We securely connect everything to make anything possible.
Compliance Monitoring and Testing Lead - Legal
Location
North Carolina
Posted
9 days ago
Salary
$147.1K - $190.7K / year
Seniority
Lead
Job Description
Compliance Monitoring and Testing Lead - Legal
Cisco
Title: Compliance Monitoring & Testing Lead- Legal Location: USA-RESEARCH TRIANGLE PARK Job Description: Job posting may be removed earlier if the position is filled or if a sufficient number of applications are received. Members of the Legal organization at select locations will generally be expected to follow a hybrid work model, which includes two days of in-office attendance each week, with limited exceptions.” Meet the Team The Ethics & Compliance team is responsible for maintaining Cisco’s global compliance program and ensuring adherence to legal and ethical standards across all business operations. Our work provides the necessary oversight to identify and mitigate risk, ensuring that company activities remain aligned with internal policies and external regulatory requirements. The team is comprised of a diverse group of legal, compliance, and technical professionals working in a structured, collaborative environment. We are currently focused on modernizing our oversight capabilities by integrating advanced data analytics and automated monitoring into our core compliance functions. Your Impact Cisco is seeking an experienced and strategic Compliance Monitoring and Testing Lead to independently oversee the design and execution of our global compliance control framework. This critical individual contributor will be responsible for architecting automated monitoring systems, driving risk visibility through data analytics, and implementing innovative technology solutions—including AI/ML—to ensure organizational adherence to global regulatory standards. Key Responsibilities Automated Monitoring & Controls Design - Architect and oversee the end-to-end design of automated compliance monitoring systems, transitioning from manual transaction testing to scalable, technology-driven checkpoints. - Define and configure AI-driven detection logic within compliance and GRC platforms, ensuring alerts are accurate, prioritized, and actionable. - Continuously tune automated rules to reduce false positives and surface genuine risk signals across global transaction flows and third-party interactions. Risk Visibility & Executive Reporting - Build and maintain real-time risk dashboards and data visualizations to provide leadership with timely insights into the health of compliance controls globally. - Transform complex monitoring outputs into high-level assurance narratives suitable for senior executives, audit committees, and regulators. - Develop and track Key Risk Indicators (KRIs) to enable proactive, data-driven risk management and informed decision-making. Compliance Testing & Audit Methodology - Design and execute risk-based compliance testing programs, utilizing forensic and internal audit methodologies to validate control effectiveness across diverse business units. - Conduct comprehensive root cause analysis on control failures and exceptions, delivering clear findings and actionable, sustainable remediation recommendations. - Maintain a structured issues management process from identification through to closure, ensuring accountability and adherence to established timelines. AI & Technology Integration - Lead the integration of generative AI tools for real-time regulatory tracking, horizon scanning, and predictive analytics to evolve the function toward preventive risk management. - Partner with Legal, IT, and Data Engineering teams to embed seamless, automated compliance checkpoints within existing business workflows. - Evaluate and recommend cutting-edge compliance technology solutions, maintaining deep expertise in RegTech and AI-powered monitoring trends. Cross-Functional Collaboration & Knowledge Management - Serve as a primary liaison between the Ethics & Compliance team and global business functions, ensuring monitoring programs accurately reflect operational realities. - Build and retain deep institutional knowledge of Cisco's compliance control environment to minimize reliance on external consultants. - Act as a technical advisor to legal and compliance colleagues, sharing best practices and providing guidance to up-skill the broader team. Minimum Qualifications - Bachelor’s degree in Finance, Accounting, Data Analytics, or a related field, plus 12 years of relevant experience in compliance, internal audit, or risk management. • Minimum of 5 years of experience architecting and implementing automated compliance monitoring systems or GRC (Governance, Risk, and Compliance) platforms. • Experience in designing and executing risk-based audit or testing programs that meet the requirements of international regulatory bodies (e.g., FCPA, UK Bribery Act). • Proven track record of developing and maintaining executive-level risk dashboards and KRIs (Key Risk Indicators) using BI tools such as Tableau or Power BI. Preferred Qualifications - Advanced