Job Summary: 

• Responsible for oversight of the Contracts Management & Trade Compliance function at II-VI A&D.
• Provide expert guidance and direction for all aspects of contract management, participating in major proposals, agreements, and terms and conditions reviews, leading key negotiations with customers, and drafting complex agreements and contracts 
• Manage contracts to ensure full compliance with contract terms, and conformance with policies, practices and standards to meet business objectives and to ensure compliance with customer specifications and government regulations.
• Directs and manages all customer non-disclosure agreements, contracts for all current programs and future programs.
• Manage contractual obligations and regulations to ensure flow down throughout the organization, including customer terms and conditions, included in RFQ/RFP’s and customer purchase orders. 
• Advises business development personnel, senior management and the bid/proposal team of potential conflicts and liabilities and assists or leads customer negotiations accordingly. 
• Maintains awareness of changes to FAR, DFAR, ITAR, EAR and other applicable government regulations associated with contractual requirements and export controls. 
• Responsible for management of the NDA/PIA process, ensuring that proper review, signature coordination, database maintenance and record keeping is completed by Contracts staff. 
• Draft contractual letters or agreements for customers and/or suppliers
• Ensures the adoption of trade compliance tools, and systems which demonstrate compliance with the applicable Trade Compliance laws and regulations within II-VI A&D. 
• Manages and provides guidance to trade compliance & A&D staff on all export, import and trade requirements as stated under Export Administration Regulations (EAR) and International Traffic in Arms Regulations (ITAR), customs processes, commercial invoices, HTS classifications, product classifications, and customs entries as well as an dual use controls, licensing and impact on movement of goods.
• Ensure that the contract management and trade compliance administration activities are performed in a professional, efficient, and effective manner following good business practices and in strict compliance with all applicable Corporate and company policies, procedures, and processes, applicable laws and regulations, and contract requirements

Skills on Resume: 

• Contract Management (Hard Skills)
• Regulatory Compliance (Hard Skills)
• Negotiation Skills (Soft Skills)
• Legal Drafting (Hard Skills)
• Trade Compliance (Hard Skills)
• Policy Adherence (Hard Skills)
• Risk Management (Soft Skills)
• Team Leadership (Soft Skills)

Job Summary: 

• Lead the development and implementation of the annual compliance work plan.
• Lead the research and implementation of new compliance regulations.
• Determine the scope, objectives and approach of each review to be performed.
• Prepare compliance review plans with an emphasis on clearly describing the various auditing procedures to be used and the key points in the area to which they will be applied.
• Collect, analyze, interpret and document information to support audit findings.
• Prepare audit reports to document area under review, procedures performed and conclusions met.
• Perform oral presentations to all levels of management throughout the review, discussing review objectives and approach, deficiencies found (if any), and recommendations for improvement.
• Appraise the adequacy of management's response to recommendations identified in written reports.
• Obtain access to technologies and other resources which provide up-to-date releases on changes in laws, rules and regulations.
• Assist in the preparation of formal written reports to the Compliance and Audit Committee of the Board of Directors, summarizing completed projects as well as short and long term range objectives of the department.
• Ensure that sufficient data points relative to regulatory documentation are maintained in the GRC system to allow for ease of searching and the necessary cross referencing between all related information.
• Responsible for monitoring each jurisdiction on an ongoing basis for updates to legislation, regulations, standards and directives.
• Responsible for the development and maintenance of the internal controls, terms and conditions, and other regulatory required documentation for all areas required by regulation across all targeted and operational jurisdictions.
• Develop and oversee a system to track regulatory documentation to include but not limited to Statutes, Regulations, Regulatory Directives, Internal Controls, and Policies and Procedures through the use of a Governance, Compliance, and Risk “GRC” platform.

