Compliance

• Oversee the development, implementation, and governance of risk management and compliance programs across the organization
• Lead annual Enterprise Risk Assessment program, determining risk treatment and mitigation initiatives
• Implement and maintain compliance program encompassing all JLL and client policies, procedures, and Code of Ethics
• Review Master Service Agreement (MSA), conduct gap analysis, and lead MSA change control process
• Manage internal audit program and coordinate external audit activities
• Oversee incident management process and establish risk forums and governance meetings

Risk & Compliance Director

• 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

• Report to the Global Head of Personal Account Dealing and collaborate across PAD and ECO functions.
• Maintain an accurate PAD subject population and related coverage by overseeing the attributes and logic that support PAD controls and system outcomes, including annual attestation and trade restriction controls.
• Lead enhancements to PAD applications and processes, including annual attestation, PAD onboarding, and post-trade review, by partnering with Technology and stakeholders to turn control needs into clear requirements and sustainable solutions.
• Lead the annual attestation process for PAD-covered employees, including communications, tracking, and risk-based escalation.
• Support quarterly WFC Trade Freeze population verification and employee notification activities to help ensure restrictions are applied correctly and controls remain effective.
• Serve as a Managerial Oversight Activity delegate for key PAD processes, with responsibility for appropriate governance, controls, and issue management.
• Communicate complex and sensitive compliance matters with professionalism, sound judgment, and tact, including direct engagement with senior executives and Operating Committee members.
• Provide coaching and support to PAD Team peers to ensure consistency and knowledge sharing.
• Develop and maintain internal documentation, including emails, FAQs, training materials, and guidance, to support clear, consistent, and professional communication.
• Collaborate with peers, managers, and business partners to resolve issues and achieve business objectives.
• Identify and recommend opportunities to strengthen processes and enhance risk controls.
• Exercise independent judgment while developing expertise in function-specific policies and compliance requirements.
• Maintain strong partnerships with line-of-business Compliance, Front Line, Legal, and Control teams.

