Compliance

• 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.

SME Vehicle Environmental Regulatory Planning

• 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

• Support governance, risk, and compliance (GRC) activities by assisting with cybersecurity framework implementation and regulatory compliance efforts.
• Gain familiarity with GRC frameworks such as NIST CSF, ISO 27001, and COBIT, and help ensure technical and administrative controls align with audit and regulatory requirements.
• Assist in maintaining compliance with regulatory standards including SOX, HIPAA, SOC 2, GDPR, and PCI-DSS, while staying informed about evolving cybersecurity laws and obligations.
• Participate in internal and external audits by coordinating evidence collection, tracking remediation efforts, and supporting readiness for SOC 2, SOX ITGC, and HIPAA assessments.
• Collaborate with cross-functional teams to support security initiatives and communicate effectively with both technical and non-technical stakeholders.

Governance, Risk & Compliance Analyst

• Command the end-to-end response strategy for annual client security assessments; direct the preparation and multi-day presentation of complex technical evidence to sophisticated enterprise partners.
• Own the successful execution, maintenance, and scope validation of core compliance frameworks, including PCI-DSS, ISO 27001, SOC2 Type II, and TISAX.
• Partner with the Legal and Strategic Procurement teams to draft, review, and negotiate security exhibits within client and vendor contracts, ensuring committed promises align directly with technical capabilities.
• Develop, implement, and enforce a comprehensive library of corporate security policies that satisfy global standards while remaining functional and frictionless for a software-driven enterprise.
• