Compliance

• Develop and implement US regulatory strategy for unique products
• Provide strategic regulatory input and execution support to assigned programs
• Coordinate regulatory submissions and manage local marketing authorization applications
• Monitor the development of new regulatory requirements and guidance documents
• Contribute to effective ways of working and consistent regulatory practices

Manager, Global Regulatory Strategy

• Ensure efficient and effective regulatory review and risk assessment of promotional material for all segments (HCP, Consumer, Managed Markets) and media (Print, broadcast and electronic)
• Conduct reviews within established timelines and meets expedited requests as priorities and workload allow
• Develop PRA guidance and job aids on relevant topics for use within the department and for use by cross-functional partners as appropriate
• Monitor regulatory agency activities, new guidance, and emerging trends in the regulatory environment

Associate Director, Promotional Regulatory Affairs

• Develop and lead Casepoint’s enterprise Governance & Compliance strategy, ensuring scalable governance practices that support business growth and customer trust.
• Own enterprise privacy, compliance, AI governance, information governance, and corporate policy programs.
• Establish governance frameworks for emerging technologies, including responsible AI, data governance, and regulatory compliance.
• Partner with Executive Leadership to proactively identify, assess, and manage regulatory, contractual, operational, and technology-related risks.
• Provide executive oversight of the contracts function by partnering with the Director of Government Contracts on strategy, governance, risk management, and operational priorities.
• Collaborate with Sales, Product, Finance, Security, Legal, Engineering, and Customer Success to enable growth while balancing business objectives with appropriate governance.
• Develop executive reporting, governance metrics, and compliance dashboards to support informed decision-making.
• Drive continuous improvement through scalable processes, automation, and technology-enabled governance solutions.
• Monitor evolving regulatory requirements and industry best practices, recommending proactive enhancements to governance programs.

VP, Governance and Compliance

• Providing guidance and interpretation of USG regulations, including ITAR, EAR, BATFE, Anti-boycott Regulations, US Census, and Customs Regulations.
• Working with various functional areas (Contracts, Supply Chain Management, Program Management, Engineering, New Business, etc.) to determine their export/import needs.
• Preparing and submitting necessary export/import authorization requests required to support international programs and managing all post approval activities such as recordkeeping, reporting requirements, approvals for data exports and international shipping authorizations.
• Assisting Global Trade Manager to develop and implement appropriate strategies to meet business requirements and ensure full compliance with all regulatory agencies.
• Formally presenting in meetings, training environments and responding to questions from management, employees, customers and vendors related to export/import compliance.
• Supporting corrective action implementation and negotiating export/import control issues with internal and external customers and resolve issues in a win/win manner.

International Trade Compliance Analyst – Level 2

• Providing guidance and interpretation of USG regulations, including the International Traffic in Arms Regulations (ITAR), Export Administration Regulations (EAR), Bureau of Alcohol, Tobacco, Firearms and Explosives (BATFE), Anti-boycott Regulations, US Census and Customs Regulations.
• Working with various functional areas (Contracts, Supply Chain Management, Program Management, Engineering, New Business, etc.) to determine their export/import needs
• Preparing and submitting necessary export/import authorization requests required to support international programs and managing all post approval activities such as recordkeeping, reporting requirements, approvals for data exports and international shipping authorizations.
• Assisting Global Trade Manager to develop and implement appropriate strategies to meet business requirements and ensure full compliance with all regulatory agencies.
• Formally presenting in meetings, training environments and responding to questions from management, employees, customers and vendors related to export/import compliance.
• Supporting corrective action implementation and negotiating export/import control issues with internal and external customers and resolve issues in a win/win manner

Principal International Trade Compliance Analyst

• 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

• Conduct detailed review and provide regulatory approval for marketing materials, including advertising, sales literature, presentations, digital content, and client communications.
• Evaluate communications related to complex investment products (e.g., private markets, alternatives, insurance solutions) for compliance with regulatory requirements and internal policies.
• Assess performance presentations (including hypothetical, model, or composite performance) to ensure appropriate disclosure, balance, and substantiation.
• Identify and escalate material risks, including misleading statements, promissory or exaggerated claims, improper use of performance, or incomplete disclosures.
• Apply expert judgment to balance regulatory compliance with business objectives, providing actionable guidance to enable compliant and effective marketing.
• Interpret and apply SEC Marketing Rule, FINRA Rule 2210, GIPS 2020 standards and other applicable regulations across diverse product types and audiences (retail vs. institutional).
• Review and approve institutional-level thought leadership materials (e.g., market commentary, white papers, investment insights, and strategy pieces) to ensure compliance with applicable regulatory standards, including appropriate use of assumptions, forward-looking statements, and avoidance of misleading or unsubstantiated claims.
• Partner with marketing, product, and legal teams to develop compliant messaging strategies for complex or higher-risk offerings.
• Address regulatory comments (e.g., FINRA) and ensure timely and accurate remediation of identified issues.
• Provide guidance and training to business partners on marketing compliance expectations, particularly for complex products and emerging regulatory risk areas.

Senior Manager, Communications and Marketing Compliance

• Advise clients on post-award grant compliance processes, ensuring meticulous adherence to all grant terms and conditions.
• Manage financial and reporting requirements, facilitating compliance with 2 CFR 200 and other relevant regulations across various award programs and agencies.
• Develop and implement robust compliance frameworks, including internal controls, monitoring procedures, risk mitigation strategies and policies.
• Serve as a client’s primary point of contact for grant-related inquiries, providing documentation and demonstrating compliance.
• Stay abreast of evolving federal and state telecommunications regulations.
• Prepare and submit accurate regulatory filings and compliance reports on behalf of our broadband providers.
• Serve as a liaison with regulatory agencies, addressing inquiries and representing the company’s interests.
• Provide guidance and training to internal teams on regulatory matters.
• Build strong relationships with clients, serving as their trusted advisor on both post-award grant compliance and telecom regulatory matters.
• Provide expert guidance and support to clients throughout the grant lifecycle and regulatory compliance processes, ensuring they understand and fulfill their obligations.
• Develop and deliver educational resources (webinars, training sessions, written materials) to enhance client understanding of post-award compliance requirements and telecom regulations.
• Conduct in-depth research on federal and state regulations specific to broadband deployments and award funding requirements.
• Work closely with internal teams (legal, finance, project management) to ensure seamless coordination across all grant-related activities and regulatory compliance efforts.
• Stay informed on evolving grant compliance regulations and best practices, sharing knowledge and insights with the team.
• Contribute to the development and refinement of internal grant compliance policies and procedures.
• Participate in team meetings, offering creative solutions to regulatory and funding challenges. Work across teams to find and implement innovative solutions in response to complex regulatory challenges.
• Prepare and deliver compelling presentations, advisories, and communication strategies.
• Prepare presentations and client advisories on new regulations, actively participating in brainstorming sessions to develop effective communication strategies.
• Embrace additional duties and support projects that propel our department toward its goals. Leverage your experience to identify areas where you can take initiative and contribute unique perspectives.

Grants Compliance Consultant

• Collaborating with regional colleagues to develop strategies for moderately complex submissions to regulatory agencies worldwide
• Interpreting regulations and guidance’s ex-U.S. and communicating to the country how these impact the ability to register
• Coordinating and supporting worldwide product registration requests
• Interface with global international regulatory and marketing contacts to support regional registration requirements
• Developing and maintaining department procedures for international product registrations
• Assembling technical information according to registration requirements

International Regulatory Affairs Specialist

• Serve as the primary first line control leader for Commercial Lending Operations, including creating and maintaining procedures to ensure consistent execution of credit policies and applicable regulatory requirements
• Oversee control activities across commercial lending with a focus on reducing credit and operational losses through adherence to underwriting standards, collateral/valuation documentation, and data accuracy
• Design, implement, and maintain first line controls, key control indicators, and monitoring routines focused on credit quality drivers (exceptions, overrides, documentation defects, covenant compliance, etc.)
• Partner with second line functions (Enterprise Risk Management, BSA, and Compliance) and internal/external audit to support control testing, regulatory exams, and remediation tracking for commercial lending processes
• Execute first line risk management responsibilities in accordance with the Bank’s Risk Management Framework, including performance of risk assessments, business continuity planning, and third‑party risk reviews; adherence to risk appetite; timely identification and escalation of issues; and clear reporting to governance forums
• Lead issue identification, root cause analysis, remediation planning, and validation of corrective actions for credit policy exceptions, documentation gaps, booking errors, and process breakdowns
• Provide guidance to lending, underwriting, and operations teams on control execution, documentation standards, and regulatory expectations
• Support change initiatives (new products, process enhancements, system implementations, growth) by performing control impact reviews and confirming credit requirements (data, documentation, approvals, and monitoring) are built into the design
• Prepare and deliver clear, timely reporting and metrics on control performance, exceptions, remediation status, and credit process health to senior management and governance committees
• Promote a strong control culture by reinforcing ownership, accountability, and consistent execution of credit processes across Commercial Lending Operations
• Perform other duties as assigned

