The NYC Office of the Comptroller is conducting a search for the following role in risk and compliance:   

Title: Compliance Officer

Salary: $100,000 - $115,000

Bureau/Division: Bureau of Asset Management / Compliance

Period: December 13, 2022 - Until Filled

                                                       JOB DESCRIPTION

The Bureau of Asset Management (BAM) is responsible for oversight of the investment portfolios of the New York City Retirement Systems (Systems). This over $270 billion total portfolio is managed primarily by external investment managers and is largely invested in publicly-traded securities with additional allocations to private equity, real assets, hedge funds, and alternative credit investments. The Compliance

department works to ensure investments comply with all relevant City, State and Federal law, the Systems’ investment guidelines, and asset allocation decisions made by the Systems and their Trustees. The Compliance Officer will work with the Chief Compliance Officer (CCO) to identify and implement policies and workflows to monitor regulatory compliance both within the Bureau and with the Systems’

external managers and consultants on issues relevant to the financial services industry.

Reporting directly to the CCO and working with the compliance staff, the Compliance Officer’s responsibilities include, but are not limited to:

• Working with BAM Investment Strategy and the Office of the General Counsel, perform comprehensive compliance-related operational due diligence and disclosure form review on all new and existing public and private market manager recommendations and investments.

• Assisting the CCO in performing a compliance review of presentation materials such as investment memos and presentations for NYC retirement systems’ Trustees and other external parties.

• Maintaining the Bureau’s Business Continuity and Disaster Recovery Plan and developing training and reporting to BAM’s senior leadership team.

• Evaluating ways to improve internal Compliance processes including but not limited to public market investment guideline monitoring, compliance training, and the annual ethics & compliance questionnaire for 300+ investment managers and consultants.

• Assisting the Chief Compliance Officer in maintaining the Agency’s Personal Trading Policy, including setting up electronic data feeds for multiple brokers.

• Researching and providing reporting to the Chief Compliance Officer on changes in regulatory rules and practices affecting investment firms who manage assets for the NYC retirement systems.

• Conducting ad hoc projects as required by the Chief Compliance Officer.

MINIMUM QUALIFICATION REQUIREMENTS

1. A master’s degree from an accredited college or university with major studies in business, economics, finance, or a related field and three (3) or more years of progressively responsible experience in a financial services compliance role and/or carrying out compliance functions for a large and/or complex SEC registered investment advisor, broker/dealer, consulting firm, or in a related area; or,

2. BS/BA degree from an accredited college with major studies in the fields mentioned above and five (5) or more years of progressively responsible professional experience as described above; or,

3. Satisfactory equivalent of education and/or experience equivalent to "1" above.

PREFERRED SKILLS IN ADDITION TO MINIMUM QUALIFICATIONS

• Understanding of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940, specifically Rules 206(4)-7, 204A-1, and 206(4)-5;

• Proactive in identifying process deficiencies and compliance risks and presenting possible solutions;

• Practices a strong ethical code of conduct and commitment to a culture of compliance;

• Solid writing, communication and time management skills, can be adaptable and balance multiple assignments and department priorities;

• Ability to work both independently and collaboratively with teams;

• Working experience with Microsoft Office applications (Word, Excel, PowerPoint, Outlook, SharePoint, Teams).

Apply Here: https://comptroller.nyc.gov/wp-content/uploads/documents/Compliance-Officer-015-023-081.pdf

Please include #NABCRMP as your referral source. 

Crawford & Acharya pllc  is conducting a search for the following role in risk and compliance:   

Administrative Assistant 

Crawford & Acharya pllc is seeking a part-time or full-time administrative assistant to support our attorneys and our boutique corporate compliance and internal investigations firm.  The position will be fully remote, with occasional in-person meetings required. Although we have a preference for candidates based in the Greater Boston, Massachusetts or Miami, Florida areas, we will consider all strong candidates for this role.   

Candidates must have an Associate’s degree and a minimum of five years’ experience in a law firm setting as an administrative assistant.   

The administrative assistant will be responsible for:  

• Managing calendars and coordinating meetings for the firm’s attorneys 

• Maintaining correspondence and case files 

• Planning travel and making travel reservations, both domestically and   

        internationally 

• Organizing meetings, including booking conference rooms at external venues 

• Documenting expenses in the relevant software and preparing expense reports    

        for client matters 

• Client onboarding processes and monthly invoicing 

• Taking notes during meetings and witness interviews 

• Preparing exhibits for witness interviews 

• Other administrative tasks as appropriate  

The successful candidate will have: 

• Proficiency in using the Microsoft 365 suite of products (Excel, PowerPoint, Outlook    

        and Word) 

• Experience with remote working platforms (Teams, SharePoint, Zoom, Webex, etc.) 