degree (MBA, JD, or Master’s in Data Science) or professional certifications such as CISA, CFE, or CIA. • Understanding of RegTech trends and experience deploying AI/ML models to detect anomalies in financial or third-party transaction data. • Ability to translate technical findings into reports for senior leadership and audit committees. • Experience leading cross-functional projects involving Legal, IT, and Data Analytics stakeholders. • Experience in identifying root causes and designing sustainable remediation strategies for compliance control failures. Why Cisco? At Cisco, we’re revolutionizing how data and infrastructure connect and protect organizations in the AI era – and beyond. We’ve been innovating fearlessly for 40 years to create solutions that power how humans and technology work together across the physical and digital worlds. These solutions provide customers with unparalleled security, visibility, and insights across the entire digital footprint. Fueled by the depth and breadth of our technology, we experiment and create meaningful solutions. Add to that our worldwide network of doers and experts, and you’ll see that the opportunities to grow and build are limitless. We work as a team, collaborating with empathy to make really big things happen on a global scale. Because our solutions are everywhere, our impact is everywhere. We are Cisco, and our power starts with you. Message to applicants applying to work in the U.S. and/or Canada: The starting salary range posted for this position is $147,100.00 to $190,700.00 and reflects the projected salary range for new hires in this position in U.S. and/or Canada locations, not including incentive compensation*, equity, or benefits. Individual pay is determined by the candidate's hiring location, market conditions, job-related skillset, experience, qualifications, education, certifications, and/or training. The full salary range for certain locations is listed below. For locations not listed below, the recruiter can share more details about compensation for the role in your location during the hiring process. U.S. employees are offered benefits, subject to Cisco’s plan eligibility rules, which include medical, dental and vision insurance, a 401(k) plan with a Cisco matching contribution, paid parental leave, short and long-term disability coverage, and basic life insurance. Please see the Cisco careers site to discover more benefits and perks. Employees may be eligible to receive grants of Cisco restricted stock units, which vest following continued employment with Cisco for defined periods of time. U.S. employees are eligible for paid time away as described below, subject to Cisco’s policies: - 10 paid holidays per full calendar year, plus 1 floating holiday for non-exempt employees - 1 paid day off for employee’s birthday, paid year-end holiday shutdown, and 4 paid days off for personal wellness determined by Cisco - Non-exempt employees** receive 16 days of paid vacation time per full calendar year, accrued at rate of 4.92 hours per pay period for full-time employees - Exempt employees participate in Cisco’s flexible vacation time off program, which has no defined limit on how much vacation time eligible employees may use (subject to availability and some business limitations) - 80 hours of sick time off provided on hire date and each January 1st thereafter, and up to 80 hours of unused sick time carried forward from one calendar year to the next - Additional paid time away may be requested to deal with critical or emergency issues for family members - Optional 10 paid days per full calendar year to volunteer For non-sales roles, employees are also eligible to earn annual bonuses subject to Cisco’s policies. Employees on sales plans earn performance-based incentive pay on top of their base salary, which is split between quota and non-quota components, subject to the applicable Cisco plan. For quota-based incentive pay, Cisco typically pays as follows: - .75% of incentive target for each 1% of revenue attainment up to 50% of quota; - 1.5% of incentive target for each 1% of attainment between 50% and 75%; - 1% of incentive target for each 1% of attainment between 75% and 100%; and - Once performance exceeds 100% attainment, incentive rates are at or above 1% for each 1% of attainment with no cap on incentive compensation. For non-quota-based sales performance elements such as strategic sales objectives, Cisco may pay 0% up to 125% of target. Cisco sales plans do not have a minimum threshold of performance for sales incentive compensation to be paid. The applicable full salary ranges for this position, by specific state, are listed below: New York City Metro Area: $170,100.00 - $266,900.00 Non-Metro New York state & Washington state: $160,400.00 - $235,300.00 * For quota-based sales roles on Cisco’s sales plan, the ranges provided in this posting include base pay and sales target incentive compensation combined. ** Employees in Illinois, whether exempt or non-exempt, will participate in a unique time off program to meet local requirements.
