Compliance

• Provide compliance oversight for Retail Branch, Contact Center, and Marketing distribution channels
• Complete change risk assessments and related questionnaires for new business initiatives
• Serve as compliance advisor to business partners through meetings and process reviews
• Manage and track compliance-related issues, ensuring regulatory alignment
• Lead regulatory change management efforts for new and updated state laws
• Monitor regulatory complaints, business reports, and key risk indicators
• Collaborate with cross-functional teams to strengthen the compliance framework

Compliance Business Oversight Manager – Consumer Banking

• Provides advice, support and objective guidance to assigned portfolio, business or function on development and maintenance of all aspects of Compliance/Center of Excellence programs in line with the Bank's risk philosophy and strategic direction
• Works independently and is accountable for managing a specialized Compliance function or area
• Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates
• Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
• Provides guidance and support to analysts on matters related to portfolio and specialty
• Typically a subject matter expert for a key functional Compliance area and business
• Manages/assists with regulatory reviews including inquiries, audits, and exams
• Identifies and leads problem resolution for project/program complex requirements related issues at all levels

Compliance Oversight Manager – Real Estate Secured Servicing

• Develop and execute strategies that align Instacart's compliance goals with business priorities
• Lead, coach, and mentor a team of Regulatory Ops and Program Managers
• Drive alignment on high-priority legislative initiatives
• Partner closely with Policy & Government Affairs, Legal, Product & Engineering, Business Development, and Operations
• Oversee the coordination, implementation, and monitoring of regulatory initiatives
• Build and continuously improve the operational frameworks, workflows, and tooling for compliance

Senior Manager, Regulatory Operations

• Ability to provide step-by-step instruction on pre-trip and post-trip inspections in accordance with DOT regulations and company policy.
• Facilitate training sessions on DOT regulations, FMCSA requirements, and company safety policies, adapting instruction to different learning styles to ensure full comprehension.
• Mentor, coach, and develop professional drivers to support safe and compliant performance.
• Demonstrate a professional leadership presence during training to reinforce expectations and promote consistent application of safety and compliance standards.
• Ensure West and Central field operations comply with DOT, FMCSA requirements.
• Comprehensive knowledge of maintaining proper documentation required by federal DOT law and company policies.
• Ability to manage and maintain Driver Qualification Files, including conducting or coordinating required road tests for new hires.
• Conduct internal audits to identify compliance gaps and support corrective action planning.
• Assist with DOT audits by preparing documentation and supporting the DOT Manager.
• Understanding ELD platforms and safety management systems to analyze data, identify trends, and recommend improvements.
• Travel 70–80% of the time to job sites, yards, and field locations across the West and Central regions.
• Collaborate with DOT compliance team to support effective training and compliance initiatives.
• Investigate incidents, analyze trends, and advise/collaborate corrective action practices with DOT Manager.
• Serve as a safety resource for drivers by addressing questions and providing operational guidance.
• Promote defensive driving techniques and safe vehicle operation.
• Reinforce safety expectations and support consistent application across all field teams.
• Build positive working relationships with field teams to support a culture of safety, professionalism, and accountability.

Senior DOT Compliance Instructor

• Serve as Compliance lead for managing and facilitating the U.S. Compliance Risk Assessment
• Manage the Compliance Risk Assessment framework
• Provide subject matter expertise and leadership to Oversight Functions
• Support Oversight Functions with defining and logging regulatory issues
• Drive program reporting analytics and insights in collaboration with Compliance Data Analytics team

Compliance Risk Assessment Lead

• Supports the U.S. Compliance Risk Assessment lead with managing and facilitating the U.S. Compliance Risk Assessment and reports up into the U.S. Head of Compliance Programs
• Supports the management of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to determine the risk profile for in scope laws/regulations as they pertain to respective businesses and across legal entities
• Supports the facilitation of the Compliance Risk Assessment and manages the assessment process, including ensuring timely and quality completion of the assessment through the lifecycle stages
• Provides subject matter expertise and leadership to Oversight Functions and other assessment participants and serve as single point of contact for stakeholders on assessment methodology, guidance, and applicable leading practices
• Where necessary, support Oversight Functions and their covered businesses with defining and logging regulatory issues and/or remedial action plans
• Support the review and interpretation of aggregated results and identify methodology deviations, quality deficiencies and potential points of challenge
• Support program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team
• Assist with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework
• Possesses strong functional knowledge of U.S. banking regulations (e.g., Federal Reserve) as well as banking products and services. Additionally, a risk management / internal control mindset to apply and assess risk identification / mitigation is essential.

