Compliance

• Owning regulatory compliance outcomes across your portfolio, identifying risks and ensuring issues are resolved and sustained
• Leading behavioural and cultural change in stores to embed strong compliance practices
• Partnering closely with store leaders through regular visits, audits, and performance discussions
• Supporting stores through regulatory incidents, recalls, and escalation scenarios
• Influencing store capability and accountability through coaching, challenge, and targeted interventions
• Identifying systemic risks and helping drive continuous improvement across the network

Regulatory Partners

• Manage process & compliance activities to implement and maintain industry best compliance and security frameworks like ISO, CSA, SSAE18 SOC, NIST, FDA, NIS, TISAX etc.
• Focus is to drive consistency across QAD in maintaining compliance controls and in maintaining applicable regulatory compliance requirements in the areas of Information Security, Service Management, Risk Management, Business Continuity Management, Privacy Management, Quality Management System, etc.
• Performs gap analysis for compliance standards upgrades and guides functional teams in implementing required controls, and in updating policy and procedures.
• Conducts internal compliance audits and demonstrates controls during external compliance assessments.
• Compliance Management: Manages and conducts internal process and security compliance audits
• Manages and participates in external compliance audits and presents evidence and controls
• Manages customer audit requests and coordinates with the global teams in gathering and presenting evidence
• Documents audit observations/findings and follows-up with the impacted parties for closure of the audit findings
• Performs gap analysis for certification upgrades and implements updates.
• Ensures that process and policy documents meet the compliance control requirements.
• Works with respective business teams to implement missing controls, and assist the teams to update policy/process documents.
• Maintains compliance related registers like Risk, Continuous Improvements, etc.
• Delivers training as required to the global teams on various compliance frameworks.
• Assists business functions in performing business impact analysis and in maintaining business continuity plans.
• Works with the global business functions in responding to third party questionnaires.
• Proactively develops skill and knowledge on security and compliance standards and frameworks.
• Stays attuned to changes in industry compliance and regulatory requirements.

Compliance Analyst

• Support the execution of cell and gene therapy regulatory CMC strategies for marketed products
• Contributes to the planning, preparation and submission of regulatory CMC documentation
• Provides regulatory support and guidance to various cross functional teams
• Planning and execution of international regulatory CMC submissions, including creation of content plans
• Reviews CMC sections of regulatory submissions, as well as the interactions and responses with regulatory agencies
• Contributes to the development of global regulatory CMC strategies for commercial products
• Works with regulatory and technical colleagues to ensure timely submission and approval of CMC changes in the post approval environment
• Provides regulatory CMC guidance to cross-functional teams and key stakeholders
• Supports regulatory assessment and guidance on product compliance topics including change controls, deviations, and GMP investigations

Regulatory CMC Manager – Contract

• Ensure compliance with applicable regulations and standards
• Establish and manage priorities effectively to meet deadlines
• Author and validate expert opinions and risk evaluations
• Lead the drafting, review, and approval of Declarations of Conformity
• Oversee local assessments of regulatory impacts
• Act as regulatory project leader for significant change initiatives

Senior Regulatory Affairs Specialist

• Lead risk management for abstraction licence changes across AMP programmes, including WINEP and TLL
• Maintain a central record of proposed licence changes, tracking drivers, risks, dependencies, and mitigations
• Monitor progress and emerging risks, ensuring timely escalation and intervention where required
• Identify when abstraction caps cannot be met and lead the development of robust Public Interest Cases (IROPI / OPI)
• Engage proactively with regulators, consultants, and internal teams to secure outcomes that protect water supplies and enable compliance
• Collaborate with the Sustainable Abstraction Programme Team to design environmental mitigation and compensatory measures
• Shape and influence long ‑ term sustainable abstraction strategy, including innovative approaches such as dynamic abstraction licensing
• Ensure abstraction needs and licence caps are fully and accurately reflected in WRMP29, PR29, and wider environmental programmes
• Provide strategic insight on emerging regulatory trends, risks, and opportunities
• Influence future regulatory direction through proactive engagement and policy shaping
• Manage consultant support to deliver technical, regulatory, and evidence ‑ based case development
• Champion a strong health, safety, and continuous improvement culture