• Exceptional communications, organization, listening and writing skills

• Excellent interpersonal skills, with the ability to interact effectively with global         

        corporate clients and individuals at all levels

• Excellent problem-solving skills and attention to detail.  

While we are seeking a full-time assistant, we would consider a part-time position for the right individual.  All work must be performed during standard office hours (e.g., M-F, 9am-6pm ET).  

Benefits include fully remote working environment, technology reimbursements, paid vacation days, access to a healthcare reimbursement account and 401k plan (full-time candidates only).   

Salary range $45,000 to $55,000 commensurate with experience for a full-time position; negotiable for part-time candidates. 

Candidates may apply by submitting a resume and cover letter to info@crawfordacharya.com

Please include #NABCRMP as your referral source. 

Climate Advisors is conducting a search for the following role in risk and compliance:   

Climate Related Risk Senior Associate

Overview:

Climate Advisers—a respected research and public policy group dedicated to strengthening climate action in the United States and around the world—seeks a Climate-Related Risk Senior Associate to join Climate Advisers’ Orbitas team. The Senior Associate will be responsible for identifying, quantifying, analyzing, and communicating the risks that companies and investors face from policy, consumer, and private-sector responses to climate change. The successful candidate will support our dynamic Orbitas finance team while gaining exposure and contributing to our cutting-edge work in global climate change research and advocacy. The ideal candidate excels at implementing quantitative, technical research projects and has experience in financial and economic modeling and engaging key financial and business stakeholders. This is a full-time, exempt, salaried position reporting to the Director of Climate-Related Risk.

Responsibilities

• Conduct economic, financial, and/or geospatial modeling of climate transition risks along tropical commodity supply chains with links to deforestation.
• Contribute to both developing core in-house models/quantitative analysis and defining the technical scope of work for modeling and analytical partners.
• Communicate effectively with external modeling and analytical partners and contractors to coordinate and peer review outputs.
• Support the Orbitas Project Director and provide project leadership as needed.
• Contribute to blogs and other written material on climate-related risks in the forest, food, and land sector, including along tropical commodity supply chains.
• Communicate modeling outputs internally and externally through excellent writing and presentation skills, and tailor communications to financial, government, and corporate audiences.
• Provide thought leadership that improves project outcomes and contribute to project strategy planning discussions.

Required Qualifications

• Three to five years of relevant experience carrying out economic or financial modeling or working in issues related to investment, climate risk, deforestation, and/or tropical agriculture supply chains.
• Understanding of climate policy and climate transition risks and knowledge of the principal tools used in financial risk analysis.
• Proven quantitative research skills, including experience preparing economic models, conducting financial risk analysis, and/or using geospatial software.
• Experience in independent research and writing.
• Excellent attention to detail and strong organizational skills.
• Excellent interpersonal, writing, and oral communication skills.
• Ability to be resourceful, take initiative, and be willing to adapt to both qualitative and quantitative project work.
• Ability to manage, prioritize and multi-task on multiple projects in a fast-paced work environment.
• Ability to work well as a part of an inclusive team and communicate across cultures.

Preferred Qualifications

• Advanced education in a subject that includes economic or financial modeling strongly preferred.
• Familiarity with investor and corporate climate disclosure requirements.
• Knowledge of and experience using global agricultural modeling software like MagPIE and CLUMondo.
• Experience with data visualization software, such as Tableau, Infogram, or DataWrapper.
• Experience with geospatial modeling, such as ArcGIS.
• Ability to communicate in Portuguese, Spanish, Bahasa, and/or French.
• Knowledge of land insecurity issues faced by Indigenous Peoples.

Compensation and Benefits

Salary range for this position is $68,000 - $89,000 annually, depending on skills and experience.  Climate Advisers offers an excellent benefits package including health, dental and vision insurance; employer-paid life, long-term and short-term disability insurance; generous paid time off; and 401(k) plan.

Location: Climate Advisers is a fully remote work environment with the majority of staff concentrated in the Washington, DC area. This role may be performed remotely anywhere in the United States.

To learn more, and to apply please click the link below: 

https://climateadviserstrust.bamboohr.com/jobs

Please include #NABCRMP as your referral source. 

SEC is conducting a search for the following role in risk and compliance:   

Market Surveillance Specialist 

Summary

The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in a federal court or before an administrative law judge, and negotiates settlements.

This position is in the Division of Enforcement, Associate Group 2, in the Office of Investigative & Market Analytics (IMA), located in Washington, DC.

Duties

The incumbent of this position will:

• Serve as a senior adviser and leading technical authority for market surveillance to the enforcement program by gathering market intelligence and providing analysis and review of trading activity in equities, options, fixed income, and other securities instruments.