Lead Compliance Officer – PAD

• 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

• Manages a team responsible for accurate and timely reporting to regulatory authorities and reporting bureaus.
• Leads the analysis of regulatory texts, official guidance documents, regulatory updates, and industry publications to understand the nuances of reporting requirements.
• Maintains a deep understanding of the regulations and reporting requirements impacting assigned lines of business.
• Collaborates closely with Compliance, legal counsel, and regulatory affairs teams to ensure a comprehensive understanding of regulatory requirements.
• Oversees risk assessments and impact analyses to evaluate the potential effects of regulatory changes on reporting processes, systems, controls, and business operations.
• Identifies gaps and implements mitigating measures to effectively address regulatory compliance challenges.
• Manages the creation of detailed documentation of regulatory interpretations, reporting methodologies, data sources, and compliance activities for audit purposes and regulatory examinations.
• Communicates with states and reporting bureaus as required to manage expectations, answer questions, and ensure compliance with requirements.
• Manages and triages incoming requests according to requirements, priority, and due dates; assigns work to team members and monitors team deliverables to ensure timely and accurate completion.
• Works cross-functionally with various departments including Claims, Underwriting, Finance, and Information Technology to identify, acquire, and report information.
• Utilizes analytical capabilities to conduct root cause analysis and to investigate compliance issues, identify systemic weaknesses, and implement corrective actions to ensure accurate and timely reporting.
• Serves as an escalation point for issues impeding team progress and acts as liaison across departments to manage work dependencies.
• Evaluates team workflows for efficiency and effectiveness, creates process documentation and workflow maps, identifies bottlenecks, and implements process improvements to enhance productivity and quality.
• Develops team metrics and KPIs to monitor ongoing performance, inform decision making, and communicate priorities to team members and stakeholders.
• Builds culture and develops team members while overseeing regulatory and bureau reporting functions.
• Develops training materials, conducts workshops, and organizes knowledge-sharing sessions to facilitate continuous learning and skills development.
• Collaborates with team members to establish performance goals and monitors status, conducts performance reviews, and provides coaching.
• Interviews, hires, and recommends salary adjustments for team members.
• Resolves disciplinary issues, reviews results, action plans, and progress.
• Develops team expertise and completes succession planning, including identifying talent and implementing development plans for critical positions.
• Supports diversity, equity, and inclusion initiatives.
• Fosters an innovative culture, including supporting new ideas and providing guidance on potential changes.
• Leads selection, onboarding, and ongoing management activities for vendor solutions handling data and report submissions to bureaus or states.
• Researches and evaluates potential vendors, conducts due diligence including formal assessments, prepares business cases, and negotiates contracts.
• Collaborates with vendors to integrate the company’s systems and processes, providing oversight of data mapping, issue resolution, and deliverable acceptance.
• Oversees periodic reviews and audits of vendor solutions to ensure the accuracy and integrity of data submissions.
• Manages vendor contracts including renewal negotiations, amendments, and terminations as needed.
• Manages the development and maintenance of internal and external data extraction, transformation, and load routines from diverse sources into target systems and files.
• Oversees the creation of data cleansing routines to ensure data quality and consistency across different sources.
• Manages the creation of reusable business rules, validation checks, and error handling mechanisms necessary for reporting purposes.
• Evaluates and leverages different data extraction tools such as SQL, VBA, Denodo, and Excel to prepare and deliver data; manages diverse data sources, integrates data, and oversees data reporting processes.
• Oversees the creation of data maps and specifications for internal and external stakeholders in support of regulatory requirements.
• Identifies opportunities to optimize data integration routines, SQL queries, and data processing workflows to improve performance and efficiency.
• Oversees data quality standards with each industry bureau to ensure EMC receives the correct reporting credits for accuracy and timeliness of reporting.
• Oversees and manages the performance of the team through Agile ceremonies and traditional project management methodologies to coordinate team projects effectively, foster collaboration, and ensure project objectives are met within scope, budget, and timeline.
• Liaises with Digital Product Management teams as necessary to integrate regulatory reporting requirements into product backlogs.
• Manages cross-functional team dependencies, risks and issues, and prioritization processes to ensure team deliverables are met.
• Collaborates with the Statistical Data Management Product Owner to inform and manage scope and priorities.
• Establishes regular communication channels with stakeholders to provide project updates, solicit feedback, and address concerns or issues in a timely manner.
• Directs the creation and maintenance of documentation in OneSumX and Jira as required.

Statistical Compliance Manager

• Coordinate environmental compliance and remediation for operating segments
• Lead internal audits of facilities and manage field inspections
• Develop tools and templates to manage environmental compliance information
• Represent the company in regulatory issues and agency inspections

Environmental Professional III – Field Compliance

• Ensure Door Group facilities producing hollow metal doors and frames maintain compliance with applicable industry standards, certifications, and codes
• Manage and maintain UL and Intertek certifications, with a primary focus on fire-rated and windstorm-certified products
• Serve as the primary liaison between certification agencies and internal quality, engineering, and operations teams
• Monitor, manage, and maintain UL and Intertek certifications across multiple facilities and brands
• Serve as the primary point of contact with UL and Intertek, including initiating and managing listing updates for new or enhanced product offerings
• Request, track, and document certification listing changes and approvals
• Identify and lead certification consolidation opportunities to simplify listing management and expand product capabilities
• Ensure facilities maintain valid markings, labels, and production documentation in accordance with applicable standards
• Prepare facilities for third-party certification inspections by ensuring documentation, quality records, and samples are inspection-ready
• Conduct internal audits and facility reviews to identify non-conformances and partner with operations teams to implement corrective actions
• Develop, maintain, and update internal compliance procedures supporting certification requirements
• Track and resolve non-conformances, product deviations, and corrective action reports related to certification standards
• Act as the internal subject matter expert for fire-rated and windstorm product compliance
• Provide training and guidance to operations, engineering, quality, and product management teams on certification requirements
• Support product development teams in assessing certification impacts for new or modified designs
• Actively contribute to a safe, collaborative, and compliant working environment
• Ensure compliance with federal, state, local, and corporate governance requirements, AADG policies, and the ASSA ABLOY Code of Conduct

