closely with senior management.

Job Title: Assistant Director of Compliance Company: University of St. Thomas Location: Saint Paul, MN Description: Job Summary: The University of St. Thomas is accepting applications for an Assistant Director of Compliance within the Development Office. Reporting to the Director of Compliance and Operations, the assistant director is responsible for auditing, tracking and maintaining the annual Development budget. This position tracks and audits gifts and pledges; outlines reconciliation issues between the business affairs and development offices; documents accounting/reporting standards and gift/pledge entry policies and procedures; ensures that controls are in place to audit documented processes. In addition, the assistant director works closely with the Compliance Director to ensure that all gifts are processed in accordance with institutional and national norms; tracks the financial performance of all endowed gifts and annual scholarships; maintains and monitors files of all endowed gift agreements and letters of intent, securing proper documentation for endowed gifts and other related documents that record pledge and gift intentions of benefactors; administers the university's matching gifts program; tracks financial aspects of annual scholarship reporting system; completes gift entry paperwork for all stock gifts made to the university; manages paperwork and files for compliance with state laws and ensures registration with states in which gifts are solicited. Qualifications: Equivalent to a bachelor's degree in accounting or a related field and two years of professional accounting experience. Knowledge of higher education environment and familiarity with the characteristics of a comprehensive university a plus. We are looking for candidates with strong analytical, communication and technical skills; a proficiency with Microsoft Office specifically, Excel; experience in the Principles and practices of general accounting and financial reporting; knowledge of the principles and practices of project planning, development and evaluation; principles and practices of budget development and administration; ability to create and maintain spreadsheets and basic graphics software and run reports.Established in 1885, the University of St. Thomas is Minnesota's largest private university, with an enrollment of 10,300 students studying in a wide range of liberal-arts, professional and graduate programs. Inspired by Catholic intellectual tradition, the University of St. Thomas educates students to be morally responsible leaders who think critically, act wisely, and work skillfully to advance the common good. The successful candidate will possess a commitment to the ideals of this mission statement. The Development Office serves as the central fundraising branch of the University.

Job Title: Trust & Fiduciary Compliance Director Company: Charles Schwab & Co. Location: San Francisco, CA Description: *** Please note: we are able to staff this position in any of the following locations: San Francisco (CA), Phoenix (AZ), Austin (TX), Wilmington (DE). ***Charles Schwab?s purpose is to help everyone become financially fit.  Through advocacy and innovation, Schwab has worked to make investing more affordable, more accessible and more understandable for all.  For more than three decades, The Charles Schwab Corporation has been an advocate for individual investors and the independent advisors who serve them.At Schwab, we respect the unique differences of our employees, our clients and the communities we serve ? striving to create a consistent and rewarding employee experience.  If you share our enthusiasm for helping others, building trusted relationships, possess high ethical standards, and have a desire to learn and grow, there?s a place for you at Schwab! Organization Objective/Purpose:The Schwab Bank Compliance Group is part of Schwab's Corporate Oversight Organization, and is responsible for ensuring that adequate internal controls are in place related to banking laws, rules and regulations promulgated by various regulatory authorities.  The Bank Compliance Group has established two distinct roles to accomplish its goals.  The first is an advisory role, which assists the Business in identifying and managing regulatory requirements and risks.  The second, a testing and monitoring role, assesses the adequacy and effectiveness of compliance related controls. The Trust & Fiduciary Compliance Director is responsible for directing the compliance program for the Charles Schwab Bank?s Personal and Trust, Business Trust  business units. Brief Description of Role:As Trust & Fiduciary Compliance Director, you will direct, maintain and enhance a Trust and Fiduciary Compliance Program for Charles Schwab Bank?s Personal Trust and Business Trust units.  Responsibilities include, but are not limited to:assessing risk, identification of critical functions in business units; advising business owners on the development of controls and monitoring programs to reduce potential liability related to business, operational, regulatory and reputational risks related to with the Bank's trust businesses.  conducting functional reviews of the operational controls within the trust businesses.maintaining and enhancing, as needed, a  Trust and Fiduciary Compliance Program for periodic review and approval by the appropriate Bank committees.   You will also:implement and maintain fiduciary compliance training and monitoring/testing programs for staff members including the development and maintenance of applicable policies and procedures manuals covering fiduciary compliance activities. analyze and evaluate a wide range of information to maintain a high level of competency regarding regulatory compliance requirements, management oversight  and reporting requirements related to the trust businesses.   serve as liaison to state and federal banking regulatory examiners and internal auditors, including advance preparation and coordination of all information between bank departments and examiners during regulatory examinations.  Regularly follow up with applicable business units and examiners/auditors on findings, develop written responses to examination issues and implement corrective actions on examination and audit issues. The position requires a moderate amount of travel (approx 25% of time, primarily to San Francisco (CA), Phoenix (AZ),  Austin (TX), Wilmington (DE).) Technical/Functional Qualifications:The successful candidate for the Trust & Fiduciary Compliance Director position meets the following basic qualifications:Bachelors degree in business; finance, accounting or economics or equivalent work experienceAt least 7 years of experience in trust/fiduciary law and regulations General securities compliance experience or related work experienceStrong knowledge of applicable laws and regulations, including ERISAStrong computer skills including use of financial softwareStrong written and verbal communication skillsStrong Interpersonal and influence skillsAble to work both independently and with others in an effective manner, often under pressure, while exercising prudent judgment and critical thinking Education: BA/BS Contact Information Reference Code: H38B104

