Compliance

• Own the monitoring and tracking of annual recertification timelines across the portfolio, ensuring no recertifications fall behind schedule.
• Generate and send annual recertification notices to residents in a timely and accurate manner, in coordination with site teams and compliance staff.
• Monitor recertification completion rates and proactively flag outstanding items to Compliance Leadership and site teams.
• Maintain organized recertification tracking logs and ensure all documentation is up to date in property management and compliance systems.
• Identify patterns or systemic issues contributing to recertification delays and escalate with recommended solutions.
• Assist Compliance Specialists with processing and tracking move-in applications and recertification files as workload requires.
• Help collect, verify, and input applicant income, asset, and household information in compliance with program guidelines.
• Provide guidance to site teams on program requirements and documentation needs.
• Assist in preparing move-in and recertification files for investor, state agency, or internal audits.
• Serve as a resource for Compliance Specialists on complex questions, compliance processes, and program requirements.
• Assist Senior Compliance Specialists with file review tasks during periods of high volume or tight deadlines.
• Support preparation of compliance reporting for investors, state agencies, and internal leadership as assigned.
• Contribute to audit preparation activities by ensuring files are organized and audit-ready.
• Help track compliance activity and reporting deadlines, escalating concerns as needed.
• Serve as coverage for the Compliance Specialist role during planned or unplanned absences, including processing and tracking move-in applications and recertifications.
• Serve as coverage for the Senior Compliance Specialist role during absences, including file review, escalation triage, and team support functions.
• Maintain service continuity and compliance standards across both functions during coverage periods.
• Actively pursue skill development in file review, quality control, and compliance mentorship to prepare for advancement into a Senior Compliance Specialist role.
• Participate in training, coaching, and knowledge-sharing opportunities with Senior Compliance Specialists and Compliance Leadership.
• Demonstrate growing proficiency in LIHTC and other affordable housing program requirements.
• Take on additional compliance-related projects and assignments as opportunities arise to broaden expertise.

Compliance Specialist II

• support and enhance established compliance programs
• audit and monitor processes
• maintain precise records
• manage the full lifecycle of regulatory licensing filings
• conduct in-depth fact-finding and legal research
• provide timely, accurate responses that support informed decision-making

Senior Analyst, Business Compliance

• About the Role
• We are seeking a highly detail-oriented **Compliance Filings Specialist **to support the execution of federal and state compliance filings for motor carriers. This role is responsible for completing and managing all filings offered by PrePass, ensuring accuracy, regulatory compliance, and timely submission. The Compliance Filings Specialist works closely with internal teams and customers to gather required information, submit filings, and maintain complete compliance records.
• This position is ideal for someone with hands-on experience in transportation compliance filings who thrives in a process-driven, deadline-focused environment.
• Essential Responsibilities
• Compliance Filings Execution
• - Execute all compliance filings supported by PrePass, including but not limited to:
• - DOT number applications and updates
• - Motor Carrier authority applications and updates
• - FMCSA application changes and corrections
• - BOC-3 filings
• - Unified Carrier Registration (UCR) filings and renewals
• - Texas Department of Motor Vehicles (TxDMV) motor carrier registration (TX DOT)
• - New York Highway Use Tax (NY HUT)
• - Kentucky Weight Distance Tax (KYU)
• - New Mexico Weight Distance Tax (NM WDT)
• - Oregon Weight Distance Tax (OR WDT)
• - Heavy Vehicle Use Tax (HVUT / Form 2290)
• - Biennial updates
• - California Motor Carrier Permit (CA MCP)
• - International Fuel Tax Agreement (IFTA) reporting and renewals
• - International Registration Plan (IRP) registrations and renewals
• - Ensure filings are submitted accurately, completely, and in compliance with applicable federal and state regulations
• - Manage both initial filings and recurring renewals across multiple jurisdictions
• Documentation & Data Accuracy
• - Collect, review, and validate carrier information required for filings, including business details, EINs, VINs, and supporting documentation
• - Enter and maintain accurate filing data within internal systems and document repositories
• - Upload confirmations, receipts, and compliance documents with appropriate tracking and expiration details
• Customer & Internal Coordination
• - Communicate clearly with customers regarding filing requirements, missing information, and completion status
• - Respond to filing-related questions and provide guidance on next steps or corrections when needed
• - Coordinate with internal teams to align filings with onboarding, renewals, and service timelines
• Monitoring & Issue Resolution
• - Track filing progress and follow through on submissions until acceptance is confirmed
• - Identify and resolve rejected filings or required corrections in a timely manner
• - Maintain awareness of filing deadlines to prevent lapses in carrier compliance