Compliance Specialist

• Interface with the Defense Contract Audit Agency (DCAA) and Defense Contract Management Agency (DCMA) on business systems compliance topics
• Serve as audit focal point with process owners and oversight agencies in support of business system and other related audits
• Maintain government business system control framework that documents the policies, procedures and controls used by the company to ensure compliance with DFARS business system requirements
• Assess and communicate compliance risks and partner with process owners to mitigate

Manager, Government Controls, Compliance

• Ensure Door Group facilities producing hollow metal doors and frames maintain compliance with applicable industry standards, certifications, and codes
• Manage and maintain UL and Intertek certifications, focusing on fire-rated and windstorm-certified products
• Serve as the primary liaison between certification agencies and internal quality, engineering, and operations teams
• Monitor, manage, and maintain UL and Intertek certifications across multiple facilities and brands
• Serve as the primary point of contact with UL and Intertek, including initiating and managing listing updates for new or enhanced product offerings
• Request, track, and document certification listing changes and approvals
• Identify and lead certification consolidation opportunities to simplify listing management and expand product capabilities
• Ensure facilities maintain valid markings, labels, and production documentation in accordance with applicable standards
• Prepare facilities for third-party certification inspections
• Conduct internal audits and facility reviews to identify non-conformances
• Develop, maintain, and update internal compliance procedures supporting certification requirements
• Track and resolve non-conformances, product deviations, and corrective action reports related to certification standards
• Act as the internal subject matter expert for fire-rated and windstorm product compliance
• Provide training and guidance to operations, engineering, quality, and product management teams

Compliance Engineer

• Monitor all project activities to ensure compliance with ARC funding requirements, federal guidelines, and contractual obligations
• Maintain organized, audit-ready documentation including deliverables, financial records, and supporting materials
• Support preparation and submission of required progress reports, compliance documentation, and final project reports
• Prepare project records for audit reviews and support responses to compliance inquiries from funders or auditors
• Ensure project processes align with federal, state, and institutional compliance requirements; recommend improvements where needed
• Work with project team members to ensure compliance requirements are understood, implemented, and documented across all workstreams
• Identify compliance risks and support development of mitigation strategies to reduce exposure and ensure project integrity

Grant Compliance Specialist

• Responsible for leading and managing the most complex, sensitive, and high-impact internal investigations across the organization
• Serves as a strategic advisor and subject matter expert on investigative best practices, regulatory compliance, and risk mitigation
• Consults with management, in-house counsel, and/or the Director of Corporate Compliance as needed to resolve difficult, highly sensitive or complex compliance issues
• Independently evaluates and assesses allegations to determine whether domestic laws, regulatory policies, or internal policies, procedures, and standards have been violated
• Plans, scopes, and conducts complex, confidential internal investigations from inception to conclusion
• Conducts, manages, and documents interviews with witnesses, as required for investigatory purposes
• Reviews investigation reports prepared by junior investigators
• Identifies risks, interprets investigation results, and recommends and communicates remedial actions to mitigate future potential risks
• Performs follow up to ensure remedial / disciplinary measures are implemented appropriately and timely
• Maintains meticulous case files and chronologies in accordance with best practices
• Prepares clear and concise draft investigation plans and reports
• Provides support and guidance to junior investigation staff as applicable
• Communicates directly with Federal or State regulators
• Supports the development and maintenance of Corporate Compliance policies and procedures and workflows

Corporate Ethics and Compliance Investigator

• The Senior GRC Analyst acts as a strategic lead to advance security and risk operations
• Integrate people, policy, and technology to drive operational excellence and framework maturity
• Identify security gaps, implement best practices, and mature the control environment to ensure we stay ahead of evolving regulatory and threat landscapes
• Build an AI-first compliance function
• Lead from the front in identifying and deploying AI tools that scale the GRC program

