Compliance

• Own the monitoring and tracking of annual recertification timelines across the portfolio, ensuring no recertifications fall behind schedule.
• Generate and send annual recertification notices to residents in a timely and accurate manner, in coordination with site teams and compliance staff.
• Monitor recertification completion rates and proactively flag outstanding items to Compliance Leadership and site teams.
• Maintain organized recertification tracking logs and ensure all documentation is up to date in property management and compliance systems.
• Identify patterns or systemic issues contributing to recertification delays and escalate with recommended solutions.
• Assist Compliance Specialists with processing and tracking move-in applications and recertification files as workload requires.
• Help collect, verify, and input applicant income, asset, and household information in compliance with program guidelines.
• Provide guidance to site teams on program requirements and documentation needs.
• Assist in preparing move-in and recertification files for investor, state agency, or internal audits.
• Serve as a resource for Compliance Specialists on complex questions, compliance processes, and program requirements.
• Assist Senior Compliance Specialists with file review tasks during periods of high volume or tight deadlines.
• Support preparation of compliance reporting for investors, state agencies, and internal leadership as assigned.
• Contribute to audit preparation activities by ensuring files are organized and audit-ready.
• Help track compliance activity and reporting deadlines, escalating concerns as needed.
• Serve as coverage for the Compliance Specialist role during planned or unplanned absences, including processing and tracking move-in applications and recertifications.
• Serve as coverage for the Senior Compliance Specialist role during absences, including file review, escalation triage, and team support functions.
• Maintain service continuity and compliance standards across both functions during coverage periods.
• Actively pursue skill development in file review, quality control, and compliance mentorship to prepare for advancement into a Senior Compliance Specialist role.
• Participate in training, coaching, and knowledge-sharing opportunities with Senior Compliance Specialists and Compliance Leadership.
• Demonstrate growing proficiency in LIHTC and other affordable housing program requirements.
• Take on additional compliance-related projects and assignments as opportunities arise to broaden expertise.

Compliance Specialist II

• Perform or coordinate the preparation and distribution of statistical operating reports and compliance filings for Energy Supply
• Review, provide analysis, and interpret new and proposed operational tracking regulations
• Accountable for the preparation and distribution of external and internal operating reports for all operating companies
• Ensure compliance with various reporting requirements
• Accountable for maintaining working relationships with internal and external customers
• Direct and execute various special projects for senior management and perform analysis of the data
• Develop tools and reports to facilitate consistent and defendable operations data analysis
• Train users to understand and properly use the reporting systems as appropriate

Operations Reporting and Compliance Analyst

• Overseeing all customs operations, including reviewing and validating import and export documentation to ensure accuracy and full compliance with local and international customs regulations.
• Assigning and maintaining accurate HS codes and tariff classifications for all products, ensuring alignment with regulatory requirements.
• Overseeing customs duty valuations and ensuring country of origin declarations are accurate and compliant with local requirements—supporting duty payments and preferential tariffs.
• Monitoring changes to customs laws and procedures across North America, ensuring timely updates to internal processes and communicating these to key stakeholders across the business.
• Acting as the primary point of contact for customs authorities, customs brokers, and third-party providers to support operational compliance and issue resolution, working in conjunction with the Global Tax team to respond to customs and tax authority notices and audits.
• Leading internal and external audits with third-party providers to identify compliance risks and optimization opportunities.
• Supporting the Global Tax team with input and implementation of customs controls and processes to support and build on our global tax strategy.
• Advising and training internal departments on customs-related matters, including regulatory changes, documentation requirements, and SOP.
• Co-ordinating with Operations, Supply Chain, and Logistics teams to ensure smooth cross-border movement of goods, minimizing customs delays and improving lead times through proactive planning and customs documentation readiness across supplier countries and wholesale customers.
• Managing the implementation and continuous improvement of customs compliance systems and tools, ensuring data and automation of key compliance processes, such as HS code assignment, origin tracking, and duty calculations across all relevant authorities.

Trade Compliance Analyst

• Provides risk management support to line of business by identifying, documenting, and implementing monitoring controls to mitigate risk.
• Ensures that the controls used to mitigate business risks are properly designed, implemented, executed, and maintains compliance for the cloud environment.
• Promotes general awareness of risk management policies and issues and coordinates efforts to foster awareness and understanding of key risk management concepts within the business line network.
• Works with business line management to help ensure the implementation of key risk management practices and procedures in the normal course of business operations.
• Serves as a consult to ensure facilitation/oversight and response to inquiry/examination.