Compliance Filings Specialist

• Key Responsibilities
• International Opportunity Scoping & Solution Design
• Evaluate international opportunities initiated by Sales by analyzing bill of materials (BOM), destination country requirements, vendor restrictions, and prod

Trade Compliance Specialist – International Logistics

• Support the organization’s GRC framework, policies, standards, and procedures
• Conduct risk assessments and maintain enterprise risk registers
• Identify, assess, and track remediation of technology and cybersecurity risks
• Assist in third-party/vendor risk assessments and compliance reviews
• Monitor compliance with internal policies and regulatory requirements
• Support ITGC (IT General Controls) and SOX compliance activities
• Coordinate control testing, evidence collection, and remediation tracking
• Work with control owners to ensure Design effectiveness and operational effectiveness of SOX controls
• Assist during external and internal SOX audits
• Maintain documentation for SOX controls, narratives, and process flows
• Coordinate vulnerability management activities with infrastructure teams
• Track remediation of identified vulnerabilities and security findings
• Support periodic access reviews and security compliance assessments
• Act as liaison between IT/Security teams and Internal/External Auditors
• Prepare audit evidence and coordinate audit requests
• Track audit findings and remediation plans through closure
• Assist with audit readiness initiatives and continuous monitoring activities
• Develop dashboards, metrics, and compliance reports for management
• Maintain accurate documentation for risks, controls, findings, and remediation efforts
• Support policy and procedure reviews and updates
• Support automation for SOX controls by identifying the scope and recommend all possible options for automation
• Directs activities to define, deploy, evaluate and support common computing standards, IT processes, tools and process/performance metrics
• Leads activities to define plans to support common standards and processes
• Identifies qualitative and quantitative improvement measures
• Advises on the selection of key parameters and standards to monitor progress
• Leads the definition, development and deployment of common process requirements and infrastructure products and services
• Directs activities to educate and promote use of Boeing IT common processes, methodologies, products and services
• Leads, consults and coaches in common processes for software development and maintenance
• Leads the review and evaluation of new technology for software process impact
• Supports and integrates architecture mapping to common processes

Senior Governance, Risk, and Compliance Process Analyst

• Process and track move-in applications, ensuring all files are reviewed, verified, and approved within 3–5 business days of submission.
• Process and track annual recertifications, ensuring all files are reviewed, verified and approved within 30 days of the annual recertification effective date.
• Collect, verify, and input applicant income, asset, and household information in compliance with program guidelines.
• Ensure move-in files are complete, accurate, and ready for compliance review and approval prior to lease signing.
• Communicate directly with applicants, residents and site teams to request missing or clarifying documentation.
• Partner with property management staff to support timely move-ins and occupancy goals.
• Maintain accurate and organized records in property management and compliance systems.
• Track application status and provide regular updates to Compliance Leadership, property staff, and regional managers.
• Assist in preparing move-in files for investor, state agency, or internal audits.
• Contribute to the timely and accurate completion of required annual compliance reports, as assigned.
• Collaborate with senior compliance and managers to resolve deficiencies quickly and maintain compliance standards.
• Provide guidance to site teams on program requirements and compliance processes as needed.
• Take on additional projects and duties as assigned to meet business needs.

