Compliance

• Review and approve communications with the public to fulfill supervisory and regulatory requirements, including stationery, newsletters, websites, podcasts, videos, social media content, reporting templates, and other advertising materials.
• Applies critical thinking and analytical judgment to evaluate advertising content, imagery, performance reporting templates, and disclosures for compliance risks while maintaining service level standards.
• Research, interpret, and apply regulations and firm policies to a wide variety of advertising scenarios, including situations where context determines whether specific wording, imagery, or claims are appropriate.
• Draft, tailor, and recommend disclosure language when standard disclosures do not fully address the facts or risks of a specific submission.
• Clearly communicate required changes, explain the reason for revisions, and provide alternate language or practical options to help financial professionals achieve compliant outcomes.
• Provide responsive customer service to management, company associates, and financial professionals; track open issues and follow up consistently through resolution.
• Communicate internal and external policies and procedures, monitor adherence, and escalate potential violations or concerns to management as appropriate.
• Maintain working industry knowledge and complete continuing education requirements for applicable FINRA licenses, including Series 7 and Series 24.

Advertising Compliance Analyst

• Ensure institutional compliance with all Title IV, VA, TA, state, and institutional funding regulations
• Maintain current knowledge of federal and state regulatory changes and translate requirements into actionable institutional processes
• Oversee Department of Education system access and reporting, including COD, CPS,NSLDS, FSA Partner Connect, and E-App submissions
• Manage compliance reporting processes, including 90/10, 85/15, Gainful Employment, Consumer Information disclosures, COA updates, and IPEDS reporting
• Lead internal and external audit preparation, program reviews, and compliance response efforts
• Oversee reconciliation processes for federal aid drawdowns, returns, and fund accuracy
• Ensure enrollment reporting compliance through NSLDS and/or the National Student Clearinghouse
• Develop, maintain, and update policies, SOPs, and compliance training materials across departments
• Partner with Institutional Data and Finance teams to ensure accurate reporting and funding integrity
• Monitor default management processes and ensure institutional compliance with cohort default rate requirements
• Collaborate with leadership to identify process gaps, implement improvements, and strengthen internal controls
• Serve as a compliance subject matter expert across all funding sources and institutional stakeholders

Director of Funding Compliance

• Develop and lead Casepoint’s enterprise Governance & Compliance strategy, ensuring scalable governance practices that support business growth and customer trust.
• Own enterprise privacy, compliance, AI governance, information governance, and corporate policy programs.
• Establish governance frameworks for emerging technologies, including responsible AI, data governance, and regulatory compliance.
• Partner with Executive Leadership to proactively identify, assess, and manage regulatory, contractual, operational, and technology-related risks.
• Provide executive oversight of the contracts function by partnering with the Director of Government Contracts on strategy, governance, risk management, and operational priorities.
• Collaborate with Sales, Product, Finance, Security, Legal, Engineering, and Customer Success to enable growth while balancing business objectives with appropriate governance.
• Develop executive reporting, governance metrics, and compliance dashboards to support informed decision-making.
• Drive continuous improvement through scalable processes, automation, and technology-enabled governance solutions.
• Monitor evolving regulatory requirements and industry best practices, recommending proactive enhancements to governance programs.

VP, Governance and Compliance

• Providing guidance and interpretation of USG regulations, including ITAR, EAR, BATFE, Anti-boycott Regulations, US Census, and Customs Regulations.
• Working with various functional areas (Contracts, Supply Chain Management, Program Management, Engineering, New Business, etc.) to determine their export/import needs.
• Preparing and submitting necessary export/import authorization requests required to support international programs and managing all post approval activities such as recordkeeping, reporting requirements, approvals for data exports and international shipping authorizations.
• Assisting Global Trade Manager to develop and implement appropriate strategies to meet business requirements and ensure full compliance with all regulatory agencies.
• Formally presenting in meetings, training environments and responding to questions from management, employees, customers and vendors related to export/import compliance.
• Supporting corrective action implementation and negotiating export/import control issues with internal and external customers and resolve issues in a win/win manner.