Skills on Resume: 

• Work Plan Development (Hard Skills)
• Regulatory Research (Hard Skills)
• Audit Planning (Hard Skills)
• Data Analysis (Hard Skills)
• Report Writing (Hard Skills)
• Presentation Skills (Soft Skills)
• Regulatory Monitoring (Hard Skills)
• Communication Skills (Soft Skills)

Job Summary: 

• Develop and recommend enhancements to newly established compliance framework designed to identify, prevent, detect and mitigate violations of applicable law or Fund’s policies
• Responsible for implementing and maintaining compliance monitoring, updating policies & procedures, reporting, testing, and applying regulatory guidance as well as industry best practices
• Responsible for providing ongoing compliance support and advice for the day-to-day activities of the Fund’s operations as well as designing and implementing new strategies and initiatives.
• Work with the business to resolve significant breaches and violations of such policies, and external reporting 
• Promote, protect and set the tone to reflect the Fund’s reputation for ethics, integrity, and honesty in all dealings
• Assist the management team in dealing with regulators, auditors, and operations regarding regulatory exams and inquiries.
• Provide compliance support for new product initiatives
• Integrate industry benchmarking and best practices through ongoing research, education, and industry affiliations
• Collaborate with the legal team to analyze changes to regulatory requirements and proactively manage regulatory developments and changes
• Identify, develop, organize, and deliver necessary compliance related training, and reinforce all compliance-related communications
• Collaborate with the ERM team and operations in general to address necessary compliance related changes
• Provide strategic direction to the management team on compliance.
• Manage or assist with company communications
• Collaborate with Legal Team to respond to requests made by state and federal regulatory agencies.
• Provide regular compliance reports on the operation, efficacy, and progress of compliance efforts, violations, and risks.
• Help prepare for facility inspections, government regulatory investigations, and external audits. 

Skills on Resume: 

• Compliance Framework Development (Hard Skills)
• Policy Implementation (Hard Skills)
• Compliance Advisory (Soft Skills)
• Breach Resolution (Soft Skills)
• Ethics and Integrity Promotion (Soft Skills)
• Regulatory Liaison (Hard Skills)
• Industry Benchmarking (Hard Skills)
• Compliance Training Delivery (Soft Skills)

Job Summary: 

• Lead or support projects, including implementation, related to global and/or regional strategic initiatives and priorities
• Draft, review and/or implement policies, procedures and processes to help ensure compliance with applicable regulatory requirements and industry practices, including registration requirements in connection with fund formation and capital raising activities
• Implement compliance programs/control frameworks relevant to compliance and conduct risks and requirements pertaining to alternative investments, including with respect to personal account dealing, trading restrictions, anti-money laundering & anti-terrorism screening and risk assessment, KYC, conduct management, conflicts of interest, reporting obligations, fund-level documentation, approval and document execution practices, material non-public information, and external communication such as marketing materials, websites, press releases and investor reporting
• Develop and/or execute periodic testing and oversight of investment team activities
• Assist with the preparation and delivery of compliance training and education programs
• Partner with global legal and compliance colleagues, businesses, and other control functions to understand opportunities and create solutions to appropriately navigate potential and actual risks
• Prepare and present management information reporting
• Provide timely responses to inquiries and requests from clients and business partners.
• Ownership of developing, implementing, and maintaining compliance programs, policies, and procedures to ensure compliance with all applicable laws and regulations. 
• Maintain current knowledge of relevant state and federal regulations and policies.
• Develop and implement risk assessment and monitoring programs, conduct audits to assess regulatory compliance with company policies, state and federal laws and regulations.
• Implement, supervise and promote compliance for employees with appropriate policies and procedures such as investigation and resolution of compliance inquiries, reports, complaints, and grievances.
• Create and implement compliance training for company personnel.
• Review findings and implements correction action plans while partnering with functional leaders. 
• Partners with leaders to ensure record-keeping and security requirements are met at operating facilities. 