Control Group Manager – Risk & Cloud Compliance

• Process and track move-in applications, ensuring all files are reviewed, verified, and approved within 3–5 business days of submission.
• Process and track annual recertifications, ensuring all files are reviewed, verified and approved within 30 days of the annual recertification effective date.
• Collect, verify, and input applicant income, asset, and household information in compliance with program guidelines.
• Ensure move-in files are complete, accurate, and ready for compliance review and approval prior to lease signing.
• Communicate directly with applicants, residents and site teams to request missing or clarifying documentation.
• Partner with property management staff to support timely move-ins and occupancy goals.
• Maintain accurate and organized records in property management and compliance systems.
• Track application status and provide regular updates to Compliance Leadership, property staff, and regional managers.
• Assist in preparing move-in files for investor, state agency, or internal audits.
• Contribute to the timely and accurate completion of required annual compliance reports, as assigned.
• Collaborate with senior compliance and managers to resolve deficiencies quickly and maintain compliance standards.
• Provide guidance to site teams on program requirements and compliance processes as needed.
• Take on additional projects and duties as assigned to meet business needs.

Compliance Specialist

• Oversee team’s area of product responsibility, communicating business and operational developments, planning, prioritizing and/or directing the responsibilities of direct reports
• Provide input and direction to peripheral products in development and execution of market expansion opportunities
• Provide direction, leadership and coaching to staff to meet schedules, resolve technical or operational problems
• Direct interaction with regulatory agencies on defined matters.
• Keeps abreast of regulatory procedures and changes.
• Participate in audits and be part of field action teams
• Accountability for mentoring, developing and coaching staff on meeting/exceeding performance expectations and defined objectives.
• Recruit, develop and retain talent.

Regulatory Affairs Manager – Cardiovascular Surgery

• Partner with operating unit regulatory teams to help develop and refine strategies for complex medical devices, novel technologies, significant product changes, and market expansion opportunities.
• Provide strategic input on regulatory pathways, intended use, claims, evidence expectations, risk management, and post-market commitments.
• Support regulatory authority interactions by helping frame key questions, review briefing materials, contribute to response strategies, and communicate positions clearly and credibly.
• Advise on software and digital-health regulatory strategy, including software lifecycle expectations, AI-enabled functionality, interoperability, and connected systems.
• Serve as an enterprise advisor to operating unit regulatory teams conducting M&A, integration, or remediation activities by helping identify potential regulatory opportunities, risks, relevant internal process considerations, and applicable cross-portfolio precedent.
• Translate regulatory intelligence regarding evolving global regulations, guidance, policy, and deficiency trends into practical implications for Medtronic business regulatory strategies.
• Identify recurring strategic issues and deficiency trends across operating units to inform training content.
• Synthesize complex technical and regulatory issues into clear recommendations for senior leaders, regulatory teams, and cross-functional partners.

Principal Regulatory Strategy Specialist

• Monitor for relevant regulatory developments across all 50 states and the SEC, ensuring timely awareness of new compliance issues, rule proposals, and comment periods.
• Develop and maintain XYPN’s advocacy and policy roadmap, including issue tracking, prioritization, engagement status, and next steps.
• Partner with the Managing Director and Executive Team to shape advocacy priorities and provide informed recommendations on engagement opportunities.
• Develop a deep understanding of XYPN member firms, industry trends, and emerging regulatory issues to inform advocacy priorities and identify opportunities to influence regulation.
• Develop consistent channels for gathering member feedback, case studies, and practical examples to inform XYPN’s advocacy positions.
• Coordinate member-facing communications regarding advocacy initiatives, regulatory updates, and policy resources.
• Partner with members to prepare for legislative or regulatory hearings, meetings with state regulators and legislators, and other advocacy opportunities, including testimony and supporting materials.
• Develop and deliver educational sessions for legislators, regulators, XYPN members, and industry groups on regulatory trends, RIA business models, operational realities, and the impact of proposed regulation.
• Build productive relationships with regulators, industry stakeholders, advocacy partners, and member firms to support ongoing dialogue and collaboration.
• Coordinate strategic partnerships with industry associations, including IAA, FPA, NAPFA, CFP Board, and other aligned organizations.
• Draft policy positions and supporting materials, including comment letters, white papers, policy briefs, issue summaries, case studies, and testimony.
• Lead execution of advocacy activity in individual states, with the SEC, and with NASAA, including preparing formal responses to proposed regulations, policies, and rulemaking initiatives.
• Represent XYPN in meetings with state and SEC regulatory staff, NASAA representatives, and other relevant stakeholders on advocacy and rulemaking matters.
• Attend industry conferences, regulatory events, hearings, symposia, and working groups to strengthen relationships and stay engaged in evolving policy conversations.
• Accountable for reporting on activity and impact related metrics ranging from: Policy issues being tracked, Comment letters submitted, Meetings with regulators, Evidenced impact on policy changes.

