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

• Lead the development, maintenance, and continuous improvement of enterprise policies, standards, controls, and implementation procedures
• Translate regulatory, contractual, and cybersecurity requirements into actionable governance and control requirements
• Design, maintain, and optimize the enterprise control framework, including control rationalization, consolidation, and framework alignment activities
• Partner with cybersecurity, infrastructure, engineering, cloud, application, data governance, privacy, and compliance teams to ensure governance requirements are practical, feasible, and align with business and operational needs
• Provide subject matter expertise related to control intent, implementation expectations, regulatory interpretation, and governance best practices
• Support governance modernization initiatives, ServiceNow IRM policy management, and control automation efforts to improve scalability, consistency, and efficiency
• Develop and support control policies and strategies, prepare governance reporting, and communicate program status, priorities, and progress to stakeholders and leadership

Senior GRC Analyst

• Perform or coordinate the preparation and distribution of statistical operating reports and compliance filings for Energy Supply
• Review, provide analysis, and interpret new and proposed operational tracking regulations
• Accountable for the preparation and distribution of external and internal operating reports for all operating companies
• Ensure compliance with various reporting requirements
• Accountable for maintaining working relationships with internal and external customers
• Direct and execute various special projects for senior management and perform analysis of the data
• Develop tools and reports to facilitate consistent and defendable operations data analysis
• Train users to understand and properly use the reporting systems as appropriate

Operations Reporting and Compliance Analyst

Senior Governance, Risk, & Compliance (GRC) Analyst

• 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

• Interpret environmental regulations related to air, water, and waste.
• Calculate emissions and develop compliance strategies.
• Support the development of practical compliance strategies for industrial clients.
• Prepare regulatory and technical analysis memos.
• Prepare routine compliance submittals and develop compliance tools.
• Compile information for environmental permit applications.
• Strategize to avoid or minimize impacts to resources.
• Communicate questions, progress, and potential issues early and clearly with project teams.
• Provide onsite client support as needed (may require out-of-town travel).

Chemical Engineer – Environmental Engineer, Entry Level – Air Permitting and Compliance Focus

• 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

• Provides strategic direction and subject matter expertise on federal, state and local regulatory frameworks and rulemaking affecting Shale & Tight Business (S&TB) operations in Colorado.
• Lead development of regulatory strategies for Chevron S&TB Colorado operations to anticipate and mitigate regulatory risks.
• Provide subject matter expertise and counsel on current and proposed federal, state and local environmental and operational regulations; includes analyzing proposed regulations, assessing complex regulatory applicability scenarios, evaluating potential business impacts, and advising on advocacy and compliance pathways.
• Partner with Operations, HSE, Corporate Affairs, Land, Legal, Engineering and Project Teams to facilitate development of regulatory alternatives and strategies and ensure business stakeholders are kept informed of relevant regulatory/policy developments.
• Maintain strong relationships with government agencies and community stakeholders.
• Represent the company on industry trade associations to shape consistent, practical regulatory policies and advance company positions.
• Support Enterprise-level issue management for federal regulatory matters, identifying high priority issues and shaping advocacy strategies.

Senior Environmental Regulatory Advisor

• 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

• Partner with operating unit regulatory teams to help develop and refine strategies for complex medical devices, novel technologies, significant product changes, and market expansion opportunities.
• Provide strategic input on regulatory pathways, intended use, claims, evidence expectations, risk management, and post-market commitments.
• Support regulatory authority interactions by helping frame key questions, review briefing materials, contribute to response strategies, and communicate positions clearly and credibly.
• Advise on software and digital-health regulatory strategy, including software lifecycle expectations, AI-enabled functionality, interoperability, and connected systems.
• Serve as an enterprise advisor to operating unit regulatory teams conducting M&A, integration, or remediation activities by helping identify potential regulatory opportunities, risks, relevant internal process considerations, and applicable cross-portfolio precedent.
• Translate regulatory intelligence regarding evolving global regulations, guidance, policy, and deficiency trends into practical implications for Medtronic business regulatory strategies.
• Identify recurring strategic issues and deficiency trends across operating units to inform training content.
• Synthesize complex technical and regulatory issues into clear recommendations for senior leaders, regulatory teams, and cross-functional partners.

Principal Regulatory Strategy Specialist

• 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

• Provide compliance leadership and counsel on regulatory and compliance requirements related to Fidelity Brokerage Services
• Serve as the central cross-business unit compliance contact for design, governance and oversight for personal card services products
• Oversee the design and development of compliance solutions and controls to mitigate risk to the broker-dealer
• Consult and advise on payment/debit card programs, cash management features, broker-dealer products and services offerings