• Conduct complex investigations, and assemble, analyze and develop reports related to all aspects of securities trading, including but not limited to: insider trading; market manipulation; broker-dealer policies, practices and procedures; clearing firms; investment advisers; transfer agents; securities exchanges; self-regulatory organizations (SROs); and SEC-registered companies.

• Analyze registrant filings; review investigative files, SRO referral files, and actions taken by securities self-regulatory organizations, broker-dealers, clearing firms, and other registered entities; and review information obtained pursuant to Commission subpoenas.

• Conduct market research to obtain historical securities trading data and other market-related information using Bloomberg, Thompson Reuters, or other industry-standard databases.

• Issue request letters and subpoenas, draft actions memos, take testimony, assist trial attorneys in preparation for trial, assist with settlement discussions, testify at trial, provide consultation and analysis on insider trading and market manipulation cases, obtain and analyze trading data from internal and external sources, and provide technical advice on drafting statutes and rules related to Market Surveillance Program operations.

Qualifications

All qualification requirements must be met by the closing date of this announcement.

Qualifying experience may be obtained in the private or public sector. Experience refers to paid and unpaid experience, including volunteer work done through National Service programs (e.g., Peace Corps, AmeriCorps) and other organizations (e.g., professional; philanthropic; religious; spiritual; community, student, social). Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. You will receive credit for all qualifying experience, including volunteer experience.

MINIMUM QUALIFICATION REQUIREMENT: SK-14: Applicant must have at least one year of specialized experience equivalent to the GS/SK-13 level:

(1) Conducting investigations of securities market activity;

(2) Analyzing equities and/or options trading;

(3) Performing market research into trading volumes, stock prices, and financial market news using industry standard databases;

(4) Developing reports that provide analysis of trading activity and making recommendations about further investigative steps or outcomes; and

(5) Providing advice related to securities trading, trading strategies, broker-dealer operations, clearing firms, transfer agents, and securities industry policies, practices, and procedures.

Additional qualification information and the link to the application can be found here: https://www.usajobs.gov/job/700201400

Please include #NABCRMP as your referral source. 

Securian is conducting a search for the following role in risk and compliance:   

Anti-Fraud/Financial Crimes Risk Manager

Overview:

A successful Leader of the Anti-fraud and Financial Crimes team at Securian Financial will provide leadership and direction to identify, implement, and oversee enterprise programs and initiatives relating to the detection and prevention of fraud and other financial crimes. Significant cooperation and iterative program development with the Special Investigations Unit to inform our policies and drive ongoing strategy.  Development, maintenance, and support of corporate compliance functions including: Anti-money laundering & USA Patriot Act/OFAC scanning, Anti-Fraud initiatives, FinCEN suspicious activity reporting, prevention of financial abuse of elders and vulnerable adults, and supporting certain sales and licensing practices. 

The Leader of the Anti-fraud and Financial Crimes team will be accountable to:

• Collaborate with diverse business partners to build a true partnership, understand needs, and maintain an effective fraud prevention program
• 
  
• Drive and report on the performance and results within areas of specialty
• 
  
• Adapt plans and priorities to address resource and operational requirements of the team
• 
  
• Make decisions and problem solve guided by policies, procedures and function/team plans
• 
  
• Provide technical guidance to associates, colleagues and/or customers
• 
  
• Network with industry peers and trade groups to remain aware of current and upcoming threats and industry trends
• 
  
• Recruit, direct, motivate, and develop a team, maximizing their individual contribution, professional growth and ability to function effectively with their colleagues as a team
• 
  
• Manage the financial and human resources of the team including budgeting, hiring, performance management, and day-to-day operations

Qualifications:

• Proven success in leading a risk or compliance team
• Experience in the financial services risk management.
• 
  
• Knowledge and experience working directly in an antifraud department preferred
• 
  
• Highly self-motivated, with keen sense of ownership and passion to deliver results.
• 
  
• Ability to work with associates from across the enterprise (cybersecurity, compliance, fraud investigations, technology, data and analytics, operations, treasury, etc.) to understand business needs, define requirements, identify synergies and prioritize.
• 
  
• Excellent written and verbal communication/presentation skills, including the ability to appropriately influence a broad spectrum of partners at all levels.
• 
  
• Experience in balancing risk mitigation with customer experience.
• 
  
• Excellent analytical, research, problem solving skills, technical skills, attention to detail and inquisitive mindset to thoroughly assess and understand emerging and critical risks.
• 
  
• Thrives in demanding and evolving environment and able to adapt to shifting priorities.