Compliance Specialist

• Provide independent ERM oversight of fraud risk across all business lines and delivery channels.
• Develop, maintain, and refresh enterprise fraud risk assessments, scenarios, and typologies.
• Map fraud risks to products, processes, technologies, and third-party relationships.
• Align fraud risk ratings with enterprise risk appetite statements, tolerances, and limits.
• Assess the design and effectiveness of fraud prevention and detection controls.
• Support and challenge first-line Fraud Operations through RCSAs, control reviews, and issue validation.
• Track fraud-related issues, action plans, and remediation through closure.
• Contribute to fraud-related policies, standards, procedures, and governance documentation.
• Leverage data analytics, dashboards, and key risk indicators (KRIs) to identify trends and emerging fraud risks.
• Support fraud risk considerations for innovation initiatives, including advanced monitoring, rule optimization, behavioral analytics, and AI/ML-enabled fraud controls.
• Prepare executive-level and board-ready fraud risk reporting.
• Monitor fraud losses, near misses, KRIs, and control effectiveness.

GRC Fraud Analyst

• Monitor for relevant regulatory developments across all 50 states and the SEC, ensuring timely awareness of new compliance issues, rule proposals, and comment periods.
• Develop and maintain XYPN’s advocacy and policy roadmap, including issue tracking, prioritization, engagement status, and next steps.
• Partner with the Managing Director and Executive Team to shape advocacy priorities and provide informed recommendations on engagement opportunities.
• Develop a deep understanding of XYPN member firms, industry trends, and emerging regulatory issues to inform advocacy priorities and identify opportunities to influence regulation.
• Develop consistent channels for gathering member feedback, case studies, and practical examples to inform XYPN’s advocacy positions.
• Coordinate member-facing communications regarding advocacy initiatives, regulatory updates, and policy resources.
• Partner with members to prepare for legislative or regulatory hearings, meetings with state regulators and legislators, and other advocacy opportunities, including testimony and supporting materials.
• Develop and deliver educational sessions for legislators, regulators, XYPN members, and industry groups on regulatory trends, RIA business models, operational realities, and the impact of proposed regulation.
• Build productive relationships with regulators, industry stakeholders, advocacy partners, and member firms to support ongoing dialogue and collaboration.
• Coordinate strategic partnerships with industry associations, including IAA, FPA, NAPFA, CFP Board, and other aligned organizations.
• Draft policy positions and supporting materials, including comment letters, white papers, policy briefs, issue summaries, case studies, and testimony.
• Lead execution of advocacy activity in individual states, with the SEC, and with NASAA, including preparing formal responses to proposed regulations, policies, and rulemaking initiatives.
• Represent XYPN in meetings with state and SEC regulatory staff, NASAA representatives, and other relevant stakeholders on advocacy and rulemaking matters.
• Attend industry conferences, regulatory events, hearings, symposia, and working groups to strengthen relationships and stay engaged in evolving policy conversations.
• Accountable for reporting on activity and impact related metrics ranging from: Policy issues being tracked, Comment letters submitted, Meetings with regulators, Evidenced impact on policy changes.

Director of Policy and Regulatory Affairs

• Talking to new carriers and assisting with the set up process.
• Working closely with administrative, support team and operational offices, including Agents.
• Assisting with investigating risk concerns for the company.
• Vetting carriers in the database to protect the company.
• Providing top-notch service and ensuring all carriers are vetted and legitimate to be hauling freight for our customers!

Carrier Compliance Specialist

• 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

• Command the end-to-end response strategy for annual client security assessments; direct the preparation and multi-day presentation of complex technical evidence to sophisticated enterprise partners.
• Own the successful execution, maintenance, and scope validation of core compliance frameworks, including PCI-DSS, ISO 27001, SOC2 Type II, and TISAX.
• Partner with the Legal and Strategic Procurement teams to draft, review, and negotiate security exhibits within client and vendor contracts, ensuring committed promises align directly with technical capabilities.
• Develop, implement, and enforce a comprehensive library of corporate security policies that satisfy global standards while remaining functional and frictionless for a software-driven enterprise.
• Monitor global regulatory environments (e.g., CCPA/CPRA, GDPR, and emerging automotive cybersecurity mandates); collaborate with Privacy Owners to design underlying cyber strategies, documentation, and procedures.
• Direct the modernization of the GRC infrastructure by maximizing the ROI of continuous monitoring platforms and deploying/tuning Generative AI tools to automate high-volume compliance workflows.
• Serve as a core member of the Cybersecurity leadership team, collaborating with Product and Engineering leads to ensure security and legal requirements are embedded natively into the product development lifecycle.
• Directly manage, mentor, and evaluate the performance of GRC team professionals, aligning resource allocation with the organization's audit pipeline and strategic deadlines.