Skills on Resume: 

• Project Management (Soft Skills)
• Policy Development (Hard Skills)
• Compliance Framework Implementation (Hard Skills)
• Risk Assessment (Hard Skills)
• Compliance Training (Soft Skills)
• Cross-Functional Collaboration (Soft Skills)
• Regulatory Reporting (Hard Skills)
• Audit Execution (Hard Skills)

Job Summary: 

• Ensure compliance with local, state, and federal laws and regulations in which currently operate as well as future markets 
• Collaborate with leaders within the organization to ensure all operations are in full compliance in all locations.  
• Provide sound guidance and advice to help develop and maintain the company’s SOP’s and guidelines while remaining compliant at all times.  
• Partners with leaders in production, cultivation, retail, and supply chain to develop and implement state-specific and company-wide SOP’s and oversight regarding compliance requirements. 
• Continuously monitor SOP implementation, revisions and operational adherence to written procedures. 
• Advise leaders on new and existing regulations and laws related to the cannabis industry to ensure compliance at all times. 
• Perform internal audits within various operational functions and effectively communicate any corrective actions needed, in a clear and consistent manner. 
• Maintain positive relationships with regulatory groups in all states in which operate and ensure have long-term contingency plans. 
• Communicate effectively with both internal and external customers by providing exceptional customer service. 
• Oversee a team of compliance professionals and advise the team on new and existing laws regarding cannabis. 
• Work with compliance team on responses to audits and incidents that require regulatory reporting.  
• Identify and oversee internal remediation 
• Partner with leaders on reviewing and submitting all product specifications needed for review and approval by regulatory authorities 

Skills on Resume: 

• Regulatory Compliance (Hard Skills)
• Cross-Functional Collaboration (Soft Skills)
• SOP Development (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Regulatory Advisory (Soft Skills)
• Internal Auditing (Hard Skills)
• Team Leadership (Soft Skills)
• Incident Response (Hard Skills)

Job Summary: 

• Act as the local point of contact in interactions and communications with APRA, ASIC and Australian government authorities including regulatory reviews, regulatory communications, meetings and ad-hoc requests, etc.
• Provide compliance support, guidance and advice to Global Markets and Corporate & Investment Banking on relevant policies and procedures and conduct compliance training.
• Ensure effective partnership and relationship building by communicating and managing contact with senior business leaders and colleagues, both locally and globally, to facilitate appropriate information sharing, project coordination, and open lines of communication.
• Assist the Head of Compliance Asia Pacific to fulfill his regional wide mandate.
• Monitor regulatory changes (within area of accountability) and communicate to relevant stakeholders the implication of existing and proposed regulations and, where required, assist in the development of responses to regulators.
• Conduct oversight by periodic Compliance surveillance and reviews to identify, assess and escalate potential regulatory issues.
• Conduct oversight review of marketing materials and official publications of the company
• Update internal Compliance policies/procedures when necessary and communicate the updates to the line of business.
• Submit regulatory applications and registration filings to regulatory authorities in Australia.
• Participate in initiatives/projects that relate to GRA. 
• Provide input into Senior Management and Board reporting for GRA.

Skills on Resume: 

• Regulatory Liaison (Hard Skills)
• Compliance Training (Soft Skills)
• Stakeholder Communication (Soft Skills)
• Regional Compliance Support (Soft Skills)
• Regulatory Monitoring (Hard Skills)
• Surveillance and Oversight (Hard Skills)
• Policy Updating (Hard Skills)
• Regulatory Filings (Hard Skills)

Job Summary: 

• Design and build LGR compliance capabilities
• Be responsible for all compliance and related legal aspects of end-to-end cross-border money movement and trade finance solutions. 
• Build LGR compliance procedures and compliance team 
• Align LGR compliance with its internal requirements and with international and FINMA requirements 
• Manage and control the compliance of opening of customer accounts
• Monitor the money movement transactions, develop and ensure compliance with Banking regulations, procedures, and directives 
• Manage and control LGR investor compliance and compliance for fundraising process including fundraising using Silk Road Coin (SRC) 
• Offer quality legal and compliance advice to internal stakeholders 
• Design, develop and deliver Bank's internal training sessions 
• Organize ad hoc compliance sessions and legal sessions to support the key management team 
• Representing the Bank, for the compliance part, with regard to the external and internal auditors (FINMA)
• Managing and monitoring these relations, in collaboration with the person in charge 
• Support the end-to-end system, data management, and reporting development initiatives from a legal and compliance perspective 
• Provide support to all aspects of the fundraising process 
• Support the development of an LGR Crypto bank go-to-market strategy