#LI-Hybrid **This position is a hybrid working model**

*Internal Securian Financial job title for this position is Risk Management Mgr*

To learn more, and to apply please click the link below: 

https://hq.wd5.myworkdayjobs.com/Securian_External/job/Saint-Paul-MN-Campus/Anti-Fraud-Financial-Crimes-Risk-Manager_R-006119

Please include #NABCRMP as your referral source. 

The SEC is conducting a search for the following role in risk and compliance:   

SENIOR OFFICER-CHIEF RISK AND STRATEGY OFFICER

Summary

The Chief Risk and Strategy Officer (CRSO) will oversee the Division's risk assessment, market surveillance and financial intelligence efforts as well as its large firm monitoring and quantitative analytical teams. The CRSO will help formulate strategies that will inform and help facilitate the Division's risk-focused strategies by leveraging data, information, human capital and IT systems. In this capacity, the CRSO will be responsible for supporting the Division's risk-based and data driven processes through the identification of risks and emerging issues in the financial markets, exam targeting and selection efforts, resource allocation, and investment in quantitative-based examination initiatives. The CRSO will also oversee staff within the organization that conduct examinations of certain Registrants with elevated risk profiles as well as staff that conduct registration-related reviews and activities.

As the Division's Chief Risk and Strategy Officer and a direct report to the Director, you will:

• Lead the Division's risk management capabilities and promote a risk-based approach to examinations to fulfill its mission to promote compliance with U.S. securities laws, prevent fraud, monitor risk, and inform SEC policy.
• Develop, implement, and oversee the Division's risk management program including the processes for identifying, assessing, prioritizing, mitigating, monitoring, and reporting on key risks that could impair the Division's ability to achieve its mission or goals.
• Collaborate with Division leadership to promote effective governance of significant enterprise risks that span the examination program and serve as highly engaged partner to ensure other key risks are locally identified and owned and risk measurement, mitigation, and monitoring tools are effectively deployed.
• Advise and inform the Director on risk management matters and promote the consideration of risk management factors in budgetary, operational, and strategic decision-making.
• Promote the spirit and practice of diversity, further the goals of equal employment opportunity, and adhere to nondiscriminatory employment practices.

The Chief Risk and Strategy Officer (CRSO) position is in the Division of Examinations located in Washington, DC, Philadelphia, PA or New York, NY and is open to US Citizens.

To learn more, and to apply please click the link below: 

https://www.usajobs.gov/job/693108200

Please include #NABCRMP as your referral source. 

Ohio State University is conducting a search for the following role in risk and compliance:    

Assistant Vice President for Medical Center Compliance

Position Summary

Department:

Health System Shared Services | Office of Legal Affairs

The Ohio State University, one of the nation's leading public universities, is seeking applications for the position of Assistant Vice President for Medical Center Compliance.  With the vision of supporting a university philosophy that values compliance and integrity, this colleague will support a compliance function that seeks to be a leading model in higher education.  Reporting to the Vice President and Chief Compliance Officer, the Assistant Vice President for Medical Center Compliance leads the Office of Compliance and Integrity at The Ohio State University Wexner Medical Center (OSUWMC). 

This Office is charged with developing and implementing The Ohio State University Wexner Medical Center’s Compliance Program.  This Program establishes standards and procedures for all university colleagues to affect compliance with federal, state, and local laws, regulations, and university policies.  This Office is also responsible for monitoring, evaluating, and revising the Program as necessary to conform to changes in the healthcare regulatory and business environment.  The mission of the Office of Compliance and Integrity is to provide independent, objective assurance and consulting services designed to add value and improve operations across the Wexner Medical Center’s enterprise.

The position is responsible for the operations and oversight of the Compliance Program as approved by the Chief Compliance Officer and the university’s Board of Trustees.  This position serves as the central point of accountability for compliance and integrity, with responsibility for developing policies, providing training, testing and monitoring, conducting audits and investigations, reporting, and offering guidance on all compliance matters to the Medical Center community.  This leadership position reinforces and develops a culture that fosters integrity, encourages ethical conduct, and advances shared values.   

Minimum Qualifications

Bachelor’s degree in a related field, or equivalent combination of education and experience. Eight or more years’ experience in a hospital/health system, government agency, large business, or law firm with experience in managed care and regulatory law.  Demonstrated success in a progressively responsible management capacity, including established leadership capabilities; strategic or long-range planning experience; and broad knowledge of the Medicare program and practices of health care management sufficient to manage and coordinate the operations of the Compliance Program.  Proven ability to provide a high level of professional interaction with all levels of partners and stakeholders inside and outside the university. Excellent written and oral communication skills.