Director of Policy and Regulatory Affairs

• Talking to new carriers and assisting with the set up process.
• Working closely with administrative, support team and operational offices, including Agents.
• Assisting with investigating risk concerns for the company.
• Vetting carriers in the database to protect the company.
• Providing top-notch service and ensuring all carriers are vetted and legitimate to be hauling freight for our customers!

Carrier Compliance Specialist

• Lead end-to-end audit readiness and execution for internal and external audits
• Establish and maintain centralized tracking of audit activity
• Drive development, tracking, and validation of corrective action plans
• Serve as a subject matter expert on Medicaid regulatory requirements
• Leverage data analysis to identify trends and emerging risks
• Build partnerships across Compliance, Credentialing, Network, and Operations

Senior Manager, Medicaid Compliance – Provider Data Services

• Advise clients on federal, state, and local regulatory frameworks governing electric, natural gas, and other energy infrastructure, and on regulatory strategy, compliance, and policy development related to energy and environmental mandates
• Prepare and oversee regulatory filings, including rate cases, certificates of need, cost recovery proceedings, and rulemakings
• Lead and manage administrative proceedings before state regulatory agencies, and related negotiations
• Draft and negotiate agreements related to project development, power supply, operations, and regulatory approvals
• Collaborate with transactional, environmental, real estate and litigation teams on complex, multidisciplinary matters
• Mentor junior attorneys and contribute to client development, thought leadership, and industry engagement

Senior Energy Regulatory Associate

• 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 real-time compliance guidance to Equity Sales & Trading desks regarding regulatory requirements and firm policies
• Stay abreast of the local and global regulatory environment and work closely with other Legal and Compliance leads to ensure the firm’s adherence to pertinent securities laws and regulations
• Monitor and advise on rules related to Regulation SHO, Regulation NMS, Rule 15c3-5 (Market Access Rule), and FINRA Rule 2111 (Suitability)
• Partner with Equity Supervision to maintain robust surveillance programs to detect potential market abuse, including insider trading, wash sales, marking the close, and other manipulative trading practices
• Oversee the review of electronic communications (e-comms) and trade exception reports to ensure adherence to firm and regulatory standards
• Perform supervisory control testing of order handling, execution, and trade reporting requirements (i.e. Reg SHO, NMS, CAT, OATS, Rule 606, etc.)
• Coordinate and update policies, procedures, processes, and relevant reviews to align with business needs and applicable rules and regulations
• Draft, update, and maintain the firm’s Written Supervisory Procedures (WSPs) and Compliance Manuals relevant to Equity Sales & Trading
• Develop and deliver targeted compliance training programs to front-office personnel regarding regulatory updates, conflicts of interest, and ethical trading practices
• Act as a primary point of contact for regulatory inquiries, examinations, and investigations (SEC, FINRA, etc.)

Compliance Director – Equity Sales, Trading

• The Senior Regulatory Affairs Associate will join a team of Regulatory Affairs professionals.
• Support the review of regulatory and clinical documents and submissions.
• Participate on internal and external projects/initiatives.
• Provide regulatory support in key areas such as 21 CFR Part 11 compliance.
• Work closely with others in the NMDP organization and global cell collection network.
• Assist with regulatory oversight and submissions for trials where NMDP is the Sponsor of an IND or international equivalent.
• Support clinical trials, protocols and/or INDs under NMDP Master Protocol.
• Serve as primary regulatory expert for 21 CFR Part 11 for the Regulatory Team and interdepartmental projects.
• Perform promotional and marketing material reviews for regulatory compliance.
• Review incidents, complaints, and Adverse Events to FDA, HRSA, WMDA and other agencies.