VP, Compliance – Card Services, Cash Management

• 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

• Serve as Project Lead for the NEPA compliance process and provide analysis of environmental laws, policies, and regulations as they apply to real property acquisition, development, operation, and disposal
• Prepare Categorically Excluded and Environmental Assessment reports, recommendations, and assessments based on project data in compliance with 24 CFR Parts 50 and 58 (HUD, CDBG, HOME, NSP, Disaster Recovery, Public Housing Programs, etc.)
• Provide NEPA project management for multiple and often complex projects
• Responsible for project setup, project delivery, project controls, business development, client satisfaction, and profitability
• Develop plans, schedules, and budgets for conducting these environmental reviews
• Develop communication plans related to NEPA review for project proposals
• Procure supporting studies associated with Environmental Assessments including, but not limited to, Section 106 Historic Preservation, Noise Surveys and Mitigation, Explosive Hazards Assessments, Wetlands Delineation and Mitigation, and Environmental Justice Assessments
• Prepare HUD’s 8 Step Decision Making Process for Developing within a Floodplain or wetland and Modified 8-Step Decision Making Process for existing properties within a Floodplain (24 CFR part 55)
• Write sections for CEQA and NEPA documents, business correspondence, memoranda, proposals, and various other reports
• Develop and manage key client relationships
• Responsible for contacting various government entities to determine project specific submittal requirements to achieve compliance with the Related Federal Laws and Authorities as described under the National Environmental Policy Act (NEPA) of 1969
• Submit project agency requests to various government entities for compliance with the NEPA, including but not limited to, State Historic Preservation Officer, Clean Air Act, Coastal Zone Management, Endangered Species, Sole Source Aquifers, and Farmlands Protection
• Preparation of USDA Rural Development NEPA Environmental Assessments per RD1970-C

NEPA Compliance Specialist

• Report quarterly to the Board of Directors’ Audit and Risk Committee
• Coordinate and manage consumer compliance regulatory examinations
• Serve as the Bank’s Privacy Officer and Regulation O Officer
• Maintain knowledge of local, state, and federal laws and regulations
• Ensure the Bank has an operating framework for compliance risks
• Lead a team responsible for compliance policies and programs
• Collaborate with business partners for new product offerings
• Develop and maintain policies and programs encouraging compliance
• Develop annual department budget

Chief Compliance Officer

• Own day-to-day METRC operations across all active warehouse facilities (NorCal, SoCal, Nevada, New York), including package creation, manifest generation, transfer templates, and driver assignments.
• Reconcile METRC inventory against physical inventory and WMS records on a recurring cadence; investigate and resolve variances, missing packages, untagged product, and transfer discrepancies.
• Resolve METRC errors in real time (rejected transfers, incorrect weights, mis-tagged packages, voided manifests) and coordinate corrections with warehouse and CX teams.
• Maintain clean METRC hierarchies: package tags, item categories, strain entries, lab result associations, and waste/destruction entries.
• Process finalized transfers, receiving, adjustments, and destruction events in METRC within state-mandated timeframes.
• Serve as the in-house METRC subject matter expert and first line of support for warehouse and CX teammates running transactions in the system.
• Apply DCC (CA), CCB (NV), and OCM (NY) distributor regulations to live operational decisions: manifest rules, transfer windows, transportation requirements, labeling, and storage standards.
• Maintain a compliance calendar covering state license renewals, regulatory reporting deadlines, and facility-level obligations; execute renewals and filings on time.
• Track and apply operational changes from state rulemakings as they take effect (bulletins, emergency regulations, guidance documents), translating them into what the warehouse needs to do differently tomorrow.
• Act as the primary operational point of contact for routine state regulator communications at the license/facility level.
• Own the compliance vetting process for incoming brands and retailers: verify active state licenses, collect COAs, review product manifests, and flag non-compliant items before they enter the Nabis network.
• Maintain and enforce Nabis Compliance Form requirements (licenses, W9s, COAs, banking documentation).
• Maintain a live license database for all active partners with automated renewal alerts; proactively chase expiring licenses.
• Verify license status in state systems (DCC license search, CCB portal, OCM portal) and keep partner records synced with state sources of truth.
• Ensure all product labeling, packaging, and COA standards are met prior to order fulfillment in each state.
• Manage COA tracking across all inventory batches; coordinate holds, rejections, and remediation with brands and warehouse teams.
• Coordinate state-mandated compliance testing with third-party labs and ensure results are correctly associated with METRC packages.
• Run recurring audits of inventory records, waste/destruction logs, and transfer logs; identify gaps and drive them to closure.
• Manage Nabis’ response to scheduled and unannounced state inspections across all facilities; serve as the on-site/virtual point of contact when regulators arrive.
• Keep each facility inspection-ready at all times: METRC in sync, records current, labeling correct, storage compliant.
• Document findings from every inspection and drive corrective actions to completion.

Compliance Analyst I

• **Objective** **The **PM Account Compliance Supervisor **is responsible for the quality control of general business operations, increasing client satisfaction, and working productively with Independent Contractors (IC). The Night Supervisor must be able to work independently and with others, in any type of facility including but not limited to; industrial, manufacturing, office, medical, retail, etc. The Night Supervisor must also be able to exercise good judgment in reporting client concerns to management and seeking the involvement of others in order to best meet clients’ needs.**
• Develop and maintain productive, working relationships with Independent Contractors (IC) and In-House labor by communicating client priorities and collaborating on solving problems.
• Review scope of work and ensure quality assurance per account to retain existing business and gain new business.
• Communicate with Facility Services Manager daily for any issues that need immediate attention, including the nightly recap via email or phone message.
• Make recommendations for IC work assignments, manage to client standards and company guidelines and discharge if not meeting service level agreement.
• Manage inspections, customer complaints, customer requests, new client starts, or VIP treatment needing attention.
• Ensure compliance with client policies & procedures, approved cleaning tools and equipment and their proper use.
• Other duties as necessary.

Account Compliance Supervisor

• 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.

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