Compliance

• Own the end-to-end Authentication Compliance and Training strategy, including onboarding, certification, recertification, refresher training, quality remediation, and ongoing compliance governance
• Build and maintain an authentication quality framework to identify decision defects, diagnose root causes, update training or process documentation, implement coaching or corrective action, and measure improvement
• Establish and maintain authentication standards, SOPs, reference guides, audit routines, and calibration processes across Secaucus, Perth Amboy, and Phoenix
• Partner with site leadership to identify individual, team, brand, and category-level authentication trends and implement targeted coaching or retraining plans
• Support reporting and insights on authentication accuracy, QC results, rejection quality, counterfeit trends, appeal outcomes, returns authentication, training completion, certification results, and time-to-proficiency
• Design and execute brand and category audits to identify risk areas, knowledge gaps, and opportunities to improve decision consistency
• Collaborate cross-functionally with Authentication, Operations, Quality, Legal, Customer Experience, Returns, L&D, and Analytics
• Govern training materials, reference guides, brand updates, and compliance documentation
• Present quality trends, risk areas, training effectiveness, and recommended action plans to senior leadership

Authentication Compliance Enablement Partner

• Lead and manage a team responsible for monitoring compliance with regulatory requirements, prospectus restrictions, investment policies, and internal controls
• Oversee fund compliance programs, regulatory filings, and board reporting
• Serve as a primary point of contact for compliance-related client inquiries and escalations
• Interpret regulatory requirements and provide guidance regarding SEC rules, Investment Company Act provisions, Subchapter M requirements, and other applicable regulations
• Coordinate with Legal, Compliance, Fund Accounting, Financial Reporting, and external service providers
• Maintain documentation supporting compliance testing methodologies, procedures, and controls
• Lead, mentor, and develop compliance professionals through coaching, performance management, and technical training
• Evaluate procedures and implement process improvements
• Establish team priorities, allocate resources, and monitor workload distribution
• Promote accountability, continuous improvement, and regulatory excellence
• Provide technical guidance regarding new regulations, rule changes, and emerging compliance risks
• Participate in department-level initiatives, committees, and working groups
• Execute strategies and drive change for the fund administration department and business line
• Support business growth initiatives, including new client or product activities

Fund Administration Compliance Manager

• Assist the Head of Compliance Advisory with designing the Fair Banking Program
• Lead, mentor, and develop a high-performing team of compliance professionals, including managing one direct report
• Advise senior leadership and business unit leaders on complex fair banking matters and emerging regulatory trends
• Drive fair banking culture through executive presence, thought leadership, and cross-functional influence
• Oversee the Fair Banking Policy & Program and UDAAP Policy & Program
• Provide fair lending and consumer protection counsel to internal stakeholders and external business partners
• Interpret complex fair lending and consumer protection regulatory requirements and strategic implications
• Lead regulatory change management and advisory efforts for ECOA, FHA, HMDA, CRA, ADA, WCAG, Military Lending, and CAN-SPAM
• Direct horizon scanning to identify emerging fair banking and fair lending risks and opportunities
• Develop and implement fair banking risk assessment frameworks across products, services, and business initiatives
• Oversee the enterprise Complaints Management Program, including escalation, resolution, and root-cause trend analysis
• Direct fair banking-related regulatory examination management, coordinating responses, evidence, and remediation
• Cultivate executive-level relationships with stakeholders and external partners
• Partner with Legal, Risk Management, Internal Audit, Marketing, and business leaders on integrated governance and risk management
• Represent Compliance in executive forums, product development committees, and strategic planning sessions
• Balance growth objectives with regulatory requirements through negotiation and influence

Director, Fair Banking – Enterprise Compliance Advisory

• Serve as the ERISA/compliance escalation point for Conversion Ops and Sales on complex plan provisions, eligibility questions, and Adoption Agreement interpretation
• Own end-to-end quality assurance for the plan review process, validating each build against the signed Adoption Agreement and developing internal tooling and business rules to support review at scale
• Conduct plan reviews for new and converting 401(k) plans, translating complex legal plan documents into clear, accurate guidance for internal teams and customers
• Build and deliver internal training and reference materials for Conversion Ops, Sales, and Customer Experience teams
• Partner with Legal & Compliance on regulatory interpretation and sign-off for higher-risk plan changes
• Identify and champion opportunities to use AI tools and automation to reduce manual review time while strengthening accuracy across plan setup and compliance workflows
• Serve as a subject-matter expert on ERISA compliance and 401(k) plan administration
• Provide independent quality assurance, training, complex corrections, and consultation on ambiguous or high-risk plan provisions
• Work closely with Conversion Ops, Sales, and Legal & Compliance
• Help shape tools and processes used by the broader organization

Retirement Compliance Specialist

• Provide excellent customer service while ensuring customer accounts comply with states' resale certificate regulations
• Assist customers in renewing resale certificates on file with SanMar
• Assist customers with completing state forms, answer questions, and provide resource tools
• Ensure compliance with each state's requirements and process resale renewals according to state schedules
• Maintain working knowledge of various forms and state requirements
• Monitor incoming faxes and emails directed to the Resale Team and route them as appropriate
• Complete customer information updates within 24 hours, including address, name, and ownership changes
• Resolve resale issues and renewals by working with customers, Inside Sales, and Credit departments
• Request resale forms when required
• Meet monthly state resale renewal project deadlines
• Maintain and accurately update SanMar's customer software and customer information systems
• Comply with all policies and standards
• Perform other duties as assigned

Compliance jobs in Arizona

Authentication Compliance Enablement Partner

Fund Administration Compliance Manager

Director, Fair Banking – Enterprise Compliance Advisory

Retirement Compliance Specialist

Resale Compliance Representative