Related Guides
Related Categories
Related Job Pages
More Compliance Jobs
Director, Global Regulatory Lead - Oncology
Takeda PharmaceuticalsTakeda Pharmaceuticals is a global biopharmaceutical company engaged primarily in the research, development, manufacture, and marketing of pharmaceutical produc
Title: Director, Global Regulatory Lead - Oncology Location: USA - MA - Boston Full time Job Description: About the role: At Takeda, we are a forward-looking, world-class R&D organization that unlocks innovation and delivers transformative therapies to patients. By focusing R&D efforts on four therapeutic areas and other targeted investments, we push the boundaries of what is possible in order to bring life-changing therapies to patients worldwide. Takeda is committed to creating better health for people and a brighter future for the world. Guided by our OneOncology vision, we are advancing a rapidly growing oncology portfolio with potentially first-in-class and best-in-class therapies, including ADCs, complex biologics and small molecules. Our goal is to accelerate access to transformative medicines and make a lasting impact on patients worldwide. Join Takeda as a Director, Global Regulatory Lead Oncology where you will be part of the global regulatory team. As Director, Global Regulatory Lead Oncology you will set global regulatory strategy and lead major submissions for high-impact oncology programs. How you will contribute: - Oversee as well as execute all regulatory activities of one or multiple complex projects in development and/or supports regulatory activities for assigned projects. - Serve as global regulatory lead (GRL) on the global project team (GPT) for individual project(s) of responsibility. - May lead the global regulatory sub-team (GRT) for assigned projects. - May serve as global and/or regional regulatory lead as a member of a GRT - Primary FDA contact for projects of responsibility. - Accountable for all US FDA submissions and approvals of project(s) of responsibility. - Accountable for independently ensuring all submission types are executed on time with high quality, including major submissions (NDA/BLA/MAA) - For the project(s) of responsibility, collaborate with all Takeda regions to ensure a global regulatory strategy is created and executed upon for all projects within area of responsibility. - Ensure project team colleagues, line management, and key stakeholders are apprised of developments that may impact regulatory success, exercising sound judgement and communicating in a professional and timely manner. - Participate with influence in or leads departmental and cross-functional task-forces and initiatives. - May partner with global market access colleagues to lead interactions with joint regulatory/health agency/HTA bodies on product specific value evidence topics, as applicable. - Develop/author and execute global regulatory strategies for complex strategies. May oversee execution. - Monitor and anticipate trends that impact both the regulatory and access environments to strengthen product development plan(s) and adopt regulatory strategies in a timely manner. - Responsible for demonstrating Takeda leadership behaviors. - May lead regulatory assessment as part of due diligence teams for licensing opportunities. - Identify and propose solutions to management for any resource gaps for assigned project(s). - May present to senior management as requested. - Participate with influence in or leads departmental and cross-functional task-forces and initiatives. Minimum Requirements/Qualifications: - Bachelor’s Degree required, scientific discipline strongly preferred, advanced degree in a scientific discipline strongly preferred. - A minimum of 8 years of pharmaceutical industry experience, inclusive of regulatory and/or related experience. - Solid working knowledge of drug development process and regulatory requirements. Knowledge of FDA is a must. Knowledge of EU, Canada, ROW is a plus. - Experience in managing major regulatory filing(s); and experience as a significant contributor to regulatory and/or development strategies - Understand and interpret complex scientific issues across multiple projects as it relates to regulatory requirements and strategy. - Strong oral and written communications, managing and adhering to timelines, negotiation skills, integrity and adaptability. - Demonstrate strong skills with increasing independence in the area of regulatory strategy. - Strong ability to work well with others and within global teams; and acceptable at communicating with senior leadership. - Strong and independent skills in regulatory strategy such as understanding broad concepts within regulatory affairs and implications across the organization and globally; proactively identifies regulatory issues; offers creative solutions and strategies, including risk mitigation strategies. More about us: At Takeda, we are transforming patient