Senior Manager, Governance Risk and Compliance

• Manage the compliance inbox by reviewing, prioritizing, and responding to employee inquiries related to policies, procedures, and regulatory requirements.
• Triage incoming questions and route complex or high-risk issues to appropriate compliance, legal, or privacy personnel.
• Track and log all inquiries, ensuring proper documentation and follow-up through resolution.
• Develop and maintain standard response templates and FAQs to promote consistency and efficiency.
• Support drafting and distribution of compliance communications, alerts, and guidance.
• Maintain compliance documentation, including policies, procedures, and inquiry logs.
• Assist with scheduling, coordination, and documentation of compliance meetings and committee activities.
• Support onboarding and periodic compliance training logistics (e.g., tracking completion, sending reminders).
• Assist with basic monitoring activities, including tracking attestations and policy acknowledgments.
• Coordinate with cross-functional teams (HR, Legal, Privacy, Operations) to gather information needed to respond to inquiries.

Compliance Operations Specialist

• Talking to new carriers and assisting with the set up process.
• Working closely with other administrative, support team and operational offices, including Agents.
• Assisting with investigating risk concerns for the company and vetting carriers in the database to protect the company.
• Providing top-notch service as a crucial gatekeeper for carrier vetting and legitimacy for hauling freight.

• Implement and execute EVMS policies and practices
• Support internal and external surveillance, audits, and reviews
• Develop, implement, train, and maintain EVMS processes and tools
• Support EVMS talent development, performance management, and business strategy
• Provide advice on enhancing performance of the portfolio of projects
• Align material management and manufacturing practices with scheduling and EVMS best practices
• Develop advanced concepts, techniques, solutions, and standards utilizing expert domain knowledge
• Interact with senior executive leadership regarding strategic matters

Earned Value Compliance Analyst, Experienced/Senior

• Partners with key team members in the business to identify, assess, aggregate and document risk and compliance controls, including risks associated with new or modified products, services, distribution channels, regulations, and third-party operations.
• Communicates results of risk and compliance work to governance committees, business process owners and various levels of leadership.
• Contributes to the implementation of new risk and compliance policies, practices, appetites, and solutions to ensure multidisciplinary understanding and management of risks according to industry standard process.
• Implements assigned risk or compliance activities in accordance with enterprise policies and procedures.
• Maintains and expands knowledge of the competitive/regulatory landscape and the company's key challenges.
• Reviews laws and regulations for business impact and makes proposals for awareness and action.
• May coordinate and respond to regulatory requirements and requests and ensures the execution of examinations.
• Performs work on risk and compliance processes that focus on improving strategies, tools, and methodologies to measure, monitor, and report risks.
• Applies knowledge to assess data and produce analytical insights to understand business objectives, drive business decisions and influence solution strategies.
• Actively contributes in cross-functional teams to identify, assess, aggregate, and mitigate current and emerging risk events.
• Contributes to stress test plans for a line of business or the enterprise including the evaluation of results and framing of contingency plans in partnership with key business partners.