Senior Regulatory Affairs Associate

• Leads country of origin determinations through analysis of product data, manufacturing processes, and supplier information, ensuring accuracy within ERP systems
• Implements and supports customs valuation and export compliance processes, including responding to inquiries, managing disclosures, and maintaining classification and licensing data
• Determines compliance risks and opportunities through audits, data analysis, and review of import/export activities, supporting corrective actions as needed
• Supports responses to government inquiries, regulatory filings, and cross-functional compliance initiatives, including IT/ERP-related projects
• Supports development of policies, procedures, training, and KPI reporting to sustain an effective global trade compliance program

Analyst, Global Trade Compliance

• Provide technical leadership and day-to-day oversight of field-based environmental compliance monitoring activities on active construction projects.
• Conduct and support environmental compliance inspections on active construction sites to identify and document issues related to stormwater management; erosion and sediment control; wetlands, streams, and other regulated resources.
• Provide direction, mentoring, quality control, and direct supervisory responsibility of environmental compliance monitors and junior staff.
• Identify environmental compliance risks during construction and coordinate mitigation or corrective actions with construction personnel and project teams.
• Serve as the primary field point of contact for environmental compliance on assigned projects.
• Promote and enforce HSSE requirements.

Environmental Compliance Field Team Leader

• Manage Free Trade Agreements (FTAs) globally, including monitoring regulatory developments, assessing qualification, ensuring supporting documentation, and driving compliance with applicable requirements
• Represent the team as a subject matter expert (SME) in cross-functional meetings and projects to support sourcing strategies, minimize trade restrictions, and optimize landed costs
• Identify and coordinate opportunities for import duty refunds, including preparation and submission of applications to relevant authorities
• Prepare and submit responses to government inquiries related to FTA and special program compliance (e.g., CF28 or similar requests)
• Support the assessment, design, implementation, and execution of special customs programs (e.g., duty drawback, FTZs, bonded warehousing, inward processing, returned goods relief)
• Support U.S. and other government sales by qualifying products under TAA, BAA, and similar regulatory programs, including supplier engagement
• Analyze import/export data and support IT/ERP initiatives to identify compliance risks, trends, and duty optimisation opportunities
• Develop and maintain compliance frameworks, including policies, procedures, training, KPIs, and performance reporting in collaboration with internal and external stakeholders

Manager, Global Trade Compliance – Special Programs

• Monitor compliance with laws, rules and regulations
• Develop & manage AG’s RIA Compliance Program
• Coordinate and oversee the development, implementation and enforcement of policies, procedures and programs to minimize risk
• Prepare for and respond to regulatory inquiries, examinations, internal and external audits
• Represent RIA Compliance Department in cross functional Firm initiatives and committees
• Provide investment advisory compliance support to RIA subsidiaries of Osaic
• Research and resolve issues, provide recommendations, and escalate to senior management as needed
• Design, implement, and maintain a risk-based compliance testing program in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940.
• Develop and execute annual and periodic testing plans to evaluate the effectiveness of RIA compliance policies, procedures, and associated internal controls.
• Perform and oversee documented testing of key advisory risk areas, including but not limited to conflicts of interest, disclosures, best execution, trading practices, marketing/advertising, custody, cybersecurity, privacy, and personal trading.
• Evaluate testing results, identify control gaps or weaknesses, and ensure timely remediation, follow-up testing, and issue tracking.
• Prepare formal written testing reports, summaries, and workpapers supporting conclusions and management recommendations.
• Coordinate testing efforts with internal stakeholders (Legal, Supervision, Operations, Technology, Risk, and Internal Audit) to ensure comprehensive coverage and consistency.
• All other duties as assigned

IA Compliance Manager – Policies, Procedures, and Testing

• Provide strategic oversight and planning for ESS OT regulatory compliance programs, ensuring alignment with NERC CIP, TSA, and enterprise objectives.
• Lead compliance program execution across internal controls, assessments, standards implementation, and audit readiness activities.
• Utilize data analytics, control performance results, and audit insights to identify compliance risks and recommend mitigation strategies.
• Ensure the quality, integrity, and accuracy of compliance data, evidence, and reporting used for regulatory and leadership visibility.
• Operate and continuously improve ESS compliance processes that support internal controls, evidence management, and regulatory reporting across OT environments.
• Drive strong audit and compliance outcomes by standardizing processes, reducing manual effort, and enhancing effectiveness of tools (e.g., GRC platforms such as Archer).
• Develop and deliver targeted training, guidance, and communications to application owners, control owners, and business stakeholders to ensure clear understanding of compliance responsibilities, regulatory requirements, and ESS processes.
• Serve as a primary point of contact within ESS for compliance-related processes, fostering strong partnerships with Technology Services, Transmission, Generation, and other business areas.

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