care through the development of novel specialty pharmaceuticals and best in class patient support programs. Takeda is a patient-focused company that will inspire and empower you to grow through life-changing work. Certified as a Global Top Employer, Takeda offers stimulating careers, encourages innovation, and strives for excellence in everything we do. We foster an inclusive, collaborative workplace, in which our teams are united by an unwavering commitment to deliver Better Health and a Brighter Future to people around the world. This position is currently classified as "hybrid" following Takeda's Hybrid and Remote Work policy. #LI-Hybrid #LI-AA1 Takeda Compensation and Benefits Summary We understand compensation is an important factor as you consider the next step in your career. We are committed to equitable pay for all employees, and we strive to be more transparent with our pay practices. For Location: Boston, MA U.S. Base Salary Range: $177,000.00 - $278,080.00 The estimated salary range reflects an anticipated range for this position. The actual base salary offered may depend on a variety of factors, including the qualifications of the individual applicant for the position, years of relevant experience, specific and unique skills, level of education attained, certifications or other professional licenses held, and the location in which the applicant lives and/or from which they will be performing the job. The actual base salary offered will be in accordance with state or local minimum wage requirements for the job location. U.S. based employees may be eligible for short-term and/ or long-term incentives. U.S. based employees may be eligible to participate in medical, dental, vision insurance, a 401(k) plan and company match, short-term and long-term disability coverage, basic life insurance, a tuition reimbursement program, paid volunteer time off, company holidays, and well-being benefits, among others. U.S. based employees are also eligible to receive, per calendar year, up to 80 hours of sick time, and new hires are eligible to accrue up to 120 hours of paid vacation. EEO Statement Takeda is proud in its commitment to creating a diverse workforce and providing equal employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, parental status, national origin, age, disability, citizenship status, genetic information or characteristics, marital status, status as a Vietnam era veteran, special disabled veteran, or other protected veteran in accordance with applicable federal, state and local laws, and any other characteristic protected by law. Locations Boston, MA Worker Type Employee Worker Sub-Type Regular Time Type Full time Job Exempt Yes
Analyst, Forensics and Compliance - Disputes, Claims and Investigations
StoutFounded in 1991 and headquartered in Chicago, Illinois, Stout is a global advisory firm specializing in corporate finance, valuation, transaction advisory, fina
Title: Analyst, Forensics and Compliance - Disputes, Claims & Investigations Location: Washington, DC Job Description: At Stout, we’re dedicated to exceeding expectations in all we do – we call it Relentless Excellence ®. Both our client service and culture are second to none, stemming from our firmwide embrace of our core values: Positive and Team-Oriented, Accountable, Committed, Relationship-Focused, Super-Responsive, and being Great communicators. Sound like a place you can grow and succeed? Read on to learn more about an exciting opportunity to join our team. As an Analyst within Forensics & Compliance practice, you will support client engagements involving forensic accounting, compliance reviews, and complex financial investigations. Working closely with senior team members, you will help analyze financial information, organize data, and prepare client-ready work product in high stakes environments. What You’ll Do: - Assist with day-to-day engagement tasks under the guidance of senior team members - Support technical accounting and financial analyses involving U.S. GAAP, IFRS, and SEC regulations - Organize, validate, and analyze financial data, documents, and supporting materials - Assist with profit and gain calculations, inability-to-pay analyses, and other financial assessments - Review transactions and internal control documentation to support investigative work - Help identify patterns, anomalies, and potential accounting irregularities - Maintain documentation of procedures, assumptions, data sources, and findings - Draft sections of reports, memoranda, presentations, and client-facing deliverables - Collaborate with internal teams, legal counsel, and third-party professionals as needed - Participate in training, coaching, and professional development opportunities Qualifications/Requirements: - Bachelor’s or master’s degree in accounting or related field - 0-2 years of relevant experience in accounting, audit, forensic accounting, compliance, or litigation