International Trade Compliance Analyst – Level 2

• Providing guidance and interpretation of USG regulations, including the International Traffic in Arms Regulations (ITAR), Export Administration Regulations (EAR), Bureau of Alcohol, Tobacco, Firearms and Explosives (BATFE), Anti-boycott Regulations, US Census and Customs Regulations.
• Working with various functional areas (Contracts, Supply Chain Management, Program Management, Engineering, New Business, etc.) to determine their export/import needs
• Preparing and submitting necessary export/import authorization requests required to support international programs and managing all post approval activities such as recordkeeping, reporting requirements, approvals for data exports and international shipping authorizations.
• Assisting Global Trade Manager to develop and implement appropriate strategies to meet business requirements and ensure full compliance with all regulatory agencies.
• Formally presenting in meetings, training environments and responding to questions from management, employees, customers and vendors related to export/import compliance.
• Supporting corrective action implementation and negotiating export/import control issues with internal and external customers and resolve issues in a win/win manner

Principal International Trade Compliance Analyst

• Drive our global trade compliance strategy, building scalable programs that reduce landed cost and streamline customs operations across borders.
• Work cross-functionally to embed compliance into every stage of the supply chain while influencing key business decisions through data and risk mitigation.
• Act with urgency, communicate with clarity, and embrace challenges as opportunities to raise the bar.
• Lead with accountability and aim to leave a lasting impact.

Director, Trade Compliance

• Partners with their assigned Line of Business, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers to create, implement, maintain, review or oversee an effective risk management framework.
• Participates in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations.
• Identifies gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors.
• Identifies, responds and/or escalates risks as appropriate.
• Serves as a functional liaison between the Line of Business and the Lines of Defense.
• Review potential policy violations
• Review and resolution of customer complaints
• Back up reporting as well as other team related tasks.

Compliance Representative

• Uphold the company’s values and serve as a hands-on leader responsible for managing a team and executing compliance activities
• Lead the execution of the Compliance Management System (CMS) and strategy
• Partner with the business and stakeholders to drive a culture of compliance
• Oversee annual or periodic compliance risk assessments, impact assessments, and advisory interactions
• Ensure adherence to CMS requirements through effective challenge of issues and regulatory changes
• Develop and implement management and board reporting, as well as reporting for regulatory agencies
• Provide subject matter expertise related to residential mortgage lending laws and regulations
• Collaborate with team members and external partners to document impact changes on Compliance Risk Assessment
• Participate in Compliance Department meetings
• Lead working groups and project teams to strengthen the bank's CMS
• Directly perform high-priority compliance activities including regulatory impact assessments and advisory reviews

Senior Compliance Manager

• Assign accurate HTS classifications using GRIs, section/chapter notes, explanatory notes, administrative rulings, and CBP guidance
• Validate PGA implications (FDA, EPA, CPSC, etc.) and admissibility requirements.
• Screen for AD/CVD exposure using ACE and Federal Register sources.
• Conduct structured research on tariff updates, regulatory changes, trade actions, and PGA requirements.
• Review product information (materials, construction, function, specifications) to ensure necessary details are available for accurate classification.

Trade Compliance Specialist

• Manage the full AmeriCorps member lifecycle, including outreach, interviewing, enrollment, onboarding, and exit procedures.
• Maintain accurate and confidential member records, including eligibility documentation, service agreements, and required compliance materials.
• In collaboration with Blueprint’s Data Analyst, track and assess member service hours and timesheets to ensure members are on pace to fulfill their term of service requirements.
• Provide recruitment support across all regions during peak seasons or as requested.
• Create and facilitate onboarding training for AmeriCorps members regarding AmeriCorps requirements, any required updates, and time tracking requirements.
• Assist members in navigating AmeriCorps systems and technology platforms.
• Build and maintain online resources and tools to support members throughout their service term.
• Purchase program materials and branded items in accordance with budget guidelines.
• Monitor program adherence to AmeriCorps regulations, including prohibited activities, service hour requirements, and member eligibility.
• Conduct orientations and ongoing training on AmeriCorps rules, expectations, and compliance requirements.

