Compliance

• 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

Senior Governance, Risk, & Compliance (GRC) Analyst

• Collaborate, build relationships and communicate requirements across the organization
• Identify and work with others within the organization to improve reporting data
• Collaborate with Regulatory Reporting colleagues to ensure efficient and effective reporting
• Ensure the maintenance of procedural documentation for the regulatory reporting process
• 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 is consistent

Regulatory Reporting Data – Automation Manager

• 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

• Assist in the development, implementation, and monitoring of compliance programs
• Coordinate and support internal audits and risk assessments
• Monitor progress in closing procedural gaps and corrective actions
• Develop and maintain documentation for compliance protocols and workflows
• Collaborate with teams to manage compliance training and reporting
• Facilitate training sessions to promote a culture of compliance
• Support process improvement initiatives for better service delivery and client satisfaction

Manager, Revenue Cycle Managed Services Compliance

• Lead new and modified product development projects to establish and integrate regulatory strategy into project activities.
• Lead the preparation, submission, and maintenance of global product registrations with a focus on 510(k), EU Technical Documents, and International STEDs.
• Collaborate with internal Cardinal Health international regulatory departments to assess international registration requirements, develop international regulatory strategy, and ensure timely execution.
• Review design control documents including documents associated with design inputs and design outputs.
• Review product labeling for compliance with global labeling regulations.
• Interpret and evaluate proposed regulations for medical devices and advise on impact of such regulations to the business.
• Maintain regulatory intelligence through continuous monitoring of regulatory landscape; identify risks, mitigation, and resolution strategies.
• Maintain and provide regulatory information in support of customer queries, bid and tender submissions, customs queries, etc.
• Development and implementation of regulatory procedures and SOPs.

Principal Regulatory Affairs Specialist

• Build, own, and operate AAM’s compliance program for a modern, fast-growing advisory business.
• Serve as the primary point of contact for regulators and internal stakeholders.
• Establish a robust, right-sized program aligned to the Advisers Act and industry best practices.
• Design, implement, and maintain AAM’s Advisers Act compliance program (Rule 206(4)-7), including risk assessment, policies and procedures, compliance calendar, testing/surveillance, issues management, and the annual review with written reporting to leadership.
• Maintain a comprehensive conflicts of interest inventory and compliance risk register.
• Run or participate in compliance and risk committee meetings; deliver regular compliance reporting/metrics to AAM and Apex leadership.
• Own and maintain regulatory filings: Form ADV Parts 1 and 2A/2B, Form CRS, state notice filings, IARD/CRD maintenance, and investment adviser representative registrations/updates.
• Manage other applicable securities filings and notifications as required by AAM’s activities.
• Serve as the lead for SEC and state examinations and inquiries: readiness, document production, interview prep, responses, and remediation.
• Oversee compliance with the SEC Marketing Rule (Rule 206(4)-1).

Senior Manager, Compliance

• Define and evolve the Risk & Compliance vision, operating model, and application certification strategy for Assurance Digital
• Own the overall design, effectiveness, and continuous improvement of the central certification program
• Drive governance, escalation, and resolution of significant risks
• Serve as a trusted advisor to senior IT, product, engineering, and assurance leaders
• Build, mentor, and scale the Digital Risk & Compliance organization

Director, Assurance Digital – Risk & Compliance

• The Senior Compliance Officer – Home Lending Originations serves as the corporate compliance subject matter expert.
• Partner with other members of the second line of defense and the Home Lending line of business to identify risks.
• Develop and execute assessments, provide guidance on control and testing design and execution.
• Advise on and monitor findings and associated remediation activities.
• Participate in assigned business initiatives (i.e., new product development).
• Provide regulatory guidance and advice to Home Lending partners regarding updates and amendments to state and federal mortgage origination laws.
• Lead a strong and effective collaborative culture, responsible for partnering with various risk disciplines.
• Assist in the development and maintenance of effective compliance policies, procedures and processes.
• Address regulatory actions and other issue remediation efforts, following up and monitoring until satisfactory resolution is obtained.
• Identify, respond to and/or escalate risks as appropriate.

