Compliance

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

Advertising Compliance Analyst

• Support compliance and performance strategy by implementing CMS and carrier aligned initiatives and guiding process improvements that enhance regulatory adherence and operational efficiency
• Monitor compliance trends and analytics by reviewing KPIs, audit results, coaching data, CTM activity, and retention patterns to identify risks and improvement opportunities
• Lead compliance coaching and retraining for agents and leaders while overseeing a team that supports preparation and monitoring and will eventually assist in coaching and remediation activities
• Partner with internal teams on training, scripting, and call-flow alignment to ensure compliance accuracy and consistent application of regulatory requirements across materials and workflows
• Enhance operational and compliance processes by collaborating with cross-functional teams to streamline workflows, reduce inefficiencies, and strengthen adherence to CMS and carrier guidelines
• Provide audit, remediation, and reporting support by reviewing audit and performance trends, developing corrective strategies, and participating in carrier compliance reviews with concise, data-driven insights
• Independently manage all carrier-facing compliance communication by representing the Compliance department during carrier meetings, reviews, and external partnership discussions
• Perform other related duties as assigned to support compliance initiatives and organizational effectiveness

Compliance Improvement Manager

• Review and approve company, product, and producer advertising material for compliance with state and federal advertising laws and regulations.
• Determine whether regulatory filings of advertising are required and coordinate as needed.
• Build and maintain rules in the advertising review system.
• Maintain final copies of advertising and other related documentation.
• Participate in regulatory and corporate audits for advertising compliance.
• Review and analyze current policies and procedures; identify, recommend and implement new and/or enhanced practices.
• Research, analyze and interpret current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to the organization and advise business partners.
• Update and maintain complete and accurate policies, procedures, compliance logs or files.
• Assist team members with research and assigned tasks; provide training to supported teams.
• Perform special projects as assigned.

Senior Compliance Analyst – Advertising Reviewer

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

Trade Compliance Specialist

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

• Develop and coordinate the development of technical materials for internal/external engagement for the VP of RAS
• Coordination and administration of the support needed for the RAS GLT team to be able to deliver on projects
• Proactively manage RAS budgets, ensuring accurate forecasting and reporting of funds
• Design and lead the development of leadership team agendas, manage organizational reviews, and track progress updates on key activities within RAS
• Develop strategies to enhance organizational effectiveness and improve GLT relationships with internal and external partners
• Support talent development metrics, people success teams, and workforce planning
• Identifies and champions improvement opportunities in implementing organizational strategies, and strategic workforce planning processes
• Challenges team to identify opportunities to deliver data driven improvements to current processes

Regulatory Operations Manager – Stewardship

• Establish and lead an enterprise-wide pharmacy compliance and risk management program aligned with organizational objectives and regulatory requirements
• Serve as the senior compliance advisor to executive leadership on pharmacy regulatory matters, compliance risks, and emerging regulatory trends
• Develop and execute a long-term compliance strategy that supports business growth while maintaining regulatory excellence
• Promote a culture of ethics, integrity, accountability, and compliance across the organization
• Ensure compliance with applicable federal and state laws and regulations, including HIPAA, HITECH, Medicare Part D, Medicaid, state pharmacy regulations, and other healthcare regulatory requirements
• Oversee pharmacy licensing, accreditation, certification, and regulatory reporting activities
• Lead responses to regulatory audits, inspections, investigations, complaints, and inquiries from government agencies and pharmacy boards
• Direct enterprise pharmacy compliance risk assessments and develop risk mitigation strategies
• Identify and proactively address areas of regulatory risk, including drug diversion, fraud, waste and abuse, privacy, data security, and operational compliance
• Oversee compliance monitoring, auditing, and reporting programs to assess effectiveness and identify opportunities for improvement
• Partner with clinical, operations, product, technology, and legal teams to embed compliance requirements into business processes and product development
• Advise leadership on regulatory implications associated with strategic initiatives, new products, partnerships, and expansion opportunities
• Lead, mentor, and develop a high-performing compliance organization

VP, Risk and Pharmacy Compliance

• Develop and coordinate the development of technical materials for internal/external engagement for the VP of RAS
• Coordination and administration of the support needed for the RAS GLT team
• Proactively manage RAS budgets, ensuring accurate forecasting and reporting of funds
• Design and lead the development of leadership team agendas
• Develop strategies to enhance organizational effectiveness and improve GLT relationships
• Support talent development metrics and workforce planning
• Coordinate end of year employee calibration effort
• Identifies and champions improvement opportunities in implementing organizational strategies
• Empowers, enables, and develops operations team members to drive vision

Regulatory Operations Management

• Manage the day-to-day technical aspects of the established compliance program
• Administration of the compliance training program
• Supervision of the compliance process review program
• Work closely with employees of each business unit to foster a team approach to managing compliance risk
• Complete risk assessments and serve as a compliance resource on projects during the implementation of new products, processes, and services
• Facilitate, maintain, and enhance a comprehensive, risk-based compliance training program
• Manage the Bank’s engagements of third party compliance consultants and auditors
• Provide oversight of engagement results
• Plan and conduct compliance reviews within established timeframes
• Prepare working papers and detailed reporting of findings and recommendations
• Ensure corrective action is taken
• Submit monthly compliance department updates
• Provide technical expertise in analysis of corporate compliance risk
• Monitor new and pending changes to laws, regulations, and regulatory guidance documents

Compliance Officer III

• Implement and maintain Compliance programs in accordance with the Office of Inspector General's work plan.
• Educate providers regarding compliance with government regulations.
• Assist in performing analysis of current situations and recommend priorities and goals for future clinic needs.
• Identify coding and billings risk areas, conduct focused reviews, and implement corrective action as needed.
• Conduct routine internal audits of provider documentation on a timely basis.
• Collaborate with physicians and internal staff in development of improved capabilities in the areas of documentation, coding, and compliance.
• Review internal controls, policies, and procedures to ensure compliance with appropriate guidelines.
• Communicate with Medicare/Medicaid Carriers and third party payers regarding policies and procedures.
• Promote Compliance initiatives with clinical faculty and administration.

Compliance Specialist – Inpatient

• 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 jobs in Iowa

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Advertising Compliance Analyst

Compliance Improvement Manager

Senior Compliance Analyst – Advertising Reviewer

Trade Compliance Specialist

Advertising Compliance Analyst

Regulatory Operations Manager – Stewardship

VP, Risk and Pharmacy Compliance

Regulatory Operations Management

Compliance Officer III

Compliance Specialist – Inpatient

Risk & Compliance Director

Carrier Compliance Specialist

Lead Compliance Officer – PAD

Compliance Analyst I