Compliance

• Independently perform all annual nondiscrimination testing for plans, including plans with complex designs
• Prepare and review Form 5500 filings for larger plans and those with higher complexity
• Draft plan amendments for safe harbor addition/removal, eligibility changes, allocation changes, as well as prepare the initial adoption agreement for new plans
• Serve as the primary compliance contact for assigned relationship managers
• Train and mentor Compliance Analysts on testing methodologies, filing procedures, and firm workflows; may conduct initial quality review of Compliance Analyst work product before submission to senior reviewers
• Identify emerging compliance issues in assigned plans (e.g., operational failures, missed amendments, late contributions) and recommend corrective actions
• Collect, validate, and reconcile census data and payroll records, resolving data discrepancies independently and escalating systemic data issues to the Director
• Participate in the development and refinement of internal procedures, checklists, and training materials to improve consistency and efficiency
• Develop and maintain proficiency with all software necessary to perform job duties, particularly Ft William and Relius applications
• Meet production standards as established, with increasing emphasis on quality metrics, mentorship contributions, and client communication effectiveness in addition to volume

Senior ERISA Compliance Analyst

• Under the direction of the Trade Compliance Leadership, perform the day to day activities required to operate a fully effective export compliance program
• Prepare, submit, and manage export license applications (DSP-5, DSP-73, DSP-61, TAA, MLA, etc.)
• Ensure that AV is fully compliant with all Trade Compliance Laws and Regulations
• Assist in maintaining accurate product Export and Import classifications, ECCN, ITAR category, HTS and Schedule B codes
• Maintain TC processes and procedures; Train company employees; Audit compliance to the company procedures
• Identify improvement opportunities and problems; provide guidance to AV Sr. management for solutions
• Provide expert guidance to International Business Development and Program Management organizations

Trade Compliance Officer

• Effectively manage regulatory inquiries of PLICO and affiliated insurance companies
• Respond to inquiries from regulatory bodies for information pertaining to insurance and/or securities activities and/or representatives
• Partner with the business and divisional compliance units when required regulatory filings must be submitted to designated regulators and coordinate filings in a timely manner
• Identify potential areas of risk based on Market Conduct findings
• Interact with industry peers and regulators to share and gather information related to emerging regulatory issues
• Maintain the information to be included in regulatory report updates
• Support other compliance department leaders in the development and maintenance of the company’s corporate compliance program

Senior Associate, Regulatory

• Coordinate the gathering and validation of substance and material composition information for purchased materials and components
• Ensure CVG products meet U.S., European, and customer-specific regulatory obligations
• Evaluate compliance for new and existing products
• Assess the impact of emerging regulations
• Collaborate with both internal teams and external suppliers to obtain and validate required information

Materials Compliance Analyst – Commercial Automotive

• Serve as the designated compliance advisor for assigned client organizations.
• Interpret and apply: NIST SP 800-171, DFARS 252.204-7012, CMMC 2.0 Level 1 & Level 2 requirements, SPRS scoring and submissions.
• Guide clients through gap assessments, remediation planning, implementation, and certification readiness.
• Assist clients with developing and maintaining: System Security Plans (SSPs), Plans of Action & Milestones (POA&Ms), Security policies and procedures, Compliance documentation and evidence.
• Conduct recurring compliance strategy meetings with clients.
• Review implementation progress and validate remediation efforts.
• Serve as the primary compliance contact throughout the client engagement.
• Translate complex regulatory requirements into practical business and technical recommendations.
• Collaborate with client leadership, IT teams, and security personnel to implement compliant solutions.
• Support clients before, during, and after assessments.
• Prepare professional assessment reports and executive summaries.
• Maintain accurate compliance documentation and audit evidence.
• Track compliance milestones and client deliverables.
• Conduct monthly compliance reviews.
• Monitor regulatory updates affecting Department of Defense contractors.
• Assist clients with annual self-assessments and SPRS submissions.
• Support audit readiness initiatives.
• Coordinate with C3PAOs, government auditors, and other stakeholders as necessary.
• Deliver cybersecurity awareness and compliance training for client personnel.
• Educate organizations on evolving CMMC and NIST requirements.
• Help clients understand how cybersecurity controls support their business operations.

