Compliance

• 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

• Act as the primary contact for all Nondiscrimination Testing (NDT) and Form 5500 related services
• Engage and establish a relationship with Plan Sponsors
• Provide education and consultation for NDT, Form 5500, PYES, and other special testing services
• Handle plan year end summary reporting, annual compliance testing, Form 5500 completion, and audit support for the plan’s year-end audit
• Initiate and maintain the relationship between the Plan Sponsor and TRS
• Collaborate with various groups within Fidelity to ensure smooth year-end testing and processing

Manager, Compliance

• 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

• The Business Consultant is responsible for serving as the liaison between Provider Solutions, Health Economics, and Contract Administration
• May lead teams of analysts assigned to complex projects
• Acts as a resource to Provider Solutions, Contract Management, and Health Economics
• Analyzes and designs solutions to address complex business needs
• Develops project plans and coordinates resources
• Lead the strategy and execution of recovery workflows for Contract Compliance and Chargemaster variances
• Locate, review, and interpret complex contracts

Business Consultant – Contract Compliance, Strategy

• Providing guidance to business partners on the key rules and regulations that must be followed when building innovative solutions for our clients and customers.
• Helping to ensure that the innovative solutions that our business partners build for clients adhere to applicable key rules, regulations, and policies.
• Engage with team members and managers to inform and influence key product and process decisions to help ensure compliance.

Compliance Analyst

• 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

• 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

• Manage AMS workflows for IP and USP awards throughout award lifecycle (as applicable), ensuring metadata, documentation, and statuses are accurate and timely; ensuring compliance with SCUS award management policies and procedures.
• Complete pre-award information risk and budget documentation as required for new USP awards and revisions
• Collaborate with Award Management teams (USP and IP Portfolio Managers) to validate award requirements, budget structures, dimensions, and funding rules prior to posting
• Partner with Portfolio Managers and Program teams to collect award information (deliverables, reporting cycles, match/GIK requirements, key contacts) and keep award records current in AMS.
• Review awards, modifications, partner agreements and other related award documents when applicable; provide feedback and identify risk factors; liaise with relevant stakeholders in, as necessary.
• Ensure records are accurately set up and modified in Save the Children’s financial system (Agresso) by working closely with the Compliance Risk & Operations (CRO) team to draft and/or review new and modified awards in Agresso.
• Support close-out workflows for USP and designated awards, ensuring accuracy and completeness of awards records, including completeness of donor reports, fully executed agreements and amendments, and other supporting documents.
• Run routine portfolio hygiene checks (e.g., missing documents, expired reporting milestones, budget misalignments) and coordinate corrective actions.
• Assess award data quality within AMS & Agresso quarterly, flag issues, ensure corrections are made as needed.
• Other duties as assigned

Lead Associate, Award Compliance Operations

• Conduct compliance monitoring reviews to evaluate the Bank’s adherence to consumer protection laws and regulations
• Identify gaps in documentation, or potential areas of non-compliance, and suggest resolutions
• Conduct follow-up reviews to determine if management has taken action to correct weaknesses identified in compliance reviews
• Prior to loan closing, review and approve flood insurance calculation worksheets on loans subject to the requirements of the National Flood Insurance Program
• Assist in the review and approval of advertisements, brochures, and other promotional material to ensure compliance with regulatory guidelines
• Assist in preparation of quarterly management reports
• Communicate and collaborate compliance matters with other departments as needed

Compliance Specialist

• 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

• The Regulatory & Labeling Compliance Manager enables innovation and accelerates launches by embedding regulatory compliance into the product development process.
• Partner cross-functionally with R&D, quality/food safety, marketing, operations, and commercialization teams to ensure formulations and processes meet regulatory requirements from concept through launch.
• Identify and flag regulatory risks early (e.g., ingredient restrictions, claim limitations), preventing late-stage delays.
• Provide guidance on emerging regulatory trends and identify compliant opportunities (e.g., allowable claims) that enhance product value.
• Support scale-up and initial production runs, ensuring compliance in processing, labeling, and packaging.
• Own and approve ingredient statements, allergen declarations, and Nutrition Facts Panels for all products.
• Interpret and validate claims including (but not limited to) “whole grain,” “organic,” and “Non-GMO”.
• Manage certification and claim submissions in alignment with product development timelines, including direct communication with regulatory and certifying bodies.
• Provide regulatory guidance for entry into new markets or channels.
• Lead regulatory review and approval of all packaging artwork prior to print, ensuring accuracy and compliance.
• Ensure proper formatting, placement, and font size of required labeling elements.
• Assess consumer-facing language for compliance risk and recommend appropriate alternatives.
• Establish clear regulatory guardrails and frameworks to streamline artwork development and reduce rework.
• Maintain version control and accuracy of all regulatory artwork inputs.
• Review and evaluate supplier documentation, including specifications, Certificates of Analysis, and allergen statements.
• Ensure all ingredients meet regulatory standards and are approved for intended use.
• Assess and communicate sourcing-related regulatory risks.
• Maintain accurate ingredient and formulation records to ensure traceability and data integrity.
• Manage claim substantiation and certification records, updating as products evolve.
• Develop and maintain finished product specification sheets.
• Provide and maintain regulatory data required for customer and retailer portals.
• Identify, escalate, and help mitigate regulatory risks across the product lifecycle.
• Support investigations and corrective actions related to mislabeling, non-compliant claims, or packaging errors.
• Assist with internal, customer, and regulatory audits as needed.
• Serve as a point of contact with regulatory agencies when required.

Regulatory and Labeling Compliance Manager

• Lead the end-to-end management of cross-functional implementations/projects, including project plan creation, stakeholder engagement, managing cross-functional relationships to drive collaboration, edge case mitigation, and on-time completion
• Evaluate overall departmental performance by creating, gathering, analyzing and interpreting data and metrics as well as assisting in development of departmental metrics and implementation of mitigation strategies
• Collaboratively works with all relevant internal and external stakeholder groups to interpret and apply new and evolving regulations, ensuring consistent understanding and accurate implementation across UM operations.
• Coordinate regulatory request management for the UM department, including market conduct exams, URA filings, license renewals, and Mental Health Parity (MHPAEA) compliance.
• Coordinates NCQA deliverables for UM standards
• Evaluates and drafts UM policy and procedures ensuring compliance within the UM program
• Mentor team members and promotes colleagues' growth and professional development
• Compliance with all applicable laws and regulations
• Other duties as assigned

Associate, UM Regulatory Operations

• Support the design, optimization, and implementation of processes and improvements to operations in support of achieving organizational goals
• Responsible to support implementations for regulatory requirements, compliance initiatives, UM audits, and other projects
• Coordinate projects and processes to help support key regulatory and compliance milestones and deliverables
• Partner with leadership to implement regulations, support key state filings, and other projects
• Partner with cross-functional teams to ensure action plans and process improvements align with project goals, and participate in collaboration with peers and cross-functional stakeholders
• Support audit exams (NCQA, MHPAEA, State)
• Help identify risks; respond to and resolve compliance gaps through regulatory implementation and in response to audits and Corrective Action Plans
• Compliance with all applicable laws and regulations
• Other duties as assigned

Senior Analyst, UM Regulatory Operations

• Leads risk identification and assessment (Fair Lending, Responsible Banking, CRA)
• Develops and executes strategies to close performance gaps
• Analyzes lending policies and procedures
• Conducts interviews with management to understand the lending process
• Develops corrective action recommendations
• Participates in meetings to maintain knowledge of compliance risk

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