support (post-grad experience preferred) - CPA eligibility preferred - Foundational knowledge of U.S. GAAP, familiarity with IFRS and SEC regulations a plus - Strong analytical, research, and problem-solving skills - Proficiency in Microsoft Excel, Word, and PowerPoint - Familiarity with Access, Alteryx, SQL, or Power BI a plus - Strong written and verbal communication skills with high attention to detail - Ability to work in a hybrid environment including client site time in Washington D.C. - U.S. Citizenship and ability to pass a Federal Government background investigation preferred How You’ll Thrive: - Bring curiosity and initiative to complex financial and investigative matters - Communication clearly and professionally with team members and stakeholders - Ask thoughtful questions and seek feedback to strengthen your technical skills - Adapt to changing priorities and deadlines in dynamic engagement environments - Manage tasks carefully while maintaining accuracy and attention to detail - Deliver Relentless Excellence® through quality work, collaboration, and continuous learning Why Stout? At Stout, we offer a comprehensive Total Rewards program with competitive compensation, benefits, and wellness options tailored to support employees at every stage of life. We foster a culture of inclusion and respect, embracing diverse perspectives and experiences to drive innovation and success. Our leadership is committed to inclusion and belonging across the organization and in the communities we serve. We invest in professional growth through ongoing training, mentorship, employee resource groups, and clear performance feedback, ensuring our employees are supported in achieving their career goals. Stout provides flexible work schedules and a discretionary time off policy to promote work-life balance and help employees lead fulfilling lives.
Compliance Analyst
YogiTradesEmpowering Forex Traders with Expert Mentorship, Investment Services, and Career Opportunities.
Role Description We are seeking a dynamic and detail-oriented individual to oversee key compliance functions including prevention of money laundering process and operations, trade surveillance. The ideal candidate will ensure robust detection and mitigation of suspicious activities, regulatory reporting, and internal policy development aligned with current compliance requirements in the crypto and related fintech sectors. FIU Operations: - Manage AML processes to detect, investigate, and report suspicious activities in a timely manner. - File Suspicious Transaction Reports (STRs) to concerned authority in compliance with requirements. - Respond to FIU alerts, queries, and emails, ensuring accurate and timely communication. Trade Surveillance: - Design and implement effective surveillance mechanisms to monitor trading activity and detect market abuse, insider trading, or manipulative behaviour. - Investigate suspicious trading patterns and escalate issues as required. - Enhance surveillance frameworks in line with market practices and regulatory expectations. AML Compliance: - Ensure organization-wide compliance with applicable AML/CFT regulations and internal standards. - Conduct periodic AML audits and ensure compliance with Know Your Customer (KYC) and Enhanced Due Diligence (EDD) standards. Policy Development and Training: - Develop, maintain, and revise compliance policies and SOPs based on evolving regulatory norms. Regulatory Reporting & Liaison: - Prepare and submit accurate reports within prescribed timelines to the authorities. - Stay abreast of changes in compliance regulations, particularly in the crypto and financial services industries. - Build strong working relationships with relevant authorities and enforcement agencies. Team Collaboration: - Work closely with internal teams including legal, finance, risk, and operations to embed compliance into business processes. - Provide compliance inputs for new products, services, and partnerships. Qualifications - Prior experience in AML/CFT, or trade surveillance roles—preferably within the crypto, broking, or fintech sectors. - Understanding how to identify and assess risk factors related to money laundering and terrorist financing, and tailoring compliance measures accordingly. - Knowledge of STR filing, surveillance tools, and AML/KYC frameworks. - The ability to conduct and interpret risk assessments related to money laundering and terrorist financing is essential. - Screening for any criminal records or past offenses that might indicate a lack of trustworthiness or suitability for the role. - Familiarity with sanctions screening procedures and the ability to identify and report individuals or entities that appear on sanctions lists. - Relevant certifications will be an added advantage. - Technical skills to use AML/CFT software, databases, and other tools used in the compliance process. - Strong analytical skills and attention to detail.
