Compliance

• 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

• Design, lead, and enhance the risk and compliance framework
• Identify, assess, monitor, and report on risks and compliance obligations
• Set strategy for the risk and control environment
• Lead cross-functional collaboration with program, clinical, analytics, legal and technology functions
• Develop and mentor colleagues in governance, risk management, and compliance practices
• Maintain an enterprise repository of HEAT-related risk assessments and compliance documentation

Senior Manager – Enterprise Risk & Compliance

• Serve as the primary compliance resource for assigned facilities and regional leadership teams.
• Provide guidance on regulatory, compliance, ethics, and privacy matters while identifying practical solutions that support organizational objectives.
• Foster a culture of ethical decision-making, accountability, and compliance throughout the region.
• Build trusted relationships with administrators, CEOs, physicians, and facility leadership to promote effective compliance oversight.
• Implement ongoing execution of Tenet's Ethics, Compliance, and Privacy Program within assigned facilities.
• Ensure adherence to the Quality, Compliance, and Ethics Charter and applicable federal and state healthcare regulations.
• Drive regional compliance initiatives, work plans, monitoring activities, and risk mitigation strategies.
• Support the delivery of compliance, ethics, privacy, and security education programs for employees, contractors, and physicians.
• Partner with leadership and subject matter experts to identify, assess, and mitigate compliance risks.
• Lead and participate in Compliance Committee and Board meetings, presenting compliance trends, risks, and mitigation strategies.

Compliance Officer, USPI Midwest Territory

• Provide governance, oversight, and strategic leadership for distribution safety and regulatory compliance across the North American Crop Protection network
• Monitor and assess logistics protocols, operating practices, and documentation, both internally and externally
• Develop, implement, and update compliance policies and procedures
• Conduct regular audits and inspections to ensure adherence to compliance standards
• Ensure compliance with local, state, and federal regulations governing distribution operations
• Develop and implement safety policies and procedures to prevent workplace injuries and accidents
• Lead safety training programs for distribution staff to ensure awareness and adherence to safety protocols
• Develop, implement, and maintain safety compliance tracking dashboard
• Track and report compliance and safety metrics to senior management
• Develop and maintain emergency response plans and procedures

Regional Distribution Compliance Leader

• Provide governance, oversight, and strategic leadership for distribution safety and regulatory compliance across the North American Crop Protection network
• Monitor and assess logistics protocols, operating practices, and documentation, both internally and externally
• Partner across functions to resolve compliance gaps, mitigate risk, and drive best practices across the network
• Ensure compliance with local, state, and federal regulations governing distribution operations
• Maintain up-to-date knowledge of regulatory changes and communicate implications to relevant stakeholders
• Develop, implement, and update compliance policies and procedures
• Conduct regular audits and inspections to ensure adherence to compliance standards
• Develop and implement safety policies and procedures to prevent workplace injuries and accidents
• Conduct risk assessments and hazard analyses to identify potential safety issues
• Lead safety training programs for distribution staff to ensure awareness and adherence to safety protocols
• Track and report compliance and safety metrics to senior management

Regional Compliance Leader

• Oversee regional trade compliance, ensuring adherence to import and export control, sanctions, and customs regulations
• Develop and implement policies and procedures
• Manage risks and audits
• Provide training and guidance to teams
• Lead Local Trade Compliance Officers
• Ensure effective use of compliance systems

Regional Trade Compliance Officer

• Lead and manage the organization's compliance program across multiple business functions.
• Monitor federal, state, and local regulatory changes and implement necessary policy and procedural updates.
• Ensure compliance with Fair Housing, affordable housing, privacy, AML/KYC, licensing, and other applicable regulations.
• Oversee compliance for affordable housing programs including LIHTC, HUD, Section 8, HOME, and other federal, state, and local housing programs.
• Conduct compliance audits, tenant file reviews, documentation reviews, and internal control assessments.
• Prepare properties for agency inspections and coordinate responses to audit findings.
• Develop and maintain compliance policies, procedures, internal controls, and record retention standards.
• Design and deliver compliance training for corporate teams, property managers, and on-site staff.
• Support acquisitions, financing, investor activities, and due diligence by reviewing documentation for regulatory compliance.
• Prepare reports and compliance documentation for executive leadership, investors, government agencies, and external auditors.
• Partner with Legal, Finance, Human Resources, Asset Management, Property Management, and Operations to promote a culture of compliance.
• Serve as a trusted resource by providing guidance on compliance-related questions and helping resolve regulatory issues.

Fractional Compliance Manager – Real Estate, Affordable Housing

• Manages federal regulatory activities, including transmission policy development, tariffs and regulatory proceedings for transmission operations, capital projects and business expansion opportunities.
• Advocates for and shapes transmission policy to create a regulatory climate to support business unit operations.
• Drives formulation of regulatory strategy for engagement in transmission policy and regulatory proceedings for the company.
• Responsible for effectively managing relationships with internal and external constituents, ensuring a strong reputation for the department and company.
• Represents the company at the Federal Regulatory Commission, state regulatory commissions, trade coalitions, industry associations, Regional Transmission Organization (RTO) committees, industry events and conferences, stakeholder meetings and other venues.

