Compliance

• Ensure insurance compliance obligations are met under loan documents and investor requirements
• Provide strategic leadership of the insurance function and oversee operations
• Drive performance against key metrics and maintain an efficient operating model
• Lead the integration of technology solutions into insurance compliance processes
• Partner across functions to align systems and workflows with business needs
• Monitor operational reports and key metrics to ensure proactive management
• Maintain deep knowledge of lender insurance requirements
• Support audit readiness by coordinating data collection for audits

Director, Insurance Operations – Compliance

• Ensure compliance with insurance obligations under loan documents
• Oversee insurance risk management across the portfolio
• Lead and develop a team of Managers, Associates, and Analysts
• Establish and execute strategic process improvement initiatives
• Assess and design team structure and resource allocation
• Establish and enforce departmental policies and procedures
• Drive adoption and integration of technology solutions
• Maintain structured learning environment through training programs
• Implement quality control processes
• Support audit readiness by coordinating data collection
• Monitor operational reports and key metrics

• Monitor, evaluate, and enhance the quality and compliance of operational processes within assigned business lines
• Conduct quality reviews, identifying risks, and supporting continuous improvement efforts
• Perform quality control reviews and evaluations to ensure work meets established standards for accuracy, timeliness, and productivity
• Monitor key risk indicators (KRIs) and identify trends, control gaps, and potential compliance risks
• Document findings, quality issues, and performance results, providing clear insights for management review and decision-making
• Conduct root cause analysis on errors or defects, recommending corrective actions and process improvements
• Partner with business line teams to resolve compliance-related issues and support remediation efforts
• Assist in the development, update, and implementation of policies, procedures, and quality standards
• Support training and coaching efforts by providing feedback based on quality review observations
• Respond to audits and support regulatory readiness activities by ensuring proper documentation and process adherence
• Prepare and maintain reports on quality metrics, compliance trends, and operational performance

BL Regulatory Review Representative

• 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

• Support and execute the company’s import trade compliance program.
• Determine product classifications, country of origin, and tariff applicability.
• Oversee entry review, audit support, and regulatory compliance.
• Validate import transactions, monitor compliance data, and identify improvement opportunities.
• Work closely with Customs Brokers, internal business partners, and Trade Compliance leadership.
• Manage trade programs, post-entry activity, reporting, and data integrity.

Trade Compliance Analyst

• 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

• 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

• 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

• Participate in activities associated with Polsinelli’s information and data governance programs.
• Perform reviews of Outside Counsel Guidelines to ensure that the Firm meets or exceeds client security requirements and completes the appropriate forms documenting the review.
• Complete client security questionnaires in a timely manner.
• Support the execution of a multi-year roadmap to enhance Polsinelli’s data governance capabilities.
• Conduct analysis and advise on information governance topics related to legal and regulatory compliance.
• Monitor compliance with data governance policies and standards and assess potential risks associated with data handling.
• Collaborate and drive security initiatives, working with people across multiple teams.
• Enable the business and other stakeholders to make risk-aware decisions by advising business units and technology leaders of the information security risks and proposing acceptable risk treatment options and alternatives.
• Support the information security and data governance program efforts through the collection of performance indicators, metrics, and other evidence and communicating relevant, succinct, and actionable recommendations to leadership.
• Proactively maintain a current and working understanding of information and data governance best practices, the practical application of data security governance concepts, relevant information security and technology regulations and industry trends.
• Maintain a current and working understanding of relevant information governance and regulations and industry trends, and assist in the development of Polsinelli Data Governance, Information Security and Privacy Policies and the practical application of the Policies.
• Manage multiple simultaneous workstreams supporting disparate stakeholders, providing appropriate and timely communication of issues, concerns, risks, and status.
• Employees approved for flexible work arrangements are expected to be available and maintain a practice of reliable, consistent attendance always during the employees scheduled work shift including, but not limited to, Zoom, email and voicemail, and by phone.
• Installation of Zoom on a cell phone is a requirement for the Information Security team.

Governance Risk and Compliance Analyst

• 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

• 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

Compliance Specialist

• 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.

Compliance Specialist I/II – Corp Trust

• Assist in the development, implementation, and maintenance of AML compliance programs, policies, and procedures.
• Perform periodic reviews of existing AML controls and processes to identify areas for improvement and ensure ongoing effectiveness.
• Participate in internal and external audits and examinations, providing requested documentation and explanations.
• Collaborate with various internal departments (e.g., Legal, Operations, Risk) to address compliance-related matters.
• Provide training and guidance to employees on AML policies and procedures as required.
• Contribute to special projects and initiatives aimed at enhancing the company's compliance framework.

Regulatory Compliance Analyst

• Monitors and keeps abreast of federal transmission regulatory policy and electric utility legislative initiatives.
• Researches, analyzes and interprets regulatory filings; reviews industry publications and attends pertinent electric industry conferences.
• Serves as a company advocate on transmission policy for development opportunities by working with internal stakeholders to identify potential impacts and develop appropriate responses further the company's strategic goals.
• Serves as a liaison with regulatory authorities; meets with regulators, legislators, stakeholders and customers, industry/trade associations, consumer groups, and other utility professionals; participates in external electric industry/trade associations and formal/informal coalitions as required.
• Represents the company by participating in Regional Transmission Organization (RTO) committees and task forces to protect and further enhance the company's development interests.
• Participates in internal strategy meetings to formulate the company's strategic goals.
• Participates in and represents the company in regulatory proceedings, as appropriate.
• Researches, analyzes, interprets and reports data on regulatory and legislative matters; provides timely and accurate information and analysis to management on regulatory and legislative matters that may impact the company.
• Provides company representation in tariff, rates/pricing/revenue distribution, financial and/or policy negotiations.

Manager, Regulatory Strategy

• Supports the execution and day-to-day administration of Centene’s Ethics & Compliance Program
• Provides highly organized operational, communication, documentation, and coordination support across governance operations
• Tracking timelines, deliverables, dependencies, and escalating risks or issues
• Draft, organize, and distribute clear, accurate, and timely Compliance communications, meeting materials, and program documentation
• Maintain organized, accurate Compliance documentation, templates, trackers, and repositories
• Build, maintain, and organize Compliance SharePoint sites, libraries, and content

Compliance Analyst – Compliance Program Administration

• Assisting partners and members with business inception processes
• Reviewing Intapp Open request forms and analyzing client/matter risks
• Conducting conflicts checks and analyzing conflict search results
• Proactively following up for conflict resolutions
• Supporting high volume business on matter inception
• Researching and identifying new clients for anti-money laundering
• Assisting in ongoing monitoring for existing clients
• Escalating risks to MLRO's and Risk Partners

Conflicts & Compliance Analyst

• Complete and update first line of defense matrices, including documenting oversight activities and processes, identifying owners and documenting gaps
• Identify gaps in oversight, develop, document and oversee remediation
• Perform and document quality assurance testing for critical policies and procedures identified in the matrices
• Produce procedures for all quality assurance tests
• Develop quality assurance procedures to insure systems are working as intended as new products or systems are rolled out
• Work closely with Corporate Compliance, Consumer Operations, the Bank Product Group and Corporate Audit Services
• Cross-train on functions performed by the Consumer Banking- Compliance & Oversight department
• Other duties as assigned

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Director, Insurance Operations – Compliance

Director, Insurance Operations – Compliance

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Compliance Specialist

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