VP, First Line Risk and Compliance

• 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

• Lead day-to-day execution of the SOX 404 program across business process controls, ITACs, and Key Reports.
• Own the Risk and Control Matrix (RACM) and SOX process flows across areas like revenue recognition, OTC, PTP, financial close, and payroll.
• Design and execute SOX testing of design and operating effectiveness.
• Evaluate ITACs and Key Reports across SAP, Salesforce, and other in-scope financial systems.
• Serve as the primary liaison with external auditors through walkthroughs, interim, and year-end testing.
• Identify deficiencies, assess root cause, and drive remediation to closure with process owners.
• Rationalize and optimize the control environment, reduce complexity while maintaining audit defensibility.
• Bring a builder mindset with a hands-on, roll-up-your-sleeves approach; strong bias for automation and measurable outcomes.
• Identify and implement opportunities to automate testing and monitoring using data analytics and AI-enabled tools.
• Manage, mentor, and develop a global team including internationally based members.
• Support executive reporting on SOX program status for senior leadership and the Audit Committee.
• Expand over time into a risk advisory role as the SOX program matures.

Manager, Sox Compliance

• responsible for development and implementation of global regulatory strategy for their assigned projects in the Vaccines and Infectious Disease therapeutic area
• provides regulatory oversight for assigned products, functioning as the single, accountable, global regulatory point of contact
• develops worldwide product regulatory strategy to optimize label and obtain shortest time to approval by regulatory agencies for multiple indications simultaneously
• provides expert advice to Product Development Teams and subsidiaries on regulatory issues as they arise with the developmental compounds or marketed products throughout the entire life cycle of the drug
• provides leadership as head of the Global Regulatory Team, which coordinates cross-functional regulatory support for development programs and marketed products
• represents our company with external organizations through direct communication with the FDA
• leads cross-functional efforts to prepare for advisory committees
• coordinates interactions with foreign agencies to support their interactions and provide strategic direction across multiple regions simultaneously
• reviews and provides final approval of Worldwide Marketing Applications, Clinical Study Reports, Protocols, Investigators Brochures before release from our company to external agencies and investigators

Director, Regulatory Affairs Liaison – Vaccines, Infectious Diseases

• Responsible for ensuring compliance with all third-party regulations within the assigned property/properties
• Monitor resident files to ensure compliance with various affordable housing programs
• Ensure onsite teams maintain neat, accurate, complete, and organized compliance files
• Provide guidance to onsite team members to ensure necessary documentation is obtained
• Ensure waiver properties meet necessary requirements and properly handle sealing of certifications
• Run monthly and quarterly EIV (Enterprise Income Verification) reports for assigned portfolio
• Provide regular progress reports to update Compliance Department Managers and other relevant stakeholders

Senior Compliance Coordinator, Floating

• Provide leadership and expertise for compliance within research and program learning
• Review HSR and NRD submissions and provide technical guidance
• Support project teams in data management planning and compliance oversight
• Review and develop data management plans
• Coordinate with the IRBHelp team on submissions and tracking

Senior Technical Advisor, Research Compliance

• 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

• Lead regulatory strategy for US Biomedicine efforts
• Oversee industry-specific practices and ensure compliance with regulations
• Manage regulatory submissions for clinical and CMC development
• Advise on CMC-related regulatory activities
• Identify and communicate potential project challenges

Vice President, Regulatory Affairs

• Establish and lead the firm's centralized risk management and compliance function
• Build the enterprise risk framework and develop global policies
• Manage the corporate insurance program
• Coordinate compliance execution across all regions

Global Director – Risk & Compliance

• Develop and implement CMC regulatory strategies for vaccines, ensuring compliance with FDA expectations and global standards.
• Prepare and review technical regulatory documents to submit to regulatory authorities, including the FDA, to support lifecycle management of established vaccines.
• Provide regulatory advice to cross-functional teams, including R&D, manufacturing, and quality assurance to ensure compliance with U.S. regulatory requirements, including Good Manufacturing Practices (GMPs).
• Serve as Point of Contact for the FDA to receive and respond to general inquiries, notifications, and requests for information.
• Lead discussions in formal meetings and other engagements with the Agency.
• Identify risks and propose mitigation strategies to ensure smooth regulatory processes.
• Mentor and train team members, fostering a culture of continuous improvement.

Strategy Lead, CMC Mature, Regulatory Affairs

• Ensure compliance policies from ownership, management, and regulatory agencies are implemented at the site level
• Train property managers and leasing staff on eligibility requirements, income verification, and documentation standards
• Oversee tenant file processing and approval during initial lease-up to ensure residents meet program eligibility criteria
• Monitor leasing progress to align with regulatory deadlines and tax credit requirements
• Conduct pre-occupancy and initial compliance audits
• Manage the transition process when properties are refinanced or restructured
• Ensure continued resident eligibility and proper recertification during resyndication
• Maintain accurate records for tenant eligibility, income certifications, and lease agreements
• Submit required compliance reports to various agencies on time
• Stay up to date on changes in affordable housing regulations

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