Director - Compliance Solutions Job at Waystone Governance Ltd. (Chicago)

Director - Compliance Solutions

Directors are one of a clients' key contact throughout their compliance process....

Location

United States , New York

Salary:

Not provided

Waystone Governance Ltd.

Expiration Date

Until further notice

Requirements

An internationally recognized professional qualification
7+ years’ experience working in financial services as a fund or broker deal accountant or legal or compliance professional
Candidates must have excellent English language skills, excelling in both written and oral communication
Strong analytical skills are a must. Candidates must display the ability to analyze and interpret basic data with a keen eye for detail
Waystone employees must be self-starters with strong independent motivation and the ability to thrive in an independent work environment

Job Responsibility

Maintain Code of Ethics programs for clients
Conduct and assist with annual review obligations, including electronic communications surveillance
Conduct and assist with the preparation of regulatory correspondence including SEC, CFTC, and SRO examinations and inquiries
Complete and assist in registration projects for RIA, ERA, and BD clients
Prepare regulatory filings such as Form ADV, Section 13 filings, Form PF, Form PQR, among others
Conduct regular reviews of compliance programs including anti-money laundering
Some travel may be required (>25%)

Fulltime

Director - Compliance Solutions

Directors are one of a clients' key contact throughout their compliance process....

Location

United States , Chicago

Salary:

Not provided

Waystone Governance Ltd.

Expiration Date

Until further notice

Requirements

An internationally recognized professional qualification
7+ years’ experience working in financial services as a fund or broker deal accountant or legal or compliance professional
Candidates must have excellent English language skills, excelling in both written and oral communication
Strong analytical skills are a must. Candidates must display the ability to analyze and interpret basic data with a keen eye for detail
Waystone employees must be self-starters with strong independent motivation and the ability to thrive in an independent work environment

Job Responsibility

Maintain Code of Ethics programs for clients
Conduct and assist with annual review obligations, including electronic communications surveillance
Conduct and assist with the preparation of regulatory correspondence including SEC, CFTC, and SRO examinations and inquiries
Complete and assist in registration projects for RIA, ERA, and BD clients
Prepare regulatory filings such as Form ADV, Section 13 filings, Form PF, Form PQR, among others
Conduct regular reviews of compliance programs including anti-money laundering
Some travel may be required (>25%)

Fulltime

Director - Compliance Audit

Barclays Audit: In Audit, you'll play a crucial role in providing independent, r...

Location

United Kingdom , London

Salary:

Not provided

Barclays

Expiration Date

Until further notice

Requirements

To support the development of audits aligned to the bank’s standards and objectives by working collaboratively with colleagues, providing accurate information and recommendations, and complying with policies and procedures
Audit development and delivery support, including financial statements, accounting practices, operational processes, IT systems and risk management
Identification of operational risks to support the delivery of the Barclays Internal Audit (BIA) Audit Plan through risk assessments
Assessment of internal control effectiveness and their capability to identify and mitigate risk aligned to regulatory requirements
Communication of key findings and recommendations to stakeholders, including the Audit Owner, senior managers and directors
Identification of regulatory news and industry trends/developments to provide timely insight and recommendations for best practice
To manage a business function, providing significant input to function wide strategic initiatives
Contribute to and influence policy and procedures for the function and plan, manage and consult on multiple complex and critical strategic projects, which may be business wide
They manage the direction of a large team or sub-function, leading other people managers and embedding a performance culture aligned to the values of the business
Or for an individual contributor, they lead organisation wide projects and act as deep technical expert and thought leader, identifying new ways of working and collaborating cross functionally

Job Responsibility

Function as Key Risk Owner for Compliance Risk across BIA
specifically, Wholesale Conduct and Regulatory Compliance risks
Responsible for maintaining the BIA Risk Assessment Rules for Compliance and provide subject-matter input to the BIA audit teams on the scope of audits covering Wholesale Conduct and Regulatory Compliance risks
Support the BIA Portfolio Manager for Compliance in the ongoing review and structure of the BIA Compliance Audit Universe and input to BIA’s Board reporting on Compliance
Maintain stakeholder relationships across the Compliance function to inform BIA’s assessment of the Compliance function
Function as Audit Owner on audits of processes operated by the Compliance function, including regular coverage of markets surveillance

What we offer

Cycle or run to work? We’ve got everything you need – from cycle hire and parking areas to new showering and changing facilities
CoSpace is our drop-in co-working space, where networks are built, problems are solved collectively and our community is strengthened
Our Wellness Suite includes a well-equipped gym and exercise studios, and provides personal training sessions and massage therapy
Our new trading floors enhance communication, integrate sustainability, and support health and wellbeing through innovative design and British-sourced furniture
Be you. Be valued. Belong
We celebrate the unique perspectives and experiences each individual brings, believing our differences make us stronger and drive success
We’re committed to providing a supportive and inclusive culture and environment for you to work in
This environment recognises and supports your personal needs, alongside the professional needs of our business
If you'd like to explore flexible working arrangements, please discuss this with the hiring manager
We have a structured approach to hybrid working, where colleagues work at an onsite location on fixed, ‘anchor’, days, as set by the business area

Fulltime

Sales Director - Solutions Chile, Uruguay, Paraguay

Solutions Sales for South (Chile, Uruguay and Paraguay). The Salesperson will be...