To apply and for more information, visit here: https://osu.wd1.myworkdayjobs.com/en-US/OSUCareers/details/Assistant-Vice-President-for-Medical-Center-Compliance_R65567-1?q=R65567 

Please include #NABCRMP as your referral source. 

Ohio State University is conducting a search for the following role in risk and compliance:    

Senior Compliance Specialist, Conflict of Interest 

Position Summary

The Ohio State University is seeking applications for the position of Senior Compliance Specialist, Conflict of Interest.  The Senior Compliance Specialist reports to the Associate Director, Conflict of Interest (COI) in the Office of Research Compliance (ORC). ORC partners with investigators, department chairs, and deans to ensure that faculty and staff conduct their research with integrity and respect and with minimal compliance risks. ORC also supports and coordinates with other units within the Office of Research, including the offices of Responsible Research Practices (ORRP), Sponsored Programs (OSP), and Secure Research (OSR).

The Senior Compliance Specialist helps to manage various administrative duties related to ORC’s COI processes and procedures with minimum direction and/or oversight from the Associate Director. This role is responsible for identifying, evaluating, and managing COIs in research; coordinating management of potential COI issues with staff in other university units, including the Office of Secure Research, Office of Sponsored Programs, the Office of Responsible Research Practices, the Office of University Compliance and Integrity, the Ohio State University Wexner Medical Center Compliance Office, and the Office of Innovation and Economic Development; administering and improving the electronic Conflict of Interest (eCOI) approval and disclosure processes, including developing, testing, and implementing process improvements; providing advice to principal investigators and research teams to complete approval forms and disclosure forms; interpreting complex state and federal regulations and agency guidance related to potential financial COIs in research; developing specific Conflict Management Plans involving outside activities; providing administrative support and guidance to the Conflict Approval Committee (CAC) and to college deans and department chairs; conducting training sessions and university outreach for research teams, faculty, staff and students; and advising with compliance issues involving external consulting, conflicts of commitment, technology commercialization, foreign influence, and issues relating to Ohio Ethics laws.  This position includes a specific emphasis on identifying and managing COIs related to foreign affiliation disclosures made in the eCOI.

This position may be fully remote but may require occasional meetings with senior-level administrators and faculty or delivery of on-site training.

Required Qualifications: 

• Bachelor's Degree or equivalent combination of education and experience.
• 
  
• A minimum of four (4) years' experience in higher education, research administration, or compliance related to conflict of interest.
• 
  
• Demonstrated experience in the interpretation and application of state and federal regulations regarding conflicts of interest.
• 
  
• Complex regulatory analysis, problem solving, and organizational skills.
• 
  
• Requires successful completion of a background check.

Desired Qualifications:

• Experience with conflict of interest, human subject protection, research administration and/or compliance in higher education.
• 
  
• Knowledge of state laws and federal regulations governing academic research.
• 
  
• Function: Research Administration
• 
  
• Subfunction: Research Compliance
• 
  
• Career Band and Level: S3

To apply and for more information, visit here: https://osu.wd1.myworkdayjobs.com/OSUCareers/job/Columbus-Campus/Senior-Compliance-Specialist--Conflict-of-Interest_R64682  If interested in position, please apply online or contact Linda Neidhardt, Program Director - Office of Research Compliance, neidhardt.4@osu.edu 

Please include #NABCRMP as your referral source. 

Ohio State University is conducting a search for the following role in risk and compliance:    

Compliance Specialist

Scope of Position

Compliance and Integrity (C&I) is charged with the establishment, development, and implementation of the Medical Center’s Compliance Program. The Compliance Program establishes standards and procedures for all University Representatives to affect compliance with applicable federal, state, and local laws, regulations, and ordinances. This unit also monitors, evaluates, and revises the program as necessary to conform to the changes in the healthcare regulatory and business environment. The successful candidate will become familiar with system scope and project objectives as well as the role and function of each team member.

Position Summary

Under the direction of the OSUWMC Chief Compliance Officer, the [JOB TITLE] conducts compliance risk assessment and abatement techniques, serves as the primary department educator and communications coordinator. The position may supervise 1-2 people.

Works with limited direct supervision. Drives the preventative steps in the compliance cycle on behalf of the department and OSUWMC.

The individual will use industry knowledge and through understanding of concepts, principles, and technical capabilities to perform tasks and projects:

• early warning surveillance of federal and state regulatory proposed and final rule making, enforcement actions and other activities that will inform a compliance risk assessment ,
• triaging compliance issues for resolution by the audit team, investigations team, or specific department subject matter expert.
• writes department reports
• performs compliance awareness and training initiatives and promotes such awareness throughout the organization on a broad range of regulated topics (false claims act, HIPAA, antikickback, Ohio Ethics law, Accountable Care Organizations, etc.).

