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<jobs>
    <job>
        <title>Compliance Manager</title>
        <job-board-name>ComplianceJobs.com</job-board-name>
        <job-board-url>https://compliancejobs.com/</job-board-url>
        <job-code>57741</job-code>
        <detail-url>https://compliancejobs.com/job/compliance-manager-3/</detail-url>
        <apply-url></apply-url>
        <job-category>Compliance,Manager</job-category>
        <description>
            <summary>A leading nationwide Auto Dealer Reinsurance Mgmt. firm is seeking to hire a Compliance Manager. They offer products such as vehicle service contracts, dealer warranties, GAP, maintenance plans, appearance protection, lease protection, anti-theft, and other ownership protection products. Responsibilities: Manage the Compliance Department and team members. Work in coordination with CCO to maintain company compliance and communicate with management, partners, and customers on updates as well as respond to external and internal compliance issues/concerns ongoing. Manage company licensing process to verify all licenses are up to date and monitor to confirm only licensed entities are selling approved contracts. Manage form approval process with lenders and states, assist team in approving changes associated with form filings while negotiating cost effective changes. Approve all form changes to verify compliance, work with sales Department to negotiate compliant marketable updates. Vet product ideas by conducting regulatory research to understand if compliant, then work with team internally to develop form. Manage implementation process internally and externally on new and revised forms. Regulatory Implementation- Manage a regulatory database by state for all products. Track regulatory information from trade associations, DOI websites, industry communications, etc. and incorporate required changes into forms or processes as appropriate. Work with internal/external parties to incorporate updates and manage distribution and communication to the field. Form Compliance- Audit form database against approved form versions ongoing. Resolve any discrepancies which includes working with internal and external parties on corrections to verify database remains compliant ongoing. Manage certain company projects and initiatives in coordination with CCO. Work with internal and external parties to implement various compliance initiatives and revise or incorporate new processes and procedures across the organization. Manage insurance policy issuance with underwriters to verify Contractual Liability Policy is secured for all programs where applicable. Work with underwriters on new product CLP issuance and consolidation of existing Contractual Liability Policies where applicable. Required Qualifications: Bachelor’s Degree required, J.D. or paralegal preferred Minimum of 4 years compliance experience At least 2 years prior management experience Knowledge, Skills, and Abilities: Ability to interpret and summarize legal information Excellent leadership skills and ability to direct and persuade others Proficient in Microsoft Office products such as Outlook, Word, Excel Professional appearance and excellent communication skills, both written and verbal Ability to set and achieve targeted department goals Detail-oriented, highly organized and results driven Ability to plan, organize and prioritize department work to meet tight deadlines Willingness to work beyond normal scheduled hours, as necessary Strong negotiation and presentation skills Willingness to embrace change Able to cultivate good working relationships with internal and external customers PLEASE CONTACT: Michael Tuller / 212-997-3169 / mtuller@compliancesearch.com</summary>
            <required-skills></required-skills>
            <required-education></required-education>
            <required-experience></required-experience>
            <full-time></full-time>
            <part-time></part-time>
            <flex-time></flex-time>
            <internship></internship>
            <volunteer></volunteer>
            <exempt></exempt>
            <contract></contract>
            <permanent></permanent>
            <temporary></temporary>
            <telecommute></telecommute>
        <description>
        <compensation>
            <salary-range></salary-range>
            <salary-amount></salary-amount>
            <benefits></benefits>
        </compensation>
        <posted-date>February 15, 2019</posted-date>
        <close-date>2019-08-14</close-date>
        <location>
            <address></address>
            <city></city>
            <state></state>
            <zip></zip>
            <country></country>
        </location>
        <contact>
            <name></name>
            <email>jack@compliancesearch.com</email>
            <hiring-manager-name></hiring-manager-name>
            <hiring-manager-email></hiring-manager-email>
            <phone></phone>
            <fax></fax>
        </contact>
        <company>
            <name>The Compliance Search Group</name>
            <description></description>
            <industry></industry>
            <url></url>
        </company>
    </job>
    <job>
        <title>Wealth Management & Trust Sr. Compliance Officer</title>
        <job-board-name>ComplianceJobs.com</job-board-name>
        <job-board-url>https://compliancejobs.com/</job-board-url>
        <job-code>57738</job-code>
        <detail-url>https://compliancejobs.com/job/wealth-management-trust-sr-compliance-officer/</detail-url>
        <apply-url></apply-url>
        <job-category>Compliance,Manager,Compliance,Compliance Officer,Senior,Trust,Wealth Management</job-category>
        <description>
            <summary>BUSINESS UNIT DESCRIPTION Our Client, a highly regarded boutique Private Wealth Management firm, with teams of wealth management professionals in 17 major cities, seeks a Senior Compliance Officer. The Senior Compliance Officer will participate in the identification, implementation, resolution, and ongoing monitoring of compliance issues related to the Private Wealth Management firm’s primary entities.   KEY ACCOUNTABILITIES Review, analyze, and interpret issues related to compliance with applicable OCC regulations, relating to trust companies and general fiduciary regulations, including 12 CFR Part 9 (commonly referred to as Reg 9), as well as regulations related to Delaware trust companies. Develop, coordinate, and execute various compliance testing and monitoring initiatives related to the aforementioned regulations, including but not limited to overdrafts, uninvested cash, affiliated holdings, and annual account reviews Use existing systems to ensure that compliance policies and procedures are being adhered to for all client accounts Develop and maintain the trust company’s policies and procedures manual and draft new policies and procedures as needed Prepare and review reporting on testing and oversight results for the CCO, including the monthly Fed Dashboard and the quarterly CCO Report, and assist in department planning as needed Participate in committee meetings related to fiduciary matters, including Discretionary Actions Committee, Risk Management Committee and Trust Committee Act as SOX/Maintenance Officer for the trust company to update ICR, as needed, and review and update RCM controls and risk ratings, as needed Provide advice and guidance to the line of business, as needed, on fiduciary related questions/issues Participate in special projects and perform other duties as assigned, including participation in regulatory and audit exams   KNOWLEDGE AND SKILLS Strong knowledge of trust and general fiduciary laws and regulations. 3-5 years of trust company and/or fiduciary compliance and risk management experience. Strong organizational skills, including the ability to prioritize and follow-up on key issues in a timely manner. Ability to manage multiple projects and deadlines simultaneously. Strong interpersonal skills in order to maintain working relationships with infrastructure support partners and front office personnel. Ability to work effectively in a team environment. Excellent verbal and writing skills. Willingness to travel on occasion.   Interested or know someone that might be? Send resumes to Heather Johnson Heather@ComplianceSearch.com</summary>
            <required-skills></required-skills>
            <required-education></required-education>
            <required-experience></required-experience>
            <full-time></full-time>
            <part-time></part-time>
            <flex-time></flex-time>
            <internship></internship>
            <volunteer></volunteer>
            <exempt></exempt>
            <contract></contract>
            <permanent></permanent>
            <temporary></temporary>
            <telecommute></telecommute>
        <description>
        <compensation>
            <salary-range></salary-range>
            <salary-amount></salary-amount>
            <benefits></benefits>
        </compensation>
        <posted-date>February 14, 2019</posted-date>
        <close-date>2019-08-13</close-date>
        <location>
            <address></address>
            <city></city>
            <state></state>
            <zip></zip>
            <country></country>
        </location>
        <contact>
            <name></name>
            <email>jack@compliancesearch.com</email>
            <hiring-manager-name></hiring-manager-name>
            <hiring-manager-email></hiring-manager-email>
            <phone></phone>
            <fax></fax>
        </contact>
        <company>
            <name>The Compliance Search Group</name>
            <description></description>
            <industry></industry>
            <url></url>
        </company>
    </job>
    <job>
        <title>Talent Acquisition Manager</title>
        <job-board-name>ComplianceJobs.com</job-board-name>
        <job-board-url>https://compliancejobs.com/</job-board-url>
        <job-code>57729</job-code>
        <detail-url>https://compliancejobs.com/job/talent-acquisition-manager/</detail-url>
        <apply-url></apply-url>
        <job-category>Compliance,Manager,Compliance,Compliance Officer,Senior,Trust,Wealth Management,Talent Acquisition Manager</job-category>
        <description>
            <summary>About the position The Talent Acquisition Manager will direct efforts to source, select, and hire qualified candidates for the Financial Professional Associate (FPA) position. Responsibilities include partnering with the agency Managing Director to create and execute comprehensive sourcing and recruitment marketing strategies for the FPA position. The Talent Acquisition Manager will build and manage relationships with community contacts and core schools for campus recruiting. Additionally, the incumbent will play an active role in managing the selection process, assessing candidates’ non-technical skills/knowledge and attributes, and ensuring a positive candidate experience. Will serve as a contact person for the candidate, hiring manager, and recruiting coordinator on the status of the candidate. Responsibilities include, but are not limited to: Recruiting Activities: Develops sourcing strategies with MD Makes contact and follows up with candidates to create and maintain interest in the position and Prudential Builds pipelines of candidates for the FPA position Recruits, interviews and recommends qualified candidates Establishes and utilizes relationships with community groups, Centers of Influence, and other candidate sources as needed Will seek out and recommend sources of candidates including the Internet, colleges, job fairs, technical schools, etc. Establishes strong relationships with agency hiring managers Coordinates Career Information Seminars, including logistics, invitations and presentation of material Transactional Activities: Attains candidate information, offer letters, communications as needed Manages candidate information via web based Applicant Tracking System Manages recruiting activities such as scheduling interviews, assisting and/or set up of recruiting events and providing assistance to candidates/applicants Responsible for reporting on recruitment and selection activities 10% travel This position will be based in San Francisco, CA, with some travel to San Ramon, CA. Qualifications 5-7 years of experience in recruiting preferred Recruiting experience within the Financial Services/Sales industry a plus Life insurance, Annuity products and key competitor knowledge a plus Experience recruiting in a high-volume, fast-paced environment a plus Strong sourcing skills with demonstrated successes utilizing current on-line sourcing techniques, networking and building pipelines Comprehensive behavioral based interviewing and candidate assessment skills Strong consultative and relationship building skills to support agency managers and convert candidates Utilization of market intelligence to source talent Strong communication skills, including consultation, collaboration and influence Presentation/oral communication skills Must be able to self manage Analytical ability: problem-solving skills Organization/time management skills Active in professional and community organizations Technical capabilities: Microsoft Word, Excel, PowerPoint, database systems, applicant tracking systems Demonstrate attention to detail in previous positions Pre-employment Screening: This position requires an in-depth background and criminal check. Any applicant selected for this position will be required to submit to an extensive background screening and a credit check. Failure to comply will eliminate an applicant from consideration for this position. Any negative information obtained as a result of the background screening may result in the disqualification of the applicant from this and any other position in Prudential, including their current position if they are an internal applicant. #LI-POST Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services. We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit www.prudential.com to learn more about our values, our history and our brand. Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law. Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at staffingagencies@prudential.com for more information about doing business with Prudential.</summary>
            <required-skills></required-skills>
            <required-education></required-education>
            <required-experience></required-experience>
            <full-time></full-time>
            <part-time></part-time>
            <flex-time></flex-time>
            <internship></internship>
            <volunteer></volunteer>
            <exempt></exempt>
            <contract></contract>
            <permanent></permanent>
            <temporary></temporary>
            <telecommute></telecommute>
        <description>
        <compensation>
            <salary-range></salary-range>
            <salary-amount></salary-amount>
            <benefits></benefits>
        </compensation>
        <posted-date>February 13, 2019</posted-date>
        <close-date>2019-08-12</close-date>
        <location>
            <address></address>
            <city></city>
            <state></state>
            <zip></zip>
            <country></country>
        </location>
        <contact>
            <name></name>
            <email></email>
            <hiring-manager-name></hiring-manager-name>
            <hiring-manager-email></hiring-manager-email>
            <phone></phone>
            <fax></fax>
        </contact>
        <company>
            <name>Prudential</name>
            <description></description>
            <industry></industry>
            <url></url>
        </company>
    </job>
    <job>
        <title>Senior Advisor, Human Resources</title>
        <job-board-name>ComplianceJobs.com</job-board-name>
        <job-board-url>https://compliancejobs.com/</job-board-url>
        <job-code>57728</job-code>
        <detail-url>https://compliancejobs.com/job/senior-advisor-human-resources/</detail-url>
        <apply-url></apply-url>
        <job-category>Compliance,Manager,Compliance,Compliance Officer,Senior,Trust,Wealth Management,Talent Acquisition Manager,ADVISOR,Human Resources,Senior</job-category>
        <description>
            <summary>The Sr. HR Advisor acts as a partner to management by providing professional HR guidance and support to relevant internal client groups. Consults with management regarding strategic people plans and the application of corporate human resources programs. Builds and maintains a valued advisor relationship with managers and delivers Human Resource solutions that effectively address business issues and needs. Ensures compliance of all employment and labor laws. 1. Executes on key strategic business priorities utilizing HR metrics, organization alignment and design tools, workforce planning, and location strategy. Leads HR workstreams to support business objectives utilizing project management and change management models. 2. Consults with managers on creating a culture committed to employee engagement, development and growth by coaching and advising managers on talent assessment, career planning, and performance management. 3. Acts as a liaison between the line, HR Business Partners & HR Advisors and other HR functions to ensure that HR services are aligned with internal client needs. 4. Ensures compliance on HR-related company guidelines and policies, as well as compliance with all regional, country, local and company regulations while focusing on day-to-day risk mitigation. 5. Attends relevant client team meetings to ensure HR actions support key business initiatives. 6. Provides guidance and leadership to managers and partners on dispute resolution, disciplinary action, regulatory compliance, problem solving, reductions in force and litigation avoidance 7. Coaches and develops managers to become more effective as leaders and managers 8. Maintains an awareness of and partners with Talent Acquisition to help achieve a high quality, diverse talent pipeline 9. Partners with managers to implement change initiatives involving people impact. 10. Participates in functional and cross-functional initiatives. 11. Serves as expert or go to person within a group. 12. Handles extensive, high profile work. 13. Serve on various lead teams as appropriate. Working knowledge of Organizational Effectiveness tools for assessment and design, change management and change communication. Strong consulting, interpersonal, teamwork, communication, and client service skills. Project management leadership.  Significant knowledge of HR policies and processes (e.g. talent management, compensation, performance management). Knowledge of local employment laws. International exposure is beneficial. 10 or more years of related experience   For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 18,500 employees globally. We serve the world’s most-sophisticated clients – from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands. We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater. As of September 30, 2018, Northern Trust Corporation had: $10.8 trillion in assets under custody/administration $8.2 trillion in assets under custody $1.2 trillion in assets under management $132 billion in banking assets </summary>
            <required-skills></required-skills>
            <required-education></required-education>
            <required-experience></required-experience>
            <full-time></full-time>
            <part-time></part-time>
            <flex-time></flex-time>
            <internship></internship>
            <volunteer></volunteer>
            <exempt></exempt>
            <contract></contract>
            <permanent></permanent>
            <temporary></temporary>
            <telecommute></telecommute>
        <description>
        <compensation>
            <salary-range></salary-range>
            <salary-amount></salary-amount>
            <benefits></benefits>
        </compensation>
        <posted-date>February 13, 2019</posted-date>
        <close-date>2019-08-12</close-date>
        <location>
            <address></address>
            <city></city>
            <state></state>
            <zip></zip>
            <country></country>
        </location>
        <contact>
            <name></name>
            <email></email>
            <hiring-manager-name></hiring-manager-name>
            <hiring-manager-email></hiring-manager-email>
            <phone></phone>
            <fax></fax>
        </contact>
        <company>
            <name>Northern Trust</name>
            <description></description>
            <industry></industry>
            <url></url>
        </company>
    </job>
    <job>
        <title>VP, HR Organizational Effectiveness & Talent Assessment</title>
        <job-board-name>ComplianceJobs.com</job-board-name>
        <job-board-url>https://compliancejobs.com/</job-board-url>
        <job-code>57727</job-code>
        <detail-url>https://compliancejobs.com/job/vp-hr-organizational-effectiveness-talent-assessment/</detail-url>
        <apply-url></apply-url>
        <job-category>Compliance,Manager,Compliance,Compliance Officer,Senior,Trust,Wealth Management,Talent Acquisition Manager,ADVISOR,Human Resources,Senior,HR,organizational effectiveness,talent assessment,Vice President</job-category>
        <description>
            <summary>Description   Reporting directly to the SVP, Head of Talent and managing a team of 6, the incumbent uses extensive knowledge and skills obtained through education and experience to develop and implement employee assessments strategies for the firm, lead the administration of corporate engagement survey, and design and conduct measurement research. Leads large or multiple projects with potentially significant scope and business impact. Works with a team on challenging assignments that are broad in nature requiring originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Extensive contact with internal customers and other human resource functional areas is required to identify, research, analyze and resolve selection and assessment issues. Essential Duties and Responsibilities: Shapes and drives the organization and talent assessment strategy for the firm, including the expanded use of testing, assessments, surveys, and human capital analytics. Develops long-range goals, strategies, and action plans for measurement initiatives. Refines the structure; determine resource needs; and lead, coach, and develop the organization and talent assessment team, including responsibility for staffing decisions. Serves as a key member of the Organization and Talent Development leadership team to help shape and drive strategic initiatives. Key leader and partner with Talent Acquisition