Job Title: SEC Compliance Manager/Director Company: Robert Half Finance & Accounting Location: Fremont, CA Description: Job Title: SEC Compliance Manager/Director JobId: 00420-121145 City: Fremont State: CA Zip Code: 94538 Description: Our client, a Silicon Valley rapidly growing public , multinational manufacturing company is actively seeking a SEC Reporting Manager to join their existing dynamic and expanding team. This company is exciting, innovative, and has an entrepreneurial spirit that has attracted the best and brightest to join their team! This is a very stable, yet hugely growing opportunity. They are looking for a candidate who can hit the ground running. Responsibilities for the SEC Manager includes, but is not limited to the following: ?Drafting the 10-K/10-Q financial statements and footnotes. ?Responsible for SFAS 123(R) expense calculation ?Support SOX Manager in day to day documentation $120,000 - $130,000 plus options Please contact: Emily Yep Tadlock Register to View

Job Title: Mortgage Compliance Manager Company: Robert Half Finance & Accounting Location: Irving, TX Description: Job Title: Mortgage Compliance Manager JobId: 04060-112380 City: Irving State: TX Zip Code: 75039 Description: For immediate response please send your resume directly to me: Register to View The Compliance Manager ? Third Party Originations (Compliance Manager) overall objective is to effectively coordinate and facilitate the compliance policies for the Wholesale and Correspondent business units as directed by the Vice President ? Compliance & Quality Assurance. Communicate compliance policies to the Wholesale and Correspondent business units. Assist Wholesale and Correspondent line employees with day-to-day compliance problems as necessary. Duties: ?Monitor all industry compliance updates as necessary to ensure compliance with Federal, State, Local and Agency requirements. ?Assist with the development of disclosures based upon applicable Federal and State laws, regulations and rules including but not limited to RESPA, the Truth in Lending Act, the Equal Credit Opportunity Act, the Fair Credit Reporting Act, the Fair Housing Act, state licensing laws, consumer credit laws, usury laws, deceptive and unfair trade laws and real property laws. ?Create Compliance Bulletins to ensure understanding and adherence to compliance changes and issues on a timely basis as required. ?Develop and provide training regarding compliance matters as necessary. ?Coordinate with IT to develop proper compliance controls and documentation testing for all compliance changes. ?Assist Wholesale and Correspondent employees with compliance matters related to ?predatory loan?, ?higher prices mortgage loans? and ?high cost loans?. ?Work with QA Department to determine issues arising from QA Reports and develop corrective actions. ?Manage any state audits as may be required. ?Develop compliance policies as required. ?Other duties as may be assigned. Skills. Abilities and Education ?College degree preferred. ?Minimum of 3-5 years experience in mortgage compliance. ?Excellent communication skills, both verbal and written. Ability to communicate with all levels of individuals both internal and external. Must be able to work in a team environment. ?Well organized, detail oriented, efficient and a self starter who can carry out assignments to completion. ?Ability to function independently & prioritize work. Ability to work under tight deadlines. Ability to successfully handle/ manage several tasks at one time. ?Excellent computer skills using Microsoft Office programs and various industry related software packages. Job Quality Standards ?Exhibit professional/courteous manner to customers and internal staff. Ability to prioritize workflow and work independently. ?Exhibit team focus on results. ?Commitment to excellence and high standards.