Strategy and Regulation Manager – Sustainable Abstraction

• Ability to provide step-by-step instruction on pre-trip and post-trip inspections in accordance with DOT regulations and company policy.
• Facilitate training sessions on DOT regulations, FMCSA requirements, and company safety policies, adapting instruction to different learning styles to ensure full comprehension.
• Mentor, coach, and develop professional drivers to support safe and compliant performance.
• Demonstrate a professional leadership presence during training to reinforce expectations and promote consistent application of safety and compliance standards.
• Ensure West and Central field operations comply with DOT, FMCSA requirements.
• Comprehensive knowledge of maintaining proper documentation required by federal DOT law and company policies.
• Ability to manage and maintain Driver Qualification Files, including conducting or coordinating required road tests for new hires.
• Conduct internal audits to identify compliance gaps and support corrective action planning.
• Assist with DOT audits by preparing documentation and supporting the DOT Manager.
• Understanding ELD platforms and safety management systems to analyze data, identify trends, and recommend improvements.
• Travel 70–80% of the time to job sites, yards, and field locations across the West and Central regions.
• Collaborate with DOT compliance team to support effective training and compliance initiatives.
• Investigate incidents, analyze trends, and advise/collaborate corrective action practices with DOT Manager.
• Serve as a safety resource for drivers by addressing questions and providing operational guidance.
• Promote defensive driving techniques and safe vehicle operation.
• Reinforce safety expectations and support consistent application across all field teams.
• Build positive working relationships with field teams to support a culture of safety, professionalism, and accountability.

Senior DOT Compliance Instructor

• Oversees regulatory compliance for all U.S. independent system operators and regional transmission organizations.
• Serves as the company’s primary subject matter expert for ERCOT compliance, including nodal protocols, operating procedures, settlement processes, and market guides.
• Tracks and reports rule changes in all U.S. ISO/RTO markets, focusing on ERCOT; evaluate business effects of PRRs and stakeholder developments.
• Develops and maintains internal compliance policies, procedures, and controls tailored to each ISO/RTO in which the company participates.
• Conducts regular internal audits and gap analyses across trading, scheduling, settlements, and operations functions for multi-market compliance exposure.
• Manages all required filings, notifications, and reports to ERCOT, PUCT, FERC, and other applicable regulatory bodies on time and with accuracy.
• Serves as primary liaison for ERCOT Market Surveillance, PUCT enforcement inquiries, and NERC/Regional Entity audit activities.
• Coordinates cross-market compliance calendars and risk registers, ensuring obligations across all ISO/RTO footprints are tracked and met.
• Designs and delivers compliance training programs for operational, trading, and scheduling staff across all relevant markets.
• Collaborates with legal, finance, and operations teams to embed compliance requirements into new market strategies, products, and systems.
• Participates in ISO/RTO stakeholder meetings and working groups, particularly within ERCOT, representing the company’s interests in rulemaking processes.
• Prepares executive-level compliance reporting and escalates material risks to leadership in a clear, timely manner.

Independent Systems Operator – Compliance Specialist

• Maintain and execute initiatives for Trade Compliance Management Program
• Serve as subject matter expert for import & export compliance
• Ensure compliance with import & export control laws
• Develop and conduct related training
• Review and analyze rejected freight bills
• Assist with processing Duty Drawbacks

Logistics & Compliance Supervisor

• Team and Program Management: Forecast and report subscription bookings related to SEAP activities, working closely with sales
• Consolidate analytics and reporting to aid sales consultation on account selection strategy for SEAP engagement
• Manage relationships with 3rd party partners retained for customer reviews and program consultation
• Serve as the primary escalation point for negotiation and resolution of compliance findings identified by SEAP
• Sales and Negotiation: Identify, inspire, and guide subscription bookings related to direct and influence engagement of Sales Teams
• Lead complex negotiations with clients to secure optimal subscription terms, pricing, and conditions
• Identify new opportunities and negotiate agreements that align with business objectives and licensing models, strengthening client relationships
• Compliance and Asset Management: Provide strategic advice to internal stakeholders on licensing models and changes to align with business goals
• Advisory and Strategy: Manage the deployment and renewal of subscription licenses, ensuring the appropriate subscriptions are in place and the underlying terms and reporting needs are understood
• Consult with the Legal team to customize and edit order forms and contracts relevant to SEAP provisions
• Monitor subscription usage to maintain compliance with licensing terms, ensuring alignment with contractual obligations to avoid penalties

SEAP Compliance Specialist

• Conduct consumer compliance reviews, regulatory testing, risk assessments, and issue validation activities
• Evaluate business processes and controls for compliance with applicable federal and state consumer finance regulations
• Identify compliance risks, document findings, and support remediation efforts
• Provide regular status updates to Senior Compliance Examiners and management throughout the review lifecycle
• Prepare clear, accurate, and well-documented workpapers that outline testing procedures performed, results obtained, and supporting analysis
• Maintain working knowledge of relevant regulatory requirements, regulatory changes, and business initiatives, and understand their potential compliance impacts
• Identify compliance risks and control gaps based on testing results and observations, and communicate findings to the review lead
• Provide timely status updates on assigned testing activities to management
• Contribute to the development of comprehensive and defensible testing reports
• Establish and maintain effective working relationships with business partners and internal stakeholders during the course of reviews
• Respond to business partner inquiries regarding compliance requirements and regulatory expectations
• Review and analyze policies, procedures, workflows, and first-line monitoring activities
• Research regulatory and operational questions and summarize findings; provide recommendations or escalate complex issues as appropriate
• Develop corrective action recommendations, review management action plans, and validate remediation efforts through issue closure
• Support special projects and perform other duties as assigned

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