Required Qualifications

• Bachelors of Business, Healthcare Administration, or equivalent degree.  Advanced degree (e.g., Masters, MBA, MHA, JD, etc.) preferred.
• Excellent interpersonal and communication (oral and written) skills, including the ability to articulate operational and strategic goals to diverse stakeholders
• Experience with compliance subject matter, including the Ohio Revised Code, the Ohio Administrative Code, the Code of Federal Regulations, Health Insurance Portability & Accountability Act (HIPAA) and CMS Regulations
• Familiarity with ICD-10 and CPT codes, federal and state regulations pertinent to a health system, medical terminology, clinical trials management, and population health initiatives.
• Minimum 3-5 years’ experience in hospital operations, compliance, federal or state health care agency, law firm or equivalent.
• Proven leadership skills with the ability to mentor and direct staff
• Ability to work independently or as part of a team with all levels of the organization
• Resolves complex issues and facilitates cooperation among conflicting parties
• Strong project management skills with the ability to juggle multiple responsibilities, often under time constraints
• Uses sound judgement, initiative, and independence to focus on strategic wins
• Treats sensitive information with the highest level of confidentiality
• Proficient in computer software applications for word processing and electronic medical records (Word, Excel, PowerPoint, Visio, Acrobat, Epic)

To apply and for more information, visit here: https://osu.wd1.myworkdayjobs.com/en-US/OSUCareers/details/Compliance-Specialist_R55739-1?q=compliance  

If interested in position, please either apply online or contact Kathleen Ojala, Kathleen.Ojala@osumc.edu

Please include #NABCRMP as your referral source. 

Mayo Clinic is conducting a search for the following role in risk and compliance:    

Clinical Regulatory Process Manager 

Primary responsibilities include researching, analyzing, and interpreting Medicare and other governmental payment policies, compliance, and reporting issues for both hospital and clinic entities across Mayo Clinic. Serves as technical subject matter expert on issues specific to physician billing, coding, medical education, transplant services and various other Part A and B related issues. Position will interact with administration, physician leadership, finance, revenue cycle and other operational personnel. Deals with sensitive issues with government offices, collects comments and writes Mayo Clinic letters for state and federal legislative changes. This position will analyze internal and external data and information requests, provide research for Medicare and other governmental payer rules and regulations, and support Medicare Part A and Part B compliance efforts. Will serve as a liaison with Medicare contractors, state agencies for Medicaid, and other government agencies as applicable.

For the Clinical Regulatory Process Manager position: This position also requires an understanding, researching, analyzing, and interpreting rules of Medicare Conditions of Participation, Joint Commission, accreditation requirements, CDI, Utilization Review and/or Case Management.  

Collaborates with clinical operation leaders and clinical staff to engage in process improvement to accelerate and drive operational efficiency and clinical excellence.  

To apply and for more information, visit here: https://apply.mayoclinic.org/TGnewUI/Search/home/HomeWithPreLoad?partnerid=25309&siteid=5278&PageType=JobDetails&jobid=3096056#jobDetails=3096056_5278

Please include #NABCRMP as your referral source. 

NABCRMP Corporate Member Target is conducting a search for the following roles in risk and compliance:   

Director, Compliance Controls Assurance

https://jobs.target.com/job/minneapolis/director-controls-assurance-based-in-minneapolis/1118/40982339824

Please include #NABCRMP as your referral source. 

The SEC is conducting a search for the following role in risk and compliance:   

MARKET SURVEILLANCE SPECIALIST

Summary

This position is located in the Division of Enforcement's Office of Market Intelligence (OMI). OMI is responsible for a number of intelligence and analytical programs, including the intake, analysis, and evaluation of thousands of tips, complaints, and referrals (TCRs), and other intelligence that the SEC receives each year, and the referral of these this intelligence for potential investigation or other action.

Typical duties include:

