• Support and help mature the Company’s newly implemented Compliance Management System (CMS), including risk assessments, monitoring, issue management, and governance processes. • Implement compliance monitoring and testing across business lines, including marketing, product, operations, and third parties, document findings and support remediation efforts. • Support enterprise compliance risk assessments, including risk identification, scoring, and issue mitigation tracking. • Support the drafting, review, and maintenance of compliance policies and procedures, ensuring they remain current, practical, and aligned with regulatory expectations. • Monitor regulatory developments affecting fintech, consumer lending, and insurance products, and provide practical compliance guidance to Legal and Compliance Management. • Partner with cross-functional teams to embed compliance controls into business processes and support scalable growth. • Establish key performance indicators (KPIs) and metrics to measure the effectiveness of the compliance program.

We're Hiring! Help Shape the Future of Early Learning! Location: Boynton Beach, FL Employment Type: Full time, Exempt, Telecommute Schedule: Monday–Friday, 8:30am – 5:00pm Pay: up to $60,000 commensurate with experience The Early Learning Coalition of Palm Beach County is seeking a highly skilled and detail-oriented Assessment Specialist to join our team. In this role, you'll conduct program quality assessments for early learning providers using the Classroom Assessment Scoring System (CLASS) and ensure children receive the highest quality care and education. Extensive local daily travel throughout Palm Beach County is required. If you're passionate about early childhood education and thrive in a dynamic field-based environment, we want to hear from you! What You'll Do - Conduct CLASS assessments for Infant, Toddler, and Pre-K classrooms following Teachstone reliability standards. - Maintain current CLASS certifications and complete inter-rater reliability checks. - Generate detailed reports and document factual observation notes to support assessment scores. - Input observation data into the Statewide scoring database within required time frames. - Collaborate with coaches to inform improvement strategies and professional development. - Develop and facilitate CLASS content training sessions both on-site and virtually. - Input training descriptions and participant data into the Coalition's Learning Management System (LMS). - Participate in local/state meetings, committees, and provider engagement activities. What We're Looking For - CLASS certification (preferred) for Infant, Toddler, and Pre-K (must maintain active status). - Bachelor's degree in Early Childhood Education, Child Development, Elementary Education, or related field. - Minimum 5 years of experience in Early Childhood Education. - Must be comfortable with extensive daily travel throughout all regions of Palm Beach County - including north, south, east, and west - to conduct program assessments, attend meetings, trainings, and special projects. - Strong communication and analytical skills with attention to detail. - Have the ability to speak, understand, and write in the language of the classrooms being observed. - Tech-savvy with proficiency in Microsoft Office, cloud-based systems, and remote work tools. Why You'll Love Working Here - Make a measurable impact on the quality of early childhood education in Palm Beach County. - Join a collaborative, mission-driven team that values your expertise. - Competitive salary, comprehensive benefits, and opportunities for professional growth. - Work remotely while engaging in meaningful field-based assessments and provider support. Benefits Include: - Comprehensive health, dental, and vision insurance - Paid time off and holidays - Retirement plan with employer contribution - Tuition Reimbursement - Professional development and training opportunities - Mileage reimbursement for local travel Ready to join us? Apply today and help shape the future of early learning in Palm Beach County! Link to full job description: https://elcpalmbeach.box.com/s/ubx8bmpij4vp28mnb4zgoamdyuuehdj3 No Recruiters Please

Job Description Summary Under general supervision uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct remote and onsite branch examinations of retail brokerage offices throughout the U.S. Exams include reviews of various supervisory systems, setting and circumstances of the physical location, onsite files, related documentation, and employee interviews to ensure adherence with firm policies, procedures, and guidance, as well as federal and state rules and regulations. The Team Lead is responsible for detailed documentation of all testing activities, as well as communication of the testing results to the branches. In addition to branch exam responsibilities, the Team Lead participates in the training of new examiners, both in the classroom setting, as well as providing ongoing support to their assigned new hires. May provide guidance to fellow teammates and assist their manager with exam packets reviews and other projects, as assigned. This position is encouraged for those interested in a management career path and may serve as a feeder pool as Exam Manager positions become available. Job Description Essential Duties and Responsibilities - Executes the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country. - Provides detailed documentation of testing in branch exam system and related work papers. - Ensures prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested. - Uses professional judgement to know when to “ask the next question” as potential risk areas are identified. - Applies the appropriate risk weight to a given testing activity and/or finding level. - Clears communication of all exam findings to branch management, exam managers and compliance leadership - Provides reporting of exam findings and complete any related follow up in a timely manner. - Ensures risks and adverse trends are identified and escalated. - Provides compliance guidance to business partners, as needed and with guidance from exam managers and/or senior members of the exam team. - Maintain regular interaction with Compliance and Supervision partners - Participates in training and giving general direction to new hires, as well as fellow teammates, as needed. - Assists managers with exam packet reviews and provide necessary feedback to assigned examiner. - Performs other duties and responsibilities as assigned. Knowledge, Skills, and Abilities Advanced Knowledge of: - Concepts, practices, and procedures of securities industry and/or banking compliance reviews. - Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies. - Fundamental investment concepts, practices and procedures used in the securities industry. - Principles of banking and finance and securities industry operations. - Financial markets and products. Skill in: - Overseeing compliance programs. - Integrating and aligning compliance processes and procedures with business processes. - Coordinating complex compliance activities. - Providing support and guidance for compliance efforts. - Identifying and implementing controls and quality assurance processes. - Reviewing materials for compliance with rules and regulations. - Researching compliance issues. - Developing compliance training programs. - Gathering information and preparing oral and written reports. - Preparing and delivers written and oral presentations. - Investigating relevant irregularities. - Making rule-based and analytical decisions. - Operating standard office equipment and using required software applications. Ability to: - Partner with other functional areas to accomplish objectives. - Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed. - Attend to detail while maintaining a big picture orientation. - Gather information, identify linkages and trends, and apply findings to assignments. - Interpret and apply securities and/or banking regulations and identify and recommends policy and procedural changes as appropriate. - Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. - Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels. - Work independently as well as collaboratively within a team environment. - Provide a high level of customer service. - Establish and maintain effective working relationships at all levels of the organization. - Maintain confidentiality. - Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance. Educational/Previous Experience Requirements - Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of three (3) years of experience in the financial services industry, compliance, or risk management. ~or~ - Any equivalent combination of experience, education, and/or training approved by Human Resources. Licenses/Certifications - FINRA Series 7 and 9/10 or 24 expected. - Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred. Education Work Experience Certifications Salary Range $80,000.00-$95,000.00 Travel Up to 50% Workstyle Remote At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: • Grow professionally and inspire others to do the same • Work with and through others to achieve desired outcomes • Make prompt, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the continuous evolution of the firm At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. #LI-AF1