Role Description The Compliance Manager plays a critical role in safeguarding the organization’s adherence to regulatory requirements and industry standards by overseeing regulatory monitoring, managing rate and form filings, audit preparation, and compliance readiness. This role involves actively identifying compliance needs, coordinating and delivering necessary training, and ensuring that all employees understand relevant regulations. As part of Risk Management and Corporate Governance, the Compliance Manager assesses and mitigates potential risks, ensuring alignment with internal policies and legal standards. This role requires a proactive, detail-oriented approach to continuously improve compliance processes, reduce risk, and support the organization’s commitment to ethical and compliant operations. Qualifications - A bachelor’s degree in business administration, finance or a related field is preferred. Advance degree a plus. - An Institutes or AICP designation preferred (ARM, ARC, ACP, CCP). - 5+ years of professional experience in insurance operations and compliance/risk management. - 3+ years of experience researching state insurance laws, regulations and state license requirements and facilitating state insurance department filings. Requirements - Serve as administrator for MEM’s Code of Conduct hotline. - Maintain MEM’s web portal page and investigator data with third party vendor and ensure reports of concern are received and investigated. - Oversee submissions of all state regulatory filings by coordinating and submitting all, annual rate, rule and form filings, business entity filings with the Secretary of State, NAIC license/expansion filings, biographical affidavits for directors and officers, and corporate governance annual disclosures. - Prepare or facilitate responses to regulator inquiries and objections to filings. - Draft and edit policy forms, endorsements, notices and related correspondence for regulatory filing and approval. - Monitor and communicate status of filings to internal business partners. - Collaborate with internal departments to develop, implement, and maintain regulatory compliance policies and procedures. - Lead the Compliance Committee and ensure the Committee regularly updates and maintains compliance with the Compliance Calendar. - Ensure legal and regulatory changes are monitored and any business impacts are understood. - Provide compliance research and support to MEM for various regulatory jurisdictions as required. - Respond to or coordinate responses to regulatory inquiries as required, such as complaints and market conduct inquiries. - Maintain required logs and documentation. - Maintain relationships with associations or industry groups to stay abreast of regulatory requirements and industry compliance trends. - Conduct regular compliance audits and risk assessments to identify potential regulatory issues. - Resolve issues arising from audits and refer serious or contentious issues to the Director of Legal and Compliance. - Work with IT in the development of compliance training and education for MEM employees related to data security. - Participate as a member of the Business Continuity Team actively contributing in matters related to Records and Information Management. - Maintain an active role in the corporate governance model throughout the year. - Serve as member of the Business Continuity and Corporate Data Security Incident Response Team. - Conduct risk assessments to evaluate product, compliance, or operational risks. - Coordinate an annual data security breach exercise with relevant stakeholders to drive readiness. - Serve on the Emerging Risks Team to identify and mitigate new and emerging risks. Benefits - Health Plans: Medical, Dental, and Vision, including fertility benefits, fully paid preventative care, and adult orthodontia. - Annual Performance Based Bonus. - Employer-Paid Life and Disability Benefits: Life Insurance (3x base salary), AD&D, Short and Long-term Disability. - Wellness and Recognition Program: Employer-paid incentives for employees and spouses. - Flexible Spending Account and Dependent Care options. - Health Savings Account: Generous employer contribution. - Generous PTO, 11 Holidays + 4 Early Releases, 16 Hours Volunteer Time Off, 20 Days Paid Parental Leave, Marriage, Bereavement, and Jury Duty leave. - Employee Assistance Programs. - 401k Retirement Plan: Employer match and profit sharing. - Adoption Assistance and Tuition Assistance.