Location

Chile , Santiago

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Deep expertise in Markets and Solutions products, with a strong understanding of client needs, competitive dynamics, and regional market trends
Demonstrated success in originating and executing complex solution‑led transactions across Financial Institutions and Corporate clients
Proven ability to lead and influence geographically dispersed, multi‑product teams in a matrixed organization
Strong strategic mindset with the intellectual rigor to anticipate industry trends and proactively shape the organization's response to structural and regulatory change
Ability to translate strategic vision into clear, executable business plans and deliver measurable results
Excellent interpersonal, communication, and stakeholder‑management skills, with the gravitas and credibility to influence senior internal and external audiences
Strong problem‑solving skills with a pragmatic approach to prioritization, ensuring efficient deployment of resources
Education: MBA or equivalent advanced degree preferred
Experience: Minimum of 5–10 years of progressively senior experience within financial institutions and/or corporate client coverage, with demonstrated success in revenue generation, solutions origination, and commercial execution at a Director level or equivalent
Leadership & Influence: Strong executive presence with a proven ability to influence, negotiate, and build consensus among senior internal and external stakeholders within a complex, matrixed organization

Job Responsibility

Define and implement a cohesive regional Solutions strategy across multiple product lines, aligned with Global Solutions priorities and regional growth objectives
Drive ambitious growth in market share and wallet penetration across the Financial Institution and Corporate client franchise in the region
Originate, structure, and execute high‑impact, strategic, and landmark solution transactions, positioning the firm as a trusted partner to clients
Lead the coordinated execution of the regional strategy in close partnership with Product Structuring teams and Product Specialists
Partner effectively with key ICG businesses and functions—including Banking, CMO, and the CCO network—to deliver integrated, client‑centric solutions
Act as a senior Solutions ambassador in the region, representing the franchise with clients, regulators, and internal stakeholders
Work in close partnership with control functions including Legal, Compliance, Market Risk, Credit Risk, Audit, and Finance to ensure robust governance, risk management, and control frameworks
Ensure all Solutions activity is conducted in line with regulatory requirements, internal policies, and risk appetite
Promote and reinforce a strong culture of responsible finance, ethics, and accountability across the Solutions organization
Travel: Regular travel, as required to support clients, teams, and business priorities

Fulltime

Associate Director, Compliance Systems & Analytics

The Associate Director, Compliance Systems and Analytics, is primarily responsib...

Location

United States , San Mateo

Salary:

167000.00 - 195000.00 USD / Year

Dompé

Expiration Date

Until further notice

Requirements

Bachelor's or Master's degree in a related field (e.g., Data Science, Computer Science, Life Sciences)
8+ years of experience in U.S. healthcare compliance, with expertise in data operations, governance, and strategy
Extensive experience with laws, regulations, and industry guidance that affect the biotech, pharmaceutical, and rare disease space, including but not limited to OIG, PhRMA Code, healthcare standard operating procedures, ABAC laws, and transparency reporting
Demonstrated understanding of U.S. healthcare compliance data assets and data ecosystems
Strong analytical and technical skills
proficiency in common analytics and CRM tools such as Excel, BI tools (Looker, Tableau)
Hands-on experience with modern data science / AI analytics tools such as Python (pandas/conda/matplotlib), R (tidyverse, plotly) or SAS and their related ecosystems
Proven success in building cross-functional partnerships and translating data into thoughtful, documented, risk-based decisions
Ability to effectively communicate complex data insights through compelling narratives to drive informed decision-making and foster a data-driven
Strong leadership, excellent communication, and stakeholder management skills

Job Responsibility

Embody Dompé’s commitment to ethics and integrity and values-based decision-making, and foster this mindset in clients, partners, and team members
Under the direction of the U.S. Compliance Officer, and will partner closely with the Legal, Information Communications Technology (ICT), Commercial Data Strategy and Operations, and Medical / R&D Teams
Design, implement, and manage a structured approach to analyze healthcare compliance-relevant data from various sources (e.g., investigations metrics, monitoring findings, transfers of value to healthcare professionals) to support a data-driven approach to U.S. healthcare compliance and risk management
Advise and create analytical requirements for dashboard creation, potential data requirements, and related business rules in order to bring necessary level of rigor
Ensure best practices for data reliability, ingestion, analysis, and output across various data streams
Develop strategy and support in enhancing key compliance systems, including but not limited to systems to review and approve key business activities (e.g., onboarding third parties, engaging healthcare professionals, reviewing external funding)
Assist in developing materials for Ethics & Compliance Committee meetings and other executive reporting, including external benchmarking, internal compliance metrics (e.g., dashboards), and compliance program vision
presents at such meetings where required
Evaluate and manage relationships with key systems, technology, and data vendors to maintain existing compliance systems and propose other cost-effective solutions
Identify and analyze regulatory landscape and external, industry trends regarding the use of technology and digital tools, including Artificial Intelligence (AI)

What we offer

Comprehensive medical benefits: we value access to healthcare for our patients as well as our employees
Generous vacation / holiday time off: we care about our employees and encourage a balanced lifestyle
Competitive 401(K) matching

Fulltime

Insurance Compliance Director

The Insurance Compliance Director is responsible for conducting compliance activ...