CMMC Compliance Specialist

• Monitors legal entity and business unit activity to ensure compliance with laws, regulations, and internal procedures
• May also prepare and review compliance reports for management
• May provide guidance and direction to less experienced analysts

Capital Markets Compliance Analyst – Municipal Securities

• Establish and lead an enterprise-wide pharmacy compliance and risk management program aligned with organizational objectives and regulatory requirements
• Serve as the senior compliance advisor to executive leadership on pharmacy regulatory matters, compliance risks, and emerging regulatory trends
• Develop and execute a long-term compliance strategy that supports business growth while maintaining regulatory excellence
• Promote a culture of ethics, integrity, accountability, and compliance across the organization
• Ensure compliance with applicable federal and state laws and regulations, including HIPAA, HITECH, Medicare Part D, Medicaid, state pharmacy regulations, and other healthcare regulatory requirements
• Oversee pharmacy licensing, accreditation, certification, and regulatory reporting activities
• Lead responses to regulatory audits, inspections, investigations, complaints, and inquiries from government agencies and pharmacy boards
• Direct enterprise pharmacy compliance risk assessments and develop risk mitigation strategies
• Identify and proactively address areas of regulatory risk, including drug diversion, fraud, waste and abuse, privacy, data security, and operational compliance
• Oversee compliance monitoring, auditing, and reporting programs to assess effectiveness and identify opportunities for improvement
• Partner with clinical, operations, product, technology, and legal teams to embed compliance requirements into business processes and product development
• Advise leadership on regulatory implications associated with strategic initiatives, new products, partnerships, and expansion opportunities
• Lead, mentor, and develop a high-performing compliance organization

VP, Risk and Pharmacy Compliance

• Support regulatory compliance efforts on the NG program with the US Space Force Space Launch Deltas 45 and 30
• Provide leadership in maintaining critical ground safety compliance products for the New Glenn launch vehicle program
• Develop and maintain positive relationships across the New Glenn program and our US government partners at the US Space Force
• Proactive planning of sophisticated products across many technical subject areas
• Developing, delivering, and communicating results in support of Range Safety Compliance
• Must have a working knowledge of the SSCMAN 91-710 requirements
• Perform at a high-level in a fast-paced, dynamic environment and be a team member

Range Safety Compliance Engineer – Ground Operations

• The Compliance Analyst coordinates the gathering and validation of substance and material composition information for purchased materials and components used across CVG's automotive and non-automotive product lines
• Ensures CVG products meet U.S., European, and customer-specific regulatory obligations including REACH, RoHS, POPs, Prop 65, PFAS, IMDS, and FMD data requirements
• Evaluates compliance for new and existing products, assesses the impact of emerging regulations, and collaborates with both internal teams and external suppliers to obtain and validate required information
• Report compliance with U.S. state, federal, European, international, customer, and internal company standards related to substances and materials
• Collaborate with internal teams to obtain and verify information related to substances and materials composition
• Engage external suppliers to gather required substance and material data; track supplier responses and maintain a master file
• Evaluate compliance requirements for new product launches and manage recertification of existing products
• Assess the impact of new and evolving regulations and customer-specific requests on CVG products
• Manage material compliance data from a global supplier base, ensuring accuracy and timeliness
• Create and present status reports for management and customers
• Work cross-functionally with Engineering, Procurement, Quality, and Legal as needed.

Compliance Analyst – Commercial Automotive Materials

• Implement and maintain Compliance programs in accordance with the Office of Inspector General's work plan.
• Educate providers regarding compliance with government regulations.
• Assist in performing analysis of current situations and recommend priorities and goals for future clinic needs.
• Identify coding and billings risk areas, conduct focused reviews, and implement corrective action as needed.
• Conduct routine internal audits of provider documentation on a timely basis.
• Collaborate with physicians and internal staff in development of improved capabilities in the areas of documentation, coding, and compliance.
• Review internal controls, policies, and procedures to ensure compliance with appropriate guidelines.
• Communicate with Medicare/Medicaid Carriers and third party payers regarding policies and procedures.
• Promote Compliance initiatives with clinical faculty and administration.

Compliance Specialist – Inpatient

• Own the strategic design and continuous evolution of risk frameworks, the risk registry, and executive risk narratives for Community Support.
• Ensure that investigative outcomes are contextualized within the broader risk ecosystem — informing risk appetite decisions, shaping detection strategy, and driving remediation accountability.
• Serve as the program manager for systemic root cause resolution — ensuring that when investigations, incidents, or risk assessments reveal structural vulnerabilities, those root causes do not languish in a findings log but are tracked, assigned, resourced, and driven to completion across the organization.
• Serve as a risk steward for AI systems that touch Community Support — leading governance and discussions of the implications of deploying AI in high-stakes decision-making environments.
• Design and own the CS Risk Appetite Framework — define guardrails, escalation triggers, and pre-approved response actions.
• Own and evolve the CS Risk Registry as a living strategic instrument. Your job is to challenge what gets prioritized, determine whether risk scores reflect reality, identify risks that automated systems miss entirely, and ensure accountability for remediation.
• Develop and stress-test risk assessment standards — including key risk indicators (KRIs), risk typologies, and emerging threat hypotheses.
• Support the evolution of models and processes used in detection triage and investigation.
• Establish ongoing governance cadences — risk review boards, quarterly risk assessments, and challenge sessions where risk assumptions are pressure-tested by diverse stakeholders, not simply ratified.
• Collaborate closely with the Insider Threat Investigations to ensure investigative outcomes are systematically captured, contextualized, and integrated into risk governance.