Compliance Risk Assessment Manager

• Supports the overall coordination of US regulatory remediation
• Leads trends and issues that impact compliance initiatives
• Drives compliance accountabilities for the compliance remediations
• Provides coaching, mentorship and guidance to practitioners and business

Senior Compliance Transformation Manager

• Supports the identification, assessment, control, and monitoring of escalated U.S. Compliance risks
• Supports governance, reporting insights, and oversight for identified issues
• Proficient in articulation of compliance risks to line of business stakeholders
• Acts as the primary subject matter expert for Compliance Program elements
• Provides advanced analysis and/or specialized reporting to support business partners

Senior Compliance Analyst – Regulatory Issue Management

• Supports the U.S. Compliance Risk Assessment lead with managing and facilitating the U.S. Compliance Risk Assessment.
• Supports the management of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to determine the risk profile for in scope laws/regulations as they pertain to respective businesses and across legal entities.
• Supports the facilitation of the Compliance Risk Assessment and manages the assessment process, including ensuring timely and quality completion of the assessment through the lifecycle stages.
• Where necessary, support Oversight Functions and their covered businesses with defining and logging regulatory issues and/or remedial action plans.
• Support the review of aggregated results and identify methodology deviations, quality deficiencies and potential points of challenge.
• Support program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team.
• Assist with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework.

Senior Compliance Risk Assessment Associate

• 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

• Develop, refine, and operationalize a comprehensive investment risk framework for CIO activities
• Help design and maintain the policies, procedures, and control standards for how CIO conducts IDD and ODD
• Document investment processes, controls, and oversight routines for RCSAs, audits, and regulatory needs
• Build dashboards that highlight CIO risk exposures, trends, outliers, and high-impact themes for review by leadership
• Sit with the CIO team to understand their workflows and ensure the risk framework is practical and adopted

Compliance Officer

• Oversee and develop team(s) of specialists and/or managers conducting independent Compliance testing to meet regulatory and internal requirements
• Provide guidance, leadership, coaching, and development to achieve desired operational results and professional/personal development objectives for the overall group
• Responsible for the timely execution of the Compliance testing plan
• Typically deal with senior/executive management in communicating Compliance testing results
• Leverage deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends
• Provides guidance and clarity around priorities and goals for Compliance testing program and work with managers to ensure the goals cascade to all workers
• Manage and prioritize the team to deliver on multiple reviews and projects at a given time

Senior Manager, Compliance Testing

• Planning and overseeing independent Compliance testing
• Providing subject matter expertise on Compliance controls/processes
• Executing independent testing as applicable
• Leading all phases of assigned testing or validation engagement

Compliance Testing Manager – Wealth

• Provide oversight for privacy compliance governance and operational risk management
• Monitor and assess emerging U.S. privacy regulations
• Conduct risk assessments and due diligence for vendors
• Review and validate privacy-related contractual clauses
• Execute risk-based monitoring and prepare reports for senior management

Senior Privacy Compliance Operations Analyst

• 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

• Provide compliance oversight, advisory support and effective challenge
• Manage compliance risks across delivery channels such as Digital Banking, Marketing, Contact Centers, and Retail/Branches
• Serve as primary compliance support for assigned business lines
• Complete change risk assessments and related questionnaires for new business initiatives
• Serve as a compliance advisor to business partners through regular meetings
• Manage and track compliance-related issues
• Lead regulatory change management efforts for new and updated state laws
• Monitor regulatory complaints and identify trends, gaps, and potential compliance risks
• Review and validate first-line testing to ensure gaps are addressed
• Collaborate with cross-functional teams to strengthen the compliance framework

Senior Compliance Business Oversight Manager

• This position is an individual contributor role accountable for driving and implementing the daily operations that support the Regulatory team’s core accountabilities
• Responds to routine inquiries and requests from state insurance departments, other state and federal regulators, and others both within and outside the Enterprise
• Researches, reviews, and applies laws, regulations, and bulletins
• Suggests appropriate actions in response to regulatory directives, bulletins, and data calls
• Provides subject matter expertise on new product development initiatives and responds to requests for product customizations for specific customers
• Responsible for drafting contract text and maintaining drafting history
• Handles both routine and non-standard regulatory filings, such as product form and rate filings and single-case filings
• Coordinates, investigates, and responds to consumer and insurance department complaints and regulatory market conduct exams
• Supports and delivers results for project initiatives, within established timeframes and quality measures
• Summarizes and communicates issues to appropriate operational business partners
• Develops and maintains positive customer relationships, both internal and external
• Executes on the implementation of operational improvements and service enhancements

Regulatory Analyst

• 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

• 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 Maine

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