Manager, Regulatory Strategy

• Manage the day-to-day technical aspects of the established compliance program
• Administration of the compliance training program
• Supervision of the compliance process review program
• Work closely with employees of each business unit to foster a team approach to managing compliance risk
• Complete risk assessments and serve as a compliance resource on projects during the implementation of new products, processes, and services
• Facilitate, maintain, and enhance a comprehensive, risk-based compliance training program
• Manage the Bank’s engagements of third party compliance consultants and auditors
• Provide oversight of engagement results
• Plan and conduct compliance reviews within established timeframes
• Prepare working papers and detailed reporting of findings and recommendations
• Ensure corrective action is taken
• Submit monthly compliance department updates
• Provide technical expertise in analysis of corporate compliance risk
• Monitor new and pending changes to laws, regulations, and regulatory guidance documents

Compliance Officer III

• 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

• Act as a Liaison for the insourced Complaint Handling system.
• Review complaint reports from various sources for different products.
• Support Medical Device Reporting (MDR) evaluations
• Support CAPA administrative activities
• Participate in internal and external audits/inspections, including preparation and on-site support.
• Serve as scribe during external audits
• Assist with coordination of internal audits and GMP floor audits
• Escalate issues to Senior Compliance Specialist or Management
• Support administrative tasks for QMS meetings and documentation
• Follow GMP requirements
• Support continuous improvement initiatives to enhance product quality and compliance.
• Perform basic data analysis, including statistical trending using Excel charts/graphs.
• Learn Perrigo products, becoming knowledgeable on product failure modes and performance issues.
• Identify unique situations, high-risk complaints, or increasing trends and escalate to management.
• Work and communicate with a variety of different functional groups
• Support effective implementation of all GMP requirements and understand how it affects products/processes supported and/or owned.

Quality Compliance Specialist – Oral Care

• Monitor and interpret global chemical regulations impacting products
• Lead and support substance registrations and notifications to regulatory agencies
• Conduct regulatory reviews for new product introductions and market expansions
• Provide regulatory and sustainability support for new product introductions
• Maintain documentation to support compliance audits and customer regulatory inquiries
• Partner with business unit leaders, sourcing and procurement, R&D, manufacturing sites to manage product compliance
• Develop and support best practices for minimizing exposure to employees and the environment

Compliance Manager

• Work directly with the Head of Regulatory Reporting, assisting with reviews of regulatory reports
• Leading and collaborating on special projects related to regulatory reporting
• Complete research related to regulatory reports
• Work across segments to ensure streamlined processes and accuracy/completeness of required regulatory filings
• Collaborate with other Regulatory Reporting colleagues to ensure efficient and effective reporting
• Assist with periodic reporting processes, including but not limited to the Call Report, FR Y-9C, FR Y-14M, FR Y-14Q, FR Y-14A, FFIEC 009, FR Y-15, Basel III, and other reports as needed
• Identify, articulate, and coordinate regulatory reporting issues with Risk Management, Internal Audit and Legal
• Analyze results and provide insightful detail to management for trends and fluctuations
• Lead and participate in quality control efforts to ensure information used and reported in regulatory reports is consistent

Senior Manager, Regulatory Reporting – Special Projects

• Collaborate, build relationships and communicate requirements across the organization
• Identify and work with others within the organization to improve reporting data
• Collaborate with Regulatory Reporting colleagues to ensure efficient and effective reporting
• Ensure the maintenance of procedural documentation for the regulatory reporting process
• Analyze results and provide insightful detail to management for trends and fluctuations
• Lead and participate in quality control efforts to ensure information used and reported is consistent

Regulatory Reporting Data – Automation Manager

• Oversight of all contract compliance and audit activities
• Develop and coordinate contract monitoring performance standards
• Produce monthly status reports on contract monitoring conditions
• Work with State and Gainwell Leadership on management areas
• Train and reinforce understanding of contract compliance to new staff and leadership

Contract Compliance Manager

• Ensure full compliance with import and export laws of the countries where HOWMET ENGINES BU operates.
• Execute as a key resource to all HOWMET ENGINES Business Unit locations.
• Support management of a robust trade compliance program.
• Advise on applicable international trade regulatory and compliance matters.
• Develop and conduct training for Trade Compliance Liaisons and others at HOWMET ENGINES BU locations.
• Represent HOWMET ENGINES Business Unit Operations in dealings with external organizations.
• Provide guidance on ITAR license applications and compliance requirements.
• Conduct internal and external compliance assessments of HOWMET ENGINES Business Unit facilities.
• Monitor Service Provider relationships and performance.