Application Deadline: 03/26/2026 Address: VIRTUAL13 - HomeRes - IL Job Family Group: Business Management Supports the business/group leader in the effective implementation, maintenance and administration of first line of defense (1st LOD) programs (e.g., operational risk, AML, compliance, regulatory, etc.), including overseeing business operations within the jurisdiction to ensure adherence and efficiency. Contributes to a strong risk management culture through collaboration with other first line employees, and second & third line functions to ensure Compliance, AML or operational risks are identified, mitigated, monitored and reported on an ongoing basis. - Supports multiple, similar business units with corresponding number of regulators. - Assists with the implementation of risk management programs/ frameworks while identifying and minimizing negative impacts to the business. - Develops and implements risk mitigation strategies. - Acts as a subject matter expert in the evaluation, development and implementation of an internal control system. - Supports the execution of strategic initiatives in collaboration with internal and external stakeholders. - Builds effective relationships with internal/external stakeholders. - Ensures alignment between stakeholders. - Breaks down strategic problems, and analyses data and information to provide insights and recommendations. - Monitors and tracks performance, and addresses any issues. - Builds change management plans of varying scope and type; leads or participates in a variety of change management activities including readiness assessments, planning, stakeholder management, execution, evaluation and sustainment of initiatives. - Monitoring to ensure that 1st line jobs are following defined processes and procedures. - Develops, documents and maintains business/group procedures updating and obtaining approvals as regulations or the operating environment changes and communicates changes to the business/group & relevant stakeholder groups. - Supports the development of measurable sustainment strategies including assessing and recommending mitigations for industry/ segment-specific risks and prioritizing opportunities presented by internal and external stakeholders. - Tracks exception/exemption requests and corresponding approvals. - Builds awareness, knowledge, and skills and, as necessary, provides communication, practical tools and ongoing support including making presentations, to promote a culture of risk identification and management. - Supports the management of 1st LOD program for the business/group in compliance with appropriate principles, standards & direction from the second line of defense groups. Includes developing and promoting program and ensuring the execution of all program components. - Works with assigned business/group leaders to implement 1st LOD programs and frameworks, developing and maintaining an in-depth understanding of the applicable regulatory and internal risk management requirements. Interprets and provides advice on the application of the requirements for the business/group. - Develops and maintains an understanding of the business/group strategies and objectives, products and services, internal and external stakeholders and business processes as well as the underlying infrastructure to identify and manage implications and risk exposures for the business/group. - Identifies, investigates, analyzes, documents & mitigates program risks, taking into account jurisdictional issues, and raises any issues or concerns to senior leaders and other stakeholders. - Analyzes the impact and effectiveness of the program through periodic reviews. - Recommends adjustments to the overall program, policy or processes within the business/group in accordance with the Risk Appetite Statement, Governance and Corporate Policy. - Supports the business/group through internal/external audits or regulatory examinations and assists in development of action plans to resolve any identified issues. - Provides support to the development and delivery of training and awareness programs within the business/group to increase awareness of and compliance to risk management requirements. - Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus. - Exercises judgment to identify, diagnose, and solve problems within given rules. - Works independently on a range of complex tasks, which may include unique situations. - Broader work or accountabilities may be assigned as needed.Qualifications: - Typically between 4 - 6 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience. - Program Management - Good. - Technical proficiency gained through education and/or business experience. - Verbal & written communication skills - In-depth. - Collaboration & team skills - In-depth. - Analytical and problem solving skills - In-depth. - Influence skills - In-depth. - Data driven decision making - In-depth. Salary: $57,500.00 - $106,500.00 Pay Type: Salaried The above represents BMO Financial Group’s pay range and type. Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group’s expected target for the first year in this position. BMO Financial Group’s total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: https://jobs.bmo.com/global/en/Total-Rewards About Us At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world. As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one – for yourself and our customers. We’ll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we’ll help you gain valuable experience, and broaden your skillset. To find out more visit us at http://jobs.bmo.com/us/en BMO is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law. BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to BMOCareers.Support@bmo.com and let us know the nature of your request and your contact information. Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.