Location

United States , Smithfield; Merrimack

Salary:

Not provided

Fidelity Investments

Expiration Date

Until further notice

Requirements

BA/BS Degree with 10+ years of business leadership within the financial services or insurance industry
Experience working with institutional group insurance products is preferred
Strong leadership skills
Excellent interpersonal and written/verbal communication skills who can build compelling, executive-level presentations
Efficient and works in a fast-paced environment and can multi-task across multiple large initiatives
Creates and maintains strong business relationships, builds trust, and cultivates collaboration
Designs, develops and maintains compliance programs which support designated business units
Identify, escalate and consult on problems and issues across the business unit and develop strategic solutions
Welcomes challenges and is a go getter who constantly looks for opportunities to continuously improve

Job Responsibility

Conducting compliance activities in support of Fidelity’s insurance and annuity business
Supporting cross-functional teams focused on developing and launching new Fidelity insurance products and services
Identifying and communicating all the compliance requirements related to new insurance products and services
Representing Compliance at meetings with senior members of the business

Fulltime

Director, Compliance & Payments

At Qualia, we've built the leading B2B real estate technology that transforms th...

Location

United States , San Francisco

Salary:

180000.00 - 210000.00 USD / Year

Qualia

Expiration Date

Until further notice

Requirements

10+ years in fintech or payments, with 5+ years in compliance or operations leadership
Experience managing banking partner relationships and regulatory oversight
Deep knowledge of ACH and wire payment rails, including NACHA Operating Rules and return risk management
Track record building compliance programs and payment operations in high-growth environments
Operational excellence
Sound judgment in escalation and risk acceptance
Translate complex regulations into actionable business strategies without slowing product velocity
Clear communicator across audiences

Job Responsibility

Own Banking & Payments Compliance
Build and maintain Qualia's banking & payments compliance management infrastructure
Own partner and vendor relationships
Ensure ongoing compliance with applicable payment regulations
Oversee the risk framework for ACH returns, fraud prevention, transaction monitoring, and third-party risk management
Run Excellent Operations & Manage Risk
Build and lead a payment operations function
Establish clear escalation paths and SLAs for payment issues
Monitor transaction quality and fraud signals
Drive continuous improvement in operational metrics

What we offer

competitive equity and benefits package
comprehensive health plans
a 401k program
commuter benefits
professional development
parental leave
flexible time off policy
robust online onboarding program
biweekly all hands meetings
internal virtual events

Fulltime

Director, Advisory Compliance

Director, Advisory Compliance H/F. Based in France. In this role, you will be at...

Location

France , Paris

Salary:

124901.55 - 168984.45 EUR / Year

Amgen

Expiration Date

Until further notice

Requirements

Doctorate degree and 4 years of experience in compliance, risk management, regulatory affairs, audit, law, or a related field
Master's degree and 8 years of experience in compliance, risk management, regulatory affairs, audit, law, or a related field
Bachelor's degree and 10 years of experience in compliance, risk management, regulatory affairs, audit, law, or a related field
4 years of experience directly managing people and/or leadership experience leading teams, projects, programs or directing the allocation of resources

Job Responsibility

Leads and elevates the compliance strategic business partner role across a designated region, affiliate, business unit, or corporate function ensuring effective support for all business activities including Commercial, R&D, Government Relations, and Value & Access and Pricing and Pricing
Provides direct compliance support to Amgen executive leaders at the General Manager level and above
Directs and empowers the implementation and supports the oversight of comprehensive compliance and privacy programs, covering anti-corruption, anti-bribery, data privacy, and trade compliance across assigned region
Advises and influences business leadership and stakeholders on compliance strategy, interpretation of codes, legislation, and Amgen's policies, serving as a single point of contact for regional leadership teams and providing region-specific guidance as needed
Uses deep industry and professional expertise and proven risk analysis skills to provide strategic compliance advice on the application of Amgen WC&BE standards and requirements to find innovative compliance solutions that meet the needs of the businesses we support
Partners cross-functionally with Legal, Regulatory, HR, Finance, and other teams to align compliance initiatives and resolve complex compliance issues
Drives proactive risk management by overseeing regional and local risk assessments, anticipating vulnerabilities, and implementing effective mitigation strategies that strengthen business resilience
Leads innovation in compliance by integrating and overseeing AI-driven compliance monitoring and analytics systems, leveraging advanced technologies to proactively identify, assess, and mitigate compliance risks across regions
Guides responsible AI use by advising on the ethical, regulatory, and privacy implications of AI deployment in business operations, ensuring alignment with evolving laws and industry standards
Supports investigations, incident management, and protocol adherence, collaborating with global and regional investigation teams, audit, and monitoring functions, ensuring compliance with local compliance requirements

Fulltime

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Director - Compliance Solutions

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