Process Risk and Compliance Operations Manager

• Work directly with the Head of Regulatory Reporting, assisting with reviews of regulatory reports
• Leading and collaborating on special projects related to regulatory reporting
• Complete research related to regulatory reports
• Work across segments to ensure streamlined processes and accuracy/completeness of required regulatory filings
• Collaborate with other Regulatory Reporting colleagues to ensure efficient and effective reporting
• Assist with periodic reporting processes, including but not limited to the Call Report, FR Y-9C, FR Y-14M, FR Y-14Q, FR Y-14A, FFIEC 009, FR Y-15, Basel III, and other reports as needed
• Identify, articulate, and coordinate regulatory reporting issues with Risk Management, Internal Audit and Legal
• Analyze results and provide insightful detail to management for trends and fluctuations
• Lead and participate in quality control efforts to ensure information used and reported in regulatory reports is consistent

Senior Manager, Regulatory Reporting – Special Projects

• Oversee the daily operations, workload management, and performance of the Compliance Department, including State Compliance, Regulatory Affairs, and Licensing functions across all business areas of the insurance lifecycle.
• Manage and develop compliance supervisors, analysts, licensing personnel, and regulatory affairs staff, including coaching, accountability, quality review, and professional development.
• Monitor and interpret changes in insurance laws, regulations, bulletins, enforcement trends, market conduct expectations, and operational compliance requirements across multiple jurisdictions.
• Lead operational implementation of regulatory changes and ensure business processes, workflows, forms, communications, and operational procedures remain compliant with applicable regulatory requirements.
• Identify operational inconsistencies, process gaps, or regulatory exposures and develop standardized procedures, workflows, departmental expectations, reporting standards, and compliance controls across compliance functions.
• Partner with leadership and cross-functional stakeholders to provide operational compliance guidance, regulatory interpretation, and risk-based recommendations related to business initiatives and operational changes.
• Assist Compliance leadership in developing scalable compliance frameworks, departmental structures, governance processes, reporting standards, and long-term program initiatives.
• Serve as an escalation point for complex compliance matters, operational concerns, and cross-functional compliance initiatives while exercising sound judgment regarding matters requiring escalation to Compliance leadership.
• Support and participate in regulatory interactions, examinations, audits, and compliance-related meetings in coordination with Compliance leadership.
• Lead departmental process improvement initiatives and operational enhancement efforts to support organizational growth, efficiency, and regulatory readiness.
• Participate in broader enterprise initiatives and cross-functional projects outside the immediate compliance space, depending on business needs.

Compliance Manager

• Supports risk programs through monitoring, testing, and reporting to ensure adherence to regulatory and risk management standards
• Conducts risk assessments and evaluates control effectiveness, including the review of organizational initiatives for risk impact
• Develops and maintains risk metrics, dashboards, and reporting tools
• Analyzes findings, losses, and risk events to identify trends
• Collaborates cross-functionally with business units and stakeholders to provide guidance and risk mitigation strategies
• Assists with regulatory exams and internal audits by compiling requested information and preparing supporting materials
• Maintains understanding of applicable laws, regulations, internal policies, and trends, as well as monitors changes and communicates impacts appropriately
• Supports efforts to resolve highly critical issues, findings, and/or regulator matters
• Supervises day-to-day work of junior analysts when appropriate, as well as provides advice and guidance to develop technical skills and knowledge

Enterprise Compliance and Operational Risk Analyst

• Provide the authoritative EVMS voice that keeps programs on track, compliant, and ready for government oversight
• Influence high-value program decisions through deep earned value analysis and practical recommendations
• Mentor and uplift EVMS capability, creating repeatable practices that scale across the enterprise
• Responsible for the implementation & execution of EVMS policies and practices
• Supports internal and external surveillance, audits and reviews
• Responsible for the development, implementation, training, and maintenance of EVMS processes and tools
• Responsible for supporting EVMS talent development, performance management, and business strategy
• Supports programs in operational decisions and provides advice on enhancing project performance

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