Senior GRC Analyst

• Contribute to development and execution of enterprise-wide RM initiatives.
• Partner with, and provide guidance to, internal stakeholders to ensure RM policies, retention schedules, and compliance standards are followed.
• Create and maintain summaries, policies, logs and procedural documentation related to regulatory and RM requirements for the enterprise.
• Analyze processes, services, and products to ensure ongoing compliance and continuous improvement.
• Support and communicate with business partners in managing offsite records inventory and applying RM policies and procedures.
• Assist Records Manager with researching, analyzing, and interpreting regulatory requirements to assess organizational impact and recommend actions.
• Maintain and enhance internal RM website to deliver an efficient, user ‑ friendly experience.
• Compile and analyze information and reports for management.
• Assist in auditing business areas for RM compliance.
• Participate in and lead RM projects (e.g., legacy database disposition, annual disposition events, office moves).
• Assist with managing RM vendor partnerships with a focus on improving efficiency and cost effectiveness.
• Administer and oversee records management software, provide onboarding and training for users as needed.
• Participate in RM meetings, record and distribute minutes.

Senior Compliance Analyst – Records Management

• Direct the day-to-day operations of the insurance compliance department’s Testing and Monitoring Team
• Perform annual risk assessments and direct all insurance compliance testing programs
• Complete the annual insurance compliance risk assessment against applicable state insurance laws and regulations
• Develop and execute the annual compliance testing plan
• Oversee testing and monitoring to confirm ongoing compliance with state insurance laws and regulations
• Partner with key stakeholders to remediate gaps identified through testing
• Assign and manage projects for technical and administrative staff
• Review testing workpapers and reports for quality, completeness, and adherence to standards
• Develop analytical abilities of technical staff to enable them to achieve degree of expertise
• Establish departmental policies and procedures
• Prepare reports on operation of department
• Work closely with legal and compliance SMEs to ensure in depth knowledge of regulatory expectations
• Represent the company at various industry related meetings

Manager, Compliance – Insurance Compliance Testing & Monitoring

• Conduct compliance activities in support of Transamerica’s life, annuity, supplemental health, voluntary benefits and LTCI (closed block) products.
• Identify and communicate compliance requirements related to Transamerica’s insurance products and services and represent Compliance at meetings with senior members of the business.
• Provide oversight, leadership, and strategic direction to meet regulatory obligations, mitigate compliance risk, and foster a culture of ethics and accountability.
• Work with the Head of Insurance Compliance on the design and implementation of the insurance compliance program, and in creating management reporting that communicates the insurance compliance program in a clear, concise and structured manner.
• Lead insurance compliance teams handling regulatory change management, state reporting, compliance testing, exam management, or resolution of operational compliance issues.
• Drive and oversee continuous improvement of team performance by tracking KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.
• Ensure the company complies with applicable federal, state, and local insurance laws and regulations, including those enforced by state departments of insurance, and other regulatory bodies.
• Lead the annual compliance risk assessment process and oversee and evaluate compliance monitoring and testing activities performed by the Insurance Compliance Department and first line functions.
• Create and maintain strong business and legal relationships, build trust, and cultivate collaboration and represent the company on industry committees regarding various regulatory issues.
• Identify, escalate and consult on problems and issues across the insurance company and develop strategic solutions to address the business and/or regulatory needs.
• Monitor and provide visibility into new and emerging regulatory changes identified and communicated by the Insurance Compliance Department.
• Develop, maintain, and update Compliance policies and procedures.