Risk and Compliance Advisor I – Fraud Risk

• Leads a team of crew members who examine business processes, products, and services for compliance
• Oversees monitoring, testing, and inspections of noncompliance with applicable laws and regulations
• Interfaces with business partners and provides guidance to mitigate compliance risks and control gaps

Compliance Manager – Head of Workplace & Advisor Solutions Monitoring & Testing

• Monitor compliance with laws, rules and regulations
• Develop & manage AG’s RIA Compliance Program
• Coordinate and oversee the development, implementation and enforcement of policies, procedures and programs to minimize risk
• Prepare for and respond to regulatory inquiries, examinations, internal and external audits
• Represent RIA Compliance Department in cross functional Firm initiatives and committees
• Provide investment advisory compliance support to RIA subsidiaries of Osaic
• Research and resolve issues, provide recommendations, and escalate to senior management as needed
• Design, implement, and maintain a risk-based compliance testing program in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940.
• Develop and execute annual and periodic testing plans to evaluate the effectiveness of RIA compliance policies, procedures, and associated internal controls.
• Perform and oversee documented testing of key advisory risk areas, including but not limited to conflicts of interest, disclosures, best execution, trading practices, marketing/advertising, custody, cybersecurity, privacy, and personal trading.
• Evaluate testing results, identify control gaps or weaknesses, and ensure timely remediation, follow-up testing, and issue tracking.
• Prepare formal written testing reports, summaries, and workpapers supporting conclusions and management recommendations.
• Coordinate testing efforts with internal stakeholders (Legal, Supervision, Operations, Technology, Risk, and Internal Audit) to ensure comprehensive coverage and consistency.
• All other duties as assigned

IA Compliance Manager – Policies, Procedures, and Testing

• Act as internal consultant to customers regarding benefit programs
• Serve as a subject matter expert in health plan compliance issues
• Manage external compliance supplier work and coordinate schedules, reviews and leadership presentations for retirement compliance work
• Draft plan documentation (e.g. summary plan description, plan amendments, summaries of material modifications, etc.) in accordance with legal requirements for review, approval and appropriate distribution
• Review and analyze all relevant information pertaining to a benefit appeal (e.g. plan documents, past precedents prior appeals, etc.) and prepare draft response and present to management
• Monitor and analyze legislative and regulatory actions that may impact benefit plans to develop recommendations as appropriate
• Review and analyze benefit plan provisions and recommend potential solutions for the restructuring to meet company objectives
• Review and monitor data information feed files to ensure accuracy and resolve discrepancies
• Review and analyze benefit data; respond to general inquiries, audits, document requests; prepare draft response for approval by management and submission to requesting agency
• Support union negotiations regarding benefits, present proposed benefit package to union, analyze benefit questions that arise during negotiations, respond to benefits related questions and compare proposals to other contracts (internal and external) to affect a solution

Lead Benefits Compliance Specialist

• Lead complex projects and problem resolution efforts related to risk management
• Collaborate with teams to identify and analyze risks that may impact operations and assets
• Develop and implement strategies for risk mitigation and compliance
• Drive global process improvements through effective project management and stakeholder engagement
• Serve as a senior compliance advisor

Senior Manager, Network Compliance, Payment Partner Oversight

• Act as internal consultant to customers regarding benefit programs
• Serve as a subject matter expert in health plan compliance issues
• Manage external compliance supplier work and coordinate schedules, reviews and leadership presentations for retirement compliance work
• Draft plan documentation in accordance with legal requirements for review, approval and appropriate distribution
• Review and analyze all relevant information pertaining to a benefit appeal and prepare draft response and present to management
• Monitor and analyze legislative and regulatory actions that may impact benefit plans to develop recommendations as appropriate
• Review and analyze benefit plan provisions and recommend potential solutions for the restructuring to meet company objectives
• Review and monitor data information feed files to ensure accuracy and resolve discrepancies
• Review and analyze benefit data; respond to general inquiries, audits, document requests; prepare draft response for approval by management and submission to requesting agency
• Support union negotiations regarding benefits, present proposed benefit package to union, analyze benefit questions that arise during negotiations, respond to benefits related questions and compare proposals to other contracts to affect a solution

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Senior Manager, Governance Risk and Compliance

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Earned Value Compliance Analyst, Experienced/Senior

Risk and Compliance Advisor I – Fraud Risk

Compliance Manager – Head of Workplace & Advisor Solutions Monitoring & Testing

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Lead Benefits Compliance Specialist

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