• Advise the BlueSheets Team Lead on issues arising in the BlueSheet program's day-to-day operations. Ensure timely, complete, and accurate BlueSheet submissions with limited supervision.
• Provide guidance to users and other stakeholders on the BlueSheets system and on processes or data related to Broker-Dealer and Clearing Firms, Exchanges, and equity and option markets.
• Work with the BlueSheet Operations Team to review daily error reports, resolve issues, manage user access requests, correspond with clearing firms, coordinate on data back-outs and retransmissions, etc. Work with internal and external stakeholders to address questions relating to requests for BlueSheet data or other issues that may impact a firm's timely, complete, and/or accurate BlueSheet response. 
• Assist the Team Lead in BlueSheet data quality reviews and investigations in a timely manner and proactively share the findings of the reviews and investigations with internal and external stakeholders in high-quality written reports that are thorough, accurate, and well-documented. Assist the Team Lead in conducting periodic reviews of clearing firms for compliance with BlueSheet timeliness standards.
• At the Team Lead's direction, interact with clearing firms, including business executives and technologists; FINRA BlueSheet Operations and Technology leadership; the Intermarket Surveillance Group (ISG); SEC executives and managers; BlueSheet Power Users and Basic Users; and OIT, OA, and SEC's Enterprise Business Intelligence Reporting Program.
• Demonstrate intermediate expertise regarding BlueSheet trading data, including requests, submissions, investigations, and high-risk matters, as well as rules and regulations that impact the BlueSheet program.
• Make recommendations to the Team Lead for process improvements.
• Assist the Team Lead in developing Standard Operating Procedures, guidance, and briefing materials.
• Assist the Team Lead in managing knowledge management sites and user access and auditing procedures.

This position is located in Washington, DC

To learn more, and to apply please click the link below: 

https://www.usajobs.gov/job/687601400 

Please include #NABCRMP as your referral source. 

NABCRMP Corporate Member FINRA is conducting a search for the following roles in risk and compliance:   

Associate Director, Data Scientist

https://finra.wd1.myworkdayjobs.com/FINRA/job/New-York-NY-Job-Posting/Associate-Director--Data-Scientist---Any-FINRA-Locations_R-004647 

Associate Principal Risk Specialist, Member Supervision 

https://finra.wd1.myworkdayjobs.com/FINRA/job/New-York-NY-Job-Posting/Associate-Principal-Risk-Specialist--Member-Supervision---Any-FINRA-Location_R-004768 

Senior Principal Investigator, Cyber Security 

https://finra.wd1.myworkdayjobs.com/FINRA/job/Chicago-IL-Job-Posting/Senior-Principal-Investigator--Specialist-Team---Any-FINRA-Locations_R-004966 

Associate Principal Risk Specialist - Fixed Income - Any FINRA Locations 

https://finra.wd1.myworkdayjobs.com/FINRA/job/New-York-NY-Job-Posting/Associate-Principal-Risk-Specialist---Fixed-Income---Any-FINRA-Locations_R-005085 

Principal Analyst, Risk Monitoring, Medium Diversified Firms 

https://finra.wd1.myworkdayjobs.com/FINRA/job/New-York-NY-Job-Posting/Principal-Analyst--Risk-Monitoring--Medium-Diversified-Firms---All-FINRA-Locations_R-005104 

Senior Principal Risk Specialist, Cyber Security Investigations 

https://finra.wd1.myworkdayjobs.com/FINRA/job/Chicago-IL-Job-Posting/Senior-Principal-Risk-Specialist--Cyber-Security-Investigations----Any-FINRA-Locations_R-005308 

Please include #NABCRMP as your referral source. 

NABCRMP Corporate Member Corteva Agriscience is conducting a search for the following role in risk and compliance:   

Ethics and Compliance Officer – North America 

The Ethics and Compliance Officer – North America position is primarily responsible for ensuring that employees are aware of and operate according to laws, regulations, and internal policies, including the employee Code of Conduct. Compliance Program Managers help to manage all elements of a compliance program that are described in Chapter 8 of the U.S. Sentencing Guidelines including drafting and implementing policies and procedures, providing training and communications, conducting risk assessments, audits, and investigations, ensuring continuous improvement of the Ethics and Compliance Program, and helping to mitigate conflicts of interests.

What will you do – How will you help us Grow?

Primary Responsibilities:

• Develop, maintain, revise, and train on policies and procedures for the operation of the Ethics and Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
• Manage large compliance projects from Project Charter phase to completion.
• Provide advice and assistance to design and implement compliance risk area programs.
• Conduct compliance risk assessments to determine high-risk areas for remediation and monitor the implementation of compliance plans to mitigate risk exposure.
• Keep current with emerging compliance issues and trends. Conduct external benchmarking of compliance programs and best practices.
• Collaborate across the region to resolve compliance issues including referral to appropriate channels for investigation, if necessary. Consult with local Legal Counsel, if needed, to resolve complex compliance issues.
• Develop a network of ethics advisors within the region to provide ethics and compliance guidance to local employees and assist with training activities.
• Provide training and develop communications on Ethics and Compliance topics and programs.
• Provide ethics and compliance reports on a routine basis to keep managers and employees informed of the operation and progress of compliance efforts.
• Provide strategic consultation on ethics and compliance issues. Assist in identifying trends, remediation actions, and best practices.
• Respond to alleged violations of laws, regulations, and internal policies by evaluating the need to initiate investigations. Supports the Global Investigations Leader in conducting investigations and participates in the Ethics Committee for employee disciplinary actions. Serves as primary backup to Global Investigations Leader.
• Responds to employee questions and concerns regarding the Code of Conduct and other ethics and compliance policies.