Senior Director, Insurance Compliance

• Manages the day to day operations of the Fraud and Special Investigations Unit by supervising investigators, assigning and monitoring casework, providing coaching and feedback, and reviewing investigations to ensure timely completion, quality, and adherence to established policies and documentation standards.
• Leads and independently manages SIU responses to regulatory exams, audits, and program-level information requests, including coordinating timelines, reviewing investigative materials, preparing and submitting responses, and engaging with compliance, legal, and senior leadership as appropriate.
• Ensures investigations comply with applicable state insurance fraud statutes, SIU requirements, and internal compliance standards.
• Implements and adheres to established fraud and SIU policies, procedures, and investigative frameworks.
• Provides feedback and recommendations to leadership on opportunities for process improvement, efficiency, or training.
• Leads, mentors, and develops team members, fostering accountability and continuous improvement within the unit.
• Supports the improvement of team performance by tracking key performance indicators, identifying trends, and assisting with the implementation of process or workflow enhancements.
• Responsible for the effective use and continuous enhancement of compliance surveillance tools, investigative systems, and SIU resources, collaborating with Compliance, Technology, and business stakeholders to strengthen risk identification, investigative effectiveness, and operational efficiency.
• Contributes to cross-functional initiatives and projects by providing operational and subject-matter expertise, representing the department in working meetings, and supporting implementation efforts under the direction of senior leadership.

Manager Compliance – Fraud, SIU

• Lead the development and execution of a strategy to modernize fraud and agent oversight programs using emerging technologies and AI, while building high performing teams and driving operational efficiencies aligned with organizational objectives, risk tolerance, and applicable regulatory and compliance requirements.
• Lead the development of a forward-looking technology, AI, data and analytics roadmap that strengthens the fraud and agent oversight compliance programs scalability and effectiveness.
• Drive and oversee continuous improvement of team performance by tracking KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.
• Build and sustain a culture of integrity and continuous improvement across high-performing teams
• Collaborate across the Compliance department and lead integration of other functional areas to build support for work plans and initiatives.
• Stay current on compliance trends by researching industry publications and literature, benchmarking, consulting with industry counterparts, and attending industry conferences and continuing education programs.
• Direct and assign projects; provide guidance to senior managers, managers and other Compliance staff to improve the efficiency of the department and of company Compliance procedures.
• Develop and/or manage department budgets for Compliance operations.
• Manage highly complex Compliance matters with minimal supervision.
• Develop, maintain , and update Compliance policies and procedures for multiple functions and/or locations.
• Recommend corrective action or revisions to policies and procedures as appropriate based upon findings from internal audits, Compliance reviews, regulatory examinations, investigations and/or industry trends.
• Work with multiple functions, units, or locations of the business to develop cost effective and common solutions to achieve regulatory compliance on an enterprise-wide basis.
• Represent the company on industry committees regarding various regulatory issues.
• Assist in evaluating overall Compliance risk factors.
• Assist the compliance department with regulatory examinations, corporate audits, and internal audits.

Senior Director, Compliance – Fraud & Agent Oversight

• Review service events for compliance with ABC, court, and customer requirements
• Provide education and instruction to process servers regarding service requirements
• Investigate service complaints
• Create service complaint investigation reports
• Update and analyze process server review records
• Perform DCA required audits of process server logbooks
• Audit process server service event histories
• Perform other job-related duties as assigned

• Manage and implement strategies to ensure successful maintenance and implementation of compliance programs that meet regulatory requirements for assigned products across the entire company
• Manage an end-to-end policy life cycle and governance processes
• Maintain clear policy standards, templates, and guidance to support consistent, high quality policy writing across the organization
• Support responses to audits, regulatory inquiries, and internal reviews related to company policies and procedures
• Investigate issues and mitigate any potential violations including: gathering information and recommending a course of action, preparing reports by researching, analyzing and summarizing information
• Develop, implement and maintain production and quality standards for the compliance program
• Perform periodic audits, risk assessments and conduct related ongoing compliance monitoring activities
• Evaluate and implement changes to service functions and performance in relation to company mission, philosophy objectives and policies
• Plan, direct and coordinate the implementation of policy decisions and ensure compliance with the company’s strategic plan, establish the department’s strategic vision, objectives and attendant policies and procedures for the organization
• Research and incorporate best practices into operations and ensure that department functions are coordinated with other operating departments

Manager, Compliance Policy Oversight

• Develop and apply Corporate Trust knowledge to each initial account review to ensure the account is properly set up and functioning per the governing documents
• Use Excel, UMB systems, and industry systems to review documents, manage accounts, and monitor activities
• Partner with internal teams including the Relationship Management team to prepare summaries and reports, and make recommendations on changes to policies and procedures.

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