to ensure the tools/instruments support the current and future needs of recruiting. Consults with HR and internal business clients in support of HR virtual teams to create solutions for a variety of measurement related needs, including surveys, assessments, needs analysis, talent assessments, and other evaluation tools and metrics to meet business demand. Develops, implements, and evaluates systems and processes for employee selection, assessment, evaluation, and metrics. Develops and implements change management strategies to foster buy-in for changes in assessment strategy and tools. Leads the team in administering the firm’s survey and related engagement pulse survey projects. Consults with managers and business unit leaders on results of people metrics to develop recommendations for action planning Designs and conducts organizational and people measurement research. Designs and conducts research to determine validity, effectiveness, and utility of selection processes; monitor and analyze normative test data, interpret test results, and evaluate assessment validity and reliability. Gathers and uses client feedback to incorporate needs, wants and objectives from different business unit perspectives into employee assessment and selection processes. Analyzes jobs and determine appropriate knowledge and skill assessment processes. Analyzes assessment results in comparison with job requirements and prepare individualized assessment reports for senior positions within the firm. Partners with marketing department to administer “top workplace” surveys to align with recruiting and branding strategy. Maintains currency in business issues, metrics and best practices in Industrial/Organizational Psychology. Redesigns training programs to educate managers, recruiters, and others in company assessment and selection processes. Ensures that the integrity and use of candidate assessment processes are in compliance with state and federal regulations. Performs other duties and responsibilities as assigned.   Qualifications   Knowledge, Skills, and Abilities: Knowledge of: Working structure, policies, mission and strategies of the organization. Principles, practices, and procedures of employment, selection assessment and human capital measurement. Research design, analyses, and principles, sufficient to conduct organizational research. Job analysis, assessment center, test development, survey design, needs analysis and performance measurement methodologies. EEOC rules and regulations around selection practices. Skill in: Developing assessment and selection strategies and processes Analyzing jobs and determining appropriate knowledge and skill assessment processes, Analyzing and reporting on assessment results. Designing and conducting research in an organizational context.  Developing and delivering training to others as a subject matter expert. Developing measurement tools and methodologies.  Applying psychometrics to monitor and analyze normative test data, interpreting test results and evaluating alternative assessment tools. Utilizing Excel and SPSS to analyze data. Operating standard office equipment and using required software applications.  Ability to: Interpret and apply organizational policies and procedures. Partner with other functional areas to accomplish objectives. Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed. Incorporate needs, wants and goals from different business unit perspectives into employee assessment and selection processes. Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment. Communicate effectively, both orally and in writing. Work independently as well as collaboratively within a team environment. Lead others in providing a high level of customer service Establish and maintain effective working relationships at all levels of the organization. Educational/Previous Experience Requirements: Ph.D. in Industrial/Organizational Psychology or related field and seven (7) years of experience with pre-employment assessment and talent metrics and analysis. The ability to be the Psychologist on record for ordering pre-employment assessments. Experience working in the Financial Services Industry preferred. ~or~ Any equivalent combination of experience, education, and/or training approved by Human Resources. </summary>
            <required-skills></required-skills>
            <required-education></required-education>
            <required-experience></required-experience>
            <full-time></full-time>
            <part-time></part-time>
            <flex-time></flex-time>
            <internship></internship>
            <volunteer></volunteer>
            <exempt></exempt>
            <contract></contract>
            <permanent></permanent>
            <temporary></temporary>
            <telecommute></telecommute>
        <description>
        <compensation>
            <salary-range></salary-range>
            <salary-amount></salary-amount>
            <benefits></benefits>
        </compensation>
        <posted-date>February 13, 2019</posted-date>
        <close-date>2019-08-12</close-date>
        <location>
            <address></address>
            <city></city>
            <state></state>
            <zip></zip>
            <country></country>
        </location>
        <contact>
            <name></name>
            <email></email>
            <hiring-manager-name></hiring-manager-name>
            <hiring-manager-email></hiring-manager-email>
            <phone></phone>
            <fax></fax>
        </contact>
        <company>
            <name>Raymond James</name>
            <description></description>
            <industry></industry>
            <url></url>
        </company>
    </job>
</jobs>