What expertise have you grown – What do you bring to the table?

Required Education:

• Bachelor’s Degree.
• JD Degree.

Experience:

• 8-10 years of business, legal experience.
• 2-3 years of prior compliance experience.

Other qualifications preferred:

• Ability to work cross-functionally to understand and resolve compliance challenges.
• Tact, diplomacy, and conflict resolution skills.
• Good presentation skills with strong working knowledge of Microsoft Office products (Word, PowerPoint, Excel).
• Charting and trend analysis skills.
• Project management experience.
• Solid command of the importance of company values and integrating compliance into everyday work.
• Excellent communication skills, both written and verbal.

To learn more, and to apply please click the link below: 

https://careers.corteva.com/job-en/16950083/ethics-and-compliance-officer-north-america-indianapolis-in/ 

Please include #NABCRMP as your referral source. 

Columbia University in the City of New York: School of Professional Studies is conducting a search for the following role in risk and compliance:   

Associate Professor of Professional Practice/Professor of Professional Practice in Enterprise Risk Management 

The School of Professional Studies (SPS) at Columbia University invites applications for full-time positions at Associate Professor of Professional Practice/Professor of Professional Practice to teach in the MS Program in Enterprise Risk Management (ERM). The degree prepares graduates to inform better risk-reward decisions by providing a complete, robust, and integrated picture of both upside and downside volatility across an entire enterprise.

This position will begin on July 1, 2023. This is a full-time appointment with a multi-year renewal contingent on a successful review.

We seek high-quality candidates with a graduate degree in ERM, risk management, finance, financial engineering, economics, business, operations research, or other ERM/risk areas or a Fellow of the Society of Actuaries (FSA) credential.  The ideal candidate will have significant and recent ERM/risk-related experience in either organizational roles or consulting or both. 

This position will involve the following:

• Regular teaching of program courses.
• Service to program, support of admissions, program events, mentoring of students/alumni, curriculum enhancement.
• Eminence building, such as speaking at industry conferences, authoring articles for industry publications, and participation in any research opportunities.

The successful candidate will teach program courses such as those listed below, depending on their fit into one of two profiles:

Profile 1: Corporate ERM experienced professional:

• Candidates in this profile must teach one or more courses related to ERM frameworks (COSO ERM; Basel Accords; ISO 31000; value-based ERM):
  
  • Traditional ERM Practices
  • Value-Based Enterprise Risk Management
  • Capstone

• Candidates in this profile may also be asked to teach one or more courses related to stakeholder ERM requirements or communications:
  
  • External Stakeholder Requirements
  • Strategic Communications for Risk Professionals
  • Cognitive Bias & ERM

Profile 2: Financial risk management experienced professional:

• Candidates in this profile must teach all of the following courses related to financial risk management and modeling:
  
  • Financial Risk Management
  • Intro to Quantitative Risk Management
  • Coding for Risk Management

• Candidates in this profile may also be asked to teach one or more courses related to stakeholder ERM requirements or communications:
  
  • Credit Risk Management
  • Market Risk Management
  • Liquidity Risk Management
  • ERM Modeling
  • Machine Learning for Risk Management
  • Derivatives Risk Management

All applicants must have a BA/BS degree. Master's or doctoral degrees are strongly preferred. Candidates at the rank of Associate Professor of Professional Practice/Professor of Professional Practice are expected to have:

• Substantial professional experience and accomplishments, prominence in the industry, and evidence of professional growth and activity in the field.
• Teaching experience and excellent teaching evaluations.
• A demonstrated commitment to diversity, equity, inclusion, and accessibility in the classroom and professional practice.

Preferred Qualifications

The ideal candidate will have significant ERM/risk-related experience and hold either of the following:

1. A doctoral or master's degree in ERM, risk management, finance, financial engineering, economics, business, operations research or other ERM/risk area.
2. A Fellow of the Society of Actuaries. 

Applicants are encouraged to apply by November 18, 2022 to receive full consideration, although application review will begin immediately.  

All applications must be made through Columbia University’s Academic Search and Recruiting (ASR) system. Please upload the following required materials:

• Cover letter
• Curriculum Vitae
• Statement of Teaching Philosophy
• Writing Sample(s)
• 3 letters of Recommendation (solicited from a list of references provided)
• Teaching Evaluations
• Research Abstract (optional)
• Publication(s) (optional) 

To learn more, and to apply please click the link below: 

https://apply.interfolio.com/113946

Please include #NABCRMP as your referral source.