Global Trade Compliance Manager

• Responsible for maintenance of current federal, state, and local business licenses for all business segments.
• Submits renewal applications in a timely manner to prevent the lapse of any license.
• Follows up closely on license renewal submissions ensuring renewal is processed.
• Remains vigilant in any changes in licensing requirements.
• Research licensing requirements for new products or additional locations.
• Interacts professionally with Executives to obtain required personal information used in the renewal and/or acquisition of new licenses.
• Maintains confidentiality of personal data and follows up annually for accuracy.
• Exceptionally organized to meet renewal dates and avoid late fees, fines, and/or penalties.
• Reports changes (change in officers, change in location, change in ownership, change in products for example) to the State Board of Pharmacy as required within the required timeframe.
• Maintains Surety Bonds and corresponds with Finance for any renewals or new bonds as it relates to Medicare and state licensing requirements.
• Collaborates with DRICs to ensure compliance and adherence to state requirements such as renewal of personal licenses and completion of State Board of Pharmacy Self-Assessments where required.
• Maintains physician license integrity to ensure license is in good standing with the state licensing board as well as OIG and SAM exclusion lists.
• Confirms PECOS enrollment as required.
• Identifies discrepancies and clearly communicates details in a timely manner.
• Serves as document control administrator for all compliance documentation which includes CHAP policies, HIPAA, Compliance, IT/Security, Business Continuity policies and their supporting work Instructions, forms, and records.
• Assists the Compliance Supervisor with patient complaints and follows up with internal parties as needed and performs investigations.
• Performs internal audits to ensure compliance with HIPAA and Compliance programs, Environmental and Safety policies, and CHAP accreditation standards.
• Conducts opening and closing meetings with leaders/process owners, prepares, and presents final audit reports, and documents findings in QA software.

Compliance Specialist

• Assures the organization remains compliant with CMS Supplier Standards, CHAP Healthcare accreditation requirements, HIPAA, and Compliance programs through performing internal audits, and assessing areas for further development
• Conducting opening and closing meetings, preparing, and presenting final audit reports, and documenting findings in QA software
• Maintains annual audit schedule and sees the schedule through to completion
• Assures all findings are addressed within 30 days and sees all findings through to completion including follow up
• Responsible for receipt and documentation of patient complaints and assures adherence to response and resolutions times
• Remains vigilant in HIPAA Privacy rules and Healthcare Compliance regulations and stays current on any changes including proposed changes to regulations
• Supervises and assists as needed with document control administration for all compliance documentation which includes HME policies for CHAP accreditation, HIPAA and Healthcare Compliance manuals, policies, and all supporting work instructions/forms/records under document control
• Coordinates with the Quality Assurance Manager to schedule quarterly Quality and Performance Improvement Reviews
• Presents to cross function audience on the topics of complaint trends, compliance trends, and satisfaction survey results
• Reviews and approves meeting Assures follow up items are addressed in a timely manner for responsible areas
• Remains vigilant in all follow up activities to assure current status and compliance
• Performs thorough and complete investigation of compliance incidents
• Gathers supporting evidence and is details in PHI exposure if any
• Documents risk assessment
• Supports the VP of Compliance and Quality by assuring reported incident details are complete by following up with department leaders
• Reviews corrective actions with VP and ensures completion and accurate documentation
• Tracks and trends compliance incident types and reports on monthly and during quarterly reviews

Compliance Supervisor

• Act as compliance liaison for assigned areas and assist with creating a culture of compliance through training, engagement and providing consistent feedback on compliance standards.
• Responsible for the identification, analysis, communication and resolution of advertising deficiencies, lead generation practices, agent conduct, and other compliance issues for assigned areas.
• Review life insurance and annuity marketing material for compliance with applicable regulations.
• Assist in the creation, implementation, and maintenance of compliance policies, procedures and educational material.
• Work with internal and external partners on vetting and implementing compliance and business initiatives.
• Participate in compliance projects, such as onboarding new technology, and serve as backup to other functions as needed.

Senior Compliance Analyst

• Enhance our relationships with regulatory personnel and other key stakeholders so that Ford is viewed with a high level of trust and integrity.
• Develop the company's policy positions and responses to proposed regulations and legislation dealing with:
• - Product Stewardship and Circular Economy, including Extended Producer Responsibility for Packaging and Traction/Propulsion Battery Recycling.
• - Vehicle and Service Chemical Substances of Concern.
• - Vehicle CO2, Criteria Emissions, and Greenhouse Gases, Mobile Source Air Toxics, and Zero Emissions Mandates.
• - EV and Charging Standards, Battery Durability/Recycling, and EV Infrastructure.
• - Fuel Specifications, and Low Carbon and Renewable Fuels.
• Forecast and communicate future regulatory requirements to support Ford’s cycle plan development.
• Provide regulatory and technical input to the company on vehicle environmental and energy issues.
• Develop and maintain deep expertise on regulations and standards related to packaging and traction battery extended producer responsibility obligations for the automotive sector, substances of concern reporting and source reduction, including PFAS.
• Work with cross functional organizations within Ford (Product Development engineering, Planning, Marketing, Legal, Government Affairs) to develop and deliver product stewardship compliance and source reduction obligations for US states.
• Facilitate technical exchanges between Ford, regulatory authorities, and other key stakeholders.
• Participate in cooperative programs with regulators, OEMs, public domain organizations, and others.

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