Senior Compliance Officer – Home Lending Originations

• Conduct research and deliver strategic advice for risk management leaders
• Develop understanding of client requirements for successful risk management
• Conduct primary research on risk management capabilities
• Define the future of risk management
• Collaborate with research teams to develop comprehensive research portfolio
• Write and create multiple research projects annually
• Consult with clients to apply Forrester’s research
• Build industry presence as a speaker and thinker

Senior Analyst, Cyber Risk Quantification – GRC

• Responsible for on-time filing of high-quality regulatory submissions
• Preparation and review of ANDAs, NDAs, annual reports, periodic adverse events reports, supplements, amendments
• Reviews and manages regulatory submissions to FDA from international partners and CMOs
• Review and approve CMC and Labeling change controls
• Familiar with FDA requirements and ICH
• Adhere to submission timelines
• Administration and management of assigned products
• Serve as the primary regulatory interface with US FDA manufacturing partners and internal teams
• Support Biosimilar BLA/PAS/CBE submissions

Senior Associate, Regulatory Affairs – CMC

• 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

• Developing and leading global regulatory strategies to support business objectives
• Leading and assisting with submissions and correspondence with global regulatory authorities, including 510(k), PMA, De Novo authorizations, IDE, MDR CE marking, UKCA marking, etc.
• Establishing processes for efficiently addressing the requirements of multiple regulatory frameworks at scale
• Developing and executing premarket and postmarket regulatory project plans and strategies, including assessments of change controls
• Working closely with cross-departmental subject matter experts to guide the creation of documentation needed for regulatory applications and internal records
• Work closely with business leadership to ensure regulatory strategy aligns with commercial goals
• Making regular reports to our executive team, operationalizing leadership direction quickly and efficiently

Manager, Regulatory Submissions

• Collaborate with the Trade, Legal and Compliance teams to provide strategic and operational support for global trade and risk management at Caterpillar
• Proactively monitor, manage and mitigate risks through internal and external engagement with stakeholders and partners and assist with development and implementation of compliance strategies and goals in line with company's business objectives
• Analyze trade and compliance data to identify trends, risks, and opportunities, including for data analytics and data science initiatives that support informed decision-making and stronger compliance outcomes
• Design, implement, and refine processes and procedures to improve efficiency, scalability, and consistency and support cross-functional strategic projects with business partners across the organization to accelerate trade and compliance initiatives
• Effectively communicate insights, progress, and recommendations across the organization as needed, including to senior leadership

Senior Strategy Manager – Trade Compliance

• Reviews marketing materials for compliance with applicable rules and laws
• Serves as a senior member of the Marketing Compliance team
• Monitors and reviews procedures and practices of partners
• Advises business partners on Compliance programs and applicable laws
• Responds to internal and external inquiries and requests for information
• Assists in the development of Compliance programs
• Identifies and documents Compliance risks
• Researches and develops analytical reports and solutions
• Participates in training partners and delivering communications
• Coordinates and/or performs activities related to designated Compliance initiatives

Compliance Review 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

• Perform technology compliance and risk assessments across IT and cloud environments
• Evaluate control design aligned with regulatory requirements
• Assess cybersecurity and information security programs and governance
• Support AI and emerging technology risk assessments
• Work across 1st and 2nd lines of defense
• Develop an understanding of the industry leading frameworks and methodologies for NIST, PCI, HIPAA, SOC2, Sarbanes-Oxley, COBIT.

Senior Associate, Technology Compliance and Emerging Risk Consulting

• Reporting to the Director, Corporate Compliance, the Regulatory Compliance Analyst 4 will assist with the coordination and integration of Corporate Compliance activities to meet all relevant requirements
• Coordinate, track and report on key Compliance Program activities as outlined in the U.S. Federal Sentencing Guidelines for business organizations
• Help coordinate day-to-day activities of the Corporate Compliance team, including ethical culture promotion, providing guidance and education on WEX’s Code of Business Conduct and Ethics, conflict of interest management
• Advise, coach, and educate employees at all levels on a wide range of ethics and business conduct questions and issues, including complex and highly confidential and/or sensitive matters
• Maintain and promote the use of WEX’s global confidential Integrity HelpLine and other related channels, through which employees and others may report or seek guidance regarding actual or suspected violations of WEX’s Code of Business Conduct and Ethics, other company policies, or the law
• Develop, implement and monitor processes, roles and responsibilities for testing and auditing the efficacy of certain program policies, procedures and controls.
• Review and update Corporate Compliance and related Enterprise Risk Management (ERM) assessments to ensure they reflect the organization’s highest compliance-related risks
• Work closely with other centrally and locally managed Legal, HR, Risk, Communications, and other functions.

Regulatory Compliance Analyst 4

• 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

• 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.

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