Skills on Resume: 

• Compliance Development (Hard Skills)
• Legal Expertise (Hard Skills)
• Team Management (Soft Skills)
• Regulatory Alignment (Hard Skills)
• Account Compliance (Hard Skills)
• Transaction Monitoring (Hard Skills)
• Training Delivery (Soft Skills)
• Fundraising Support (Hard Skills)

Job Summary: 

• Lead and model the company’s commitment to ethical business practices, and set the tone at the top to facilitate consistent messaging throughout the organization. 
• Be the expert compliance resource for the organization to implement aspects of its services, advise on compliance issues related to new product offerings.
• Provide or facilitate the resolution of complex business issues that may require an interface with multiple federal or state laws, regulations, or agencies. 
• Design, develop, update, and implement policies and/or procedures designed to meet the compliance requirements of the company, federal healthcare programs, or other applicable fraud and abuse agencies. 
• Respond to alleged violations of company rules, the Code of Conduct, policies, procedures, state or federal laws rules, or regulations by conducting or guiding investigations and when appropriate
• Ensuring the implementation of corrective actions. 
• Develop and implement the activities necessary to demonstrate an effective compliance program, including but not limited to auditing and monitoring activities.
• Maintain compliance reporting hotline, and documentation systems, including any reporting obligations to government agencies. 
• Develop, update, and implement compliance awareness programs, materials, and training modules designed to increase awareness of existing, new, or changing policies, regulations, etc. 
• Provide quarterly and annual reporting as required by the Board of Directors on compliance program activities. 
• Implement and lead regularly scheduled compliance committee meetings and serve as its Chair with resultant documentation of meeting agendas and minutes. 
• Led and managed teams currently responsible for elements of Equiscript’s QA, legal, compliance, and privacy program. 
• Partner with Equiscript’s corporate counsel when needed to understand legal and regulatory requirements and provide backup in counsel’s absence. 
• Remain current and interpret rules and regulations affecting the 340B program so the company can provide the system requirements
• Reporting resources necessary to allow clients to comply with 340B program requirements

Skills on Resume: 

• Ethical Leadership (Soft Skills)
• Compliance Expertise (Hard Skills)
• Regulatory Knowledge (Hard Skills)
• Policy Development (Hard Skills)
• Investigation Management (Hard Skills)
• Training and Awareness Development (Soft Skills)
• Auditing and Monitoring (Hard Skills)
• Team Leadership (Soft Skills)

Job Summary: 

• Review practices, processes, and potential compliance issues 
• Provide in-depth compliance analysis and high-quality supporting documentation
• Review correspondence regarding topics including, but not limited to, credit disputes and requests for benefits under the Servicemembers Civil Relief Act
• Review, identify, and detect potential compliance risks related to consumer complaints
• Provides reporting and information to further broader insight and analysis
• Supervise responses to regulatory complaints and utilize oversight and visibility 
• Propose and implement proactive solutions to prevent or reduce future complaints
• Review consumer-facing communications (e.g., scripts, letters) and advertising materials 
• Provides tailored, credible, and risk-based feedback
• Provide advisory support to the first line of defense business units
• Develop, review, and upkeep effective, compliant, and AFF-tailored policies and procedures
• Create accurate and objective reporting and communication of potential compliance risks and issues to appropriate stakeholders
• Develop and maintain compliance risk assessments and compliance-related product risk assessments
• Lead related projects and action plans, utilizing knowledge of risk assessment methodologies 
• Complete process flows, work programs, reports, and/or control summaries

Skills on Resume: 

• Compliance Analysis (Hard Skills)
• Documentation Preparation (Hard Skills)
• Risk Assessment (Hard Skills)
• Consumer Complaint Management (Soft Skills)
• Regulatory Oversight (Hard Skills)
• Problem-Solving (Soft Skills)
• Policy Development (Hard Skills)
• Communication and Feedback (Soft Skills)