Job Title: Compliance Manager - Insurance Products Compliance Company: Lincoln Financial Group Location: Hartford, CT Description: We have an immediate need for a Compliance Manager to our dynamic team!  Provides advice and leadership to Department management and staff with respect to assigned areas of responsibility and as requested on other complexcompliance matters. Consistently relied upon to represent the Department in complex compliance matters, procedures and strategies. Trains and develops others on compliance functions and matters within Department. Researches and maintains an expert knowledge of the state insurance and securities laws and regulations which govern the marketing and administration of life and annuity products and keeps abreast of changes to such laws and regulations. Responsible for carrying out Department strategies and developing compliance programs within assigned areas of responsibility by setting, leading and achieving team goals, objectives and activities. Analyzes securities and insurance laws and regulation, assesses impact on life and annuity operations and communicates the applicable changes to the affected business areas and works with business areas to develop and implement compliance plans. Develops new and revised compliance policies and procedures by researching applicable laws and applying to life and annuity operations. Considers business and compliance needs to ensure the effective design and implementation of such policies and procedures. Periodically conducts audits and reviewsof the business areas that adopted the procedures. Review correspondence, annuity and life illustrations, and training materials to ensure compliance with state and federal regulations, FINRA rules and company policies, which entails providing accurate, clear and consistent guidance to marketing, product, distribution and other compliance organizations.

Job Title: Manager, Compliance Underwriting Company: The PMI Group Inc Location: Walnut Creek, CA Description: Do you feel that your career should be about more than just collecting a paycheck? If yes, then you've come to the right place. For over 35 years, PMI has served a vital role in opening doors to homeownership' and working to keep those doors open with innovative initiatives to preserve homeownership. PMI's residential mortgage insurance products provide critical support to the mortgage finance system by protecting lenders and investors from the high costs of default. This then allows lenders to make mortgage financing available to a broader base of the population. PMI is also committed to opening doors for our employees. We offer competitive salaries, comprehensive benefits, professional development, nationally recognized community involvement, and a culture where work/life balance is encouraged and supported. Our Claims and Loss Managements have been growing!  We need to add additional leadership in order to manage our processes and operational goals!The Manager, Compliance Underwriting oversees a team of employees and contractors dedicated to specific functions related to the review of designated files and/or provides processing support to the underwriting teams. They manage the file review process to ensure thorough and fair reviews of all files, and appropriate decisions. The Manager, Compliance Underwriting interprets and administers the Company Master Policy, as well as PMI, lender and GSE guidelines to determine compliance and insurability of designated files. They set operational objectives for the team that supports overall Company risk and loss mitigation goals. Essential Responsibilities and Accountabilities:Manages a) the process of reviewing files for compliance including identification of potential fraud after certain 'red flag' activities have occurred (e.g. early payment default); b) the second review of non-committee files and processor work to support underwriters. Manages and/or participates in live Committee and Off the Belt (OTB) forums to discuss and make decisions on specific files. Recommends process design and implements those approved to ensure efficient and complete reviews of all open investigations. Reports on trends, file flow, production output, and other department performance indicators. Oversees and communicates pipeline inventory parameters to team. Ensures quality of file review through development of key metrics. Monitors action plans to ensure quality improvements and develops reports to analyze improvement trends. Sets performance standards for employees. Actively coaches team members in methods to ensure consistency and quality. Oversees file assignment and re-balancing. Ensures that team members receive feedback on files and performance. Communicates regularly with team on process, priorities, broad department goals and changes. Works with available resources (e.g. training) to identify and resolve areas needing improvement for staff. Communicates as needed with lenders to review cases and explain PMI's process. Responds to issues and assures effective customer relationships with lenders. Interfaces with other departments (i.e. National Underwriting Risk & Operations, Credit Policy) to provide feedback for front line underwriting. Develops and manages the Department budget. Manages staff including, recruitment, training and development, performance management and rewards and recognition. What you need to be successful in this role:In-depth knowledge of underwriting principals, techniques and procedures. Thorough understanding of the mortgage lending and mortgage insurance industries. Strong knowledge of PMI's Master Policy, as well as the Company's, lenders' and GSE underwriting guidelines. Excellent critical thinking, analytical and problem solving skills, attention to detail. Strong communication (oral and written) and interpersonal skills to effectively deal with lenders. Strong customer service skills including the ability to influence and negotiate for agreement. Fully proficient in the use of MS Office products, including knowledge of database programs. Excellent organizational skills. Strong employee and project management skills. Ability to exercise judgment in selecting techniques, methods and evaluation criteria for obtaining results. Associate's degree plus 8-10 years experience or Bachelor's degree plus 6-8 plus years of experience, including approximately 5 years in management.