Compliance

• 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 Analyst I

• Maintain and update the US Compliance Regulatory Change policy, procedures, and job aids
• Collect US regulatory change information and coordinate responses to Global Regulatory Compliance
• Monitor US adherence to Global Regulatory Change Standards
• Perform quality control checks of key USCRCO process steps prior to closure
• Complete the final quality control review of all regulatory implementations and projects prior to closure
• Support governance meetings with Regulatory Change Leads across the bank
• Produce routine and ad hoc regulatory change and inventory reporting, including metrics

Compliance Manager – Governance & Reporting

• 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

• Provides data governance expertise, business leadership, and leads on day to day data governance and activities
• Partners closely with Technology and other SMEs to drive the successful implementation of the LOB's Data Strategy
• Governs and provides oversight of data under their stewardship
• Ensures data-related activities are compliant with applicable laws and regulations
• Identifies, measures and monitors current and emerging data related risks in day-to-day activities

Data Steward II – Regulatory Reporting

• Provide advice, support and objective guidance on development and maintenance of Compliance programs
• Works independently and is accountable for managing a specialized Compliance function
• Provides comprehensive coverage for a significant business or functional area
• Develops and implements Compliance programs
• Advises on new and changed Compliance regulatory and/or policy changes
• Conducts meaningful analysis and prepares documentation to report status of Compliance
• Maintains oversight of all functions related to management reporting and analysis

Compliance Business Oversight Manager – Fair Banking

• Support compliance risk management programs across multiple U.S. Business Units
• Ensure adherence to legislative and regulatory requirements
• Investigate and resolve matters of non-compliance
• Perform Privacy control activities (e.g. privacy impact assessment review, privacy incident analysis)
• Support for regulatory examinations, Internal Audits or other regulatory matters as appropriate
• Review, analyze, and assess privacy/cyber/AI risks arising from vendor relationships and business initiatives (Privacy Impact Assessments)
• Investigate and document privacy events/incidents to ensure required escalation and notification
• Perform research for the assessment of new or amended privacy/cyber/AI laws and regulations affecting the Company’s business
• Track implementation and compliance with privacy actions
• Draft compliance bulletins, review and edit marketing materials and forms, correspondence, and other communications in line with regulatory requirements
• Maintain metrics/KPIs and prepare internal and external reports for varying audiences

Senior Compliance Analyst

• Lead and enhance Compliance Management System (CMS)
• Manage compliance programs related to risk assessment, exam management, monitoring, reporting, and training
• Provide advice, support, and guidance on Compliance/Center of Excellence programs
• Develop and implement Compliance programs and oversight
• Represent Compliance on internal or external committees as required
• Conduct meaningful analysis and make recommendations based on findings

Senior Compliance Manager – Compliance Monitoring, Programs

• Execute independent testing and validations for regulatory compliance across the Bank
• Assess operational procedures and controls related to compliance
• Conduct independent assessments of issues and corrective actions
• Collaborate with key Compliance and business line partners
• Maintain expertise on banking regulations and laws
• Summarize testing results and identify improvement areas

Senior Compliance Testing Analyst

• Provide objective guidance, support and advice to assigned portfolio, business, or function
• Promote strong Compliance controls and processes to mitigate inherent associated risks
• Contribute to the development and implementation of Compliance programs
• Perform advanced analysis and/or specialized reporting to support business partners
• Research, review and maintain expertise on banking regulations and laws
• Act as the primary subject matter expert for regulations applicable to business partners
• Create and deliver training content for business partners on regulatory requirements
• Independently review documentation for business line use
• Perform monitoring of business activities for compliance with regulatory requirements
• Identify and communicate areas of non-compliance

Senior Compliance Analyst – Consumer Product Regulations

• Provide 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
• Ensure adherence to consumer regulations and internal standards, related to mortgage and home equity products
• Collaborate closely with sales, underwriting, processing, and capital markets teams

Compliance Business Oversight Manager

• Plan and lead labeling updates driven by safety changes, regulatory commitments, and periodic reviews
• Author and revise labeling documents including the Company Core Data Sheets (CCDSs), US Prescribing Information (USPI), EU Summary of Product Characteristics (SmPC), and Rest of World (ROW) labels for lifecycle products
• Support labeling governance activities by collaborating with the team lead and GLL/RLL to prepare materials, attend the governance meeting and record accurate minutes in a timely manner to upload in the electronic document management system, and ensure required approvals are obtained
• Ensure labeling content complies with applicable regulatory requirements (e.g., FDA, EMA, ICH) and internal standards
• Collaborate with cross-functional teams (e.g., Safety, Medical, Legal, Regulatory Strategy) to gather input and align on labeling changes, as needed
• Support responses to health authority queries related to labeling content
• Partner with document specialists and publishing teams to ensure submission-ready formatting and timely delivery
• Attend labeling governance meetings and draft accurate minutes in a timely manner
• Upload minutes to the electronic document management system

Regulatory Labeling Manager – NA, LATAM

• Engage with the worldwide brokerage community, identifying POC, gather and verify operational information.
• Document broker feed requirements and organize findings for internal and external client use.
• Confirm and document broker-specific feed requirements, including data fields, formats, and delivery methods.
• Research and analyze broker feed specifications to ensure compatibility with our system.
• Maintain a comprehensive database of broker feed requirements.
• Organize and analyze collected data to identify trends, patterns, and areas for improvement.
• Prepare clear and concise reports summarizing findings for internal and client use.
• Create and maintain detailed documentation of broker outreach processes, data gathering methods, and findings.
• Collaborate with internal teams (e.g., data feeds, compliance) to ensure smooth integration of broker information and feeds.
• Assist with client onboarding and support processes related to broker feeds.

Paid Intern – Regulatory Technology

• Oversees assigned compliance functions for the Company
• Supports the development and maintenance of a regulatory compliance program
• Manage compliance aspects of applicable laws and regulations
• Interacts with senior management to develop and implement policies
• Consolidates reported data and analyzes information to detect compliance issues

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