Program and Compliance Coordinator

• Design, lead, and enhance the risk and compliance framework
• Identify, assess, monitor, and report on risks and compliance obligations
• Set strategy for the risk and control environment
• Lead cross-functional collaboration with program, clinical, analytics, legal and technology functions
• Develop and mentor colleagues in governance, risk management, and compliance practices
• Maintain an enterprise repository of HEAT-related risk assessments and compliance documentation

Senior Manager – Enterprise Risk & Compliance

• Review and approve communications with the public to fulfill supervisory and regulatory requirements
• Applies critical thinking and analytical judgment to evaluate advertising content for compliance risks
• Research, interpret, and apply regulations and firm policies to advertising scenarios
• Draft, tailor, and recommend disclosure language for specific submissions
• Provide responsive customer service to management and financial professionals
• Communicate internal and external policies and procedures and monitor adherence

• Conduct effective and unbiased oversight supporting the Personal Investor’s product and service offerings
• Assist and support the Registered Principals Responsible (RPR) with complex internal audits, risk assessments, OSJ inspections, FINRA and SEC inspections, and regulator requests for Written Supervisory Procedures (WSPs)
• Provide Regulatory Oversight for aligned businesses and ensure completion of all evidencing for Representative Supervision WSP work being done across Front Office businesses
• Support other delegate work as needed
• Interpret current market, regulatory, and industry news to identify areas of opportunity within the oversight process through trending, gaps, and process change/workflows
• Work with Legal and Compliance to ensure the process update is compliant with industry regulation changes, system enhancements, and industry best practices
• Present key findings to the RPRs and key management
• Record the evidence of supervision, track and document follow-up and resolution, analyze trends, document process improvements/changes and the rational made to procedures
• Develop, maintain, and broaden effective working relationships across applicable process owner’s business areas and external business partners
• Foster lines of communication between business contacts, the Legal Department, Compliance Department colleagues, Risk, and personnel and control groups
• Work independently in a fast-paced environment
• Contribute to a positive and productive environment
• Assist the team in meeting team and department goals
• Participate in special projects and perform other duties as assigned

Senior Regulatory Oversight Specialist

• Configure, maintain, and optimize GRC platforms (preference for IBM OpenPages)
• Support GRC processes including control testing, issue management, and compliance monitoring
• Participate in functional testing, data validation, and regression testing for system enhancements and defect resolution
• Engage in the software development lifecycle (SDLC) by reviewing requirements, testing changes, and supporting production readiness
• Design and implement logical and technical workflows within GRC tools
• Perform root cause analysis to resolve system or process issues
• Apply deep cybersecurity and risk management expertise to assess threats, identify gaps, and recommend mitigation strategies
• Ensure alignment with key industry standards including NIST, CRI, and OWASP
• Provide consultative guidance to business and technical stakeholders on risk, controls, and tool usage
• Deliver clear, concise communications and presentations to leadership and cross-functional audiences
• Apply pre-deterministic and generative AI techniques to enhance analysis, insights, and predictive risk modeling
• Operate effectively in dynamic, fast-changing environments with evolving requirements

GRC Configuration Specialist

• Direct, oversee and manage large, complex, regulatory projects, ensuring quality deliverables on time and within budget.
• May act as a Project Manager for a large and complex stand-alone project or programme, involving several regulatory or technical deliverables and/or region, and/or operations
• Undertakes risk analysis, management and contingency plans
• Must ensure that regulatory colleagues on the project have the tools and training needed to undertake the various tasks
• Provides strategic regulatory and/or technical consultancy on a variety of projects, internally and externally, using innovative solutions where appropriate to produce consistent results
• Ensures compliance of regulatory processes and prepares for full Regulatory Affairs Systems Audits, accountable for any subsequent action plans
• Competently manages meetings/expectations with Regulatory Agencies and/or groups within IQVIA
• May take leadership role in bid defense strategy and planning
• May act as global regulatory or technical representative in major cross-functional global initiatives and/or may lead a global regulatory/technical initiative
• May lead/chair a session on Regulatory Affairs or related topics at a conference; deliver effective presentations to a broad audience
• Responsible for making major improvements to processes and systems across functions or large departments
• Problems faced are highly complex and require solutions drawn from best practices and expertise, as well as from extensive analysis into the root cause.

Regulatory Affairs Director

• Supports the design and effective operation of internal controls
• Monitors control effectiveness, identifies potential risks
• Provides facilitation and analytical support for internal controls
• Thoroughly documents findings and assists with reporting results
• Builds strong working relationships with key internal and external stakeholders
• Provides education to crew around audit and control issues
• Participates in special projects and performs other duties as assigned

Senior Compliance Analyst, CoEC Operational Excellence Office

• Define strategy, operating model, and priorities in partnership with the Executive Director
• Set goals, performance measures, and annual objectives
• Lead SOX transformation, control modernization, and automation initiatives
• Drive continuous improvement and organizational maturity
• Serve as a trusted advisor to senior leaders
• Establish governance forums, charters, and decision frameworks
• Manage executive reviews, steering committees, and planning sessions
• Track commitments, decisions, and follow‑through
• Design dashboards and scorecards for senior leadership
• Report on control health, deficiencies, remediation progress, and audit readiness
• Prepare materials for executive leadership and audit stakeholders
• Lead the SOX Compliance Hub PMO
• Oversee major initiatives, risks, dependencies, budgets, and resourcing
• Coordinate efforts across process controls, IT controls, remediation, technology, and reporting
• Lead executive and organizational communications
• Develop leadership presentations and board‑level materials
• Support change management for governance and transformation efforts
• Support implementation of GRC tools and reporting automation
• Standardize processes and improve scalability and transparency
• Identify opportunities to increase efficiency through technology

Senior Manager – SOX Compliance, Strategy & Governance

• Provide customer support across an omni-channel environment, including inbound phone calls, live chats, email, and back-office tickets, ensuring timely and accurate resolution.
• Guide users through the PCI-DSS compliance process, delivering clear, step-by-step instructions to maintain regulatory and security standards.
• Assist customers in accessing, navigating, and troubleshooting the online platform, ensuring issues are addressed with minimal disruption to operations.
• Demonstrate strong analytical and problem-solving skills by leveraging available knowledge bases, tools, and resources to independently resolve complex issues.
• Prioritize first-contact resolution by efficiently collecting, verifying, and applying the necessary information to address inquiries.
• Proactively identify and communicate opportunities to streamline processes, recommend improvements, or escalate trends that impact efficiency or compliance.
• Manage workload effectively and work independently without direct supervision, maintaining accountability for productivity and accuracy.
• Handle escalations and difficult conversations with professionalism, focusing on resolution and adherence to company policies.
• Ensure all customer interactions are documented thoroughly and accurately in internal systems, following established protocols and compliance requirements.
• Consistently achieve or exceed performance metrics, service level standards, and quality expectations across all support channels.

PCI Compliance Specialist, PDS Program

• Plans, coordinates, implements and evaluates facility(ies)/entity(ies) and regulatory programs
• Acts as a subject matter expert to leadership and staff regarding regulatory requirements
• Prepares facilities/entities for compliance surveys and develops policies and procedures
• Conducts observations and reviews to ascertain facility compliance
• Provides direction and education to facility functional team leads
• Directs survey management activities and prepares facilities for survey readiness
• Evaluates life safety and environment of care events for compliance
• Reports on compliance trends and recommends improvement strategies
• Serves as subject matter expert on internal and external regulatory standards
• Engages in ongoing education and maintains regulatory expertise.
• Multi-facility responsibility and involvement in system-wide regulatory activities.

Regulatory Consultant

• 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 jobs in Arizona

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Advertising Compliance Analyst

Director of Funding Compliance

VP, Governance and Compliance

International Trade Compliance Analyst – Level 2

Principal International Trade Compliance Analyst

Director, Trade Compliance

Compliance Representative

Senior Compliance Manager

Trade Compliance Specialist

Program and Compliance Coordinator

Senior Manager – Enterprise Risk & Compliance

Advertising Compliance Analyst

Senior Regulatory Oversight Specialist

GRC Configuration Specialist

Regulatory Affairs Director

Senior Compliance Analyst, CoEC Operational Excellence Office

Senior Manager – SOX Compliance, Strategy & Governance

PCI Compliance Specialist, PDS Program

Regulatory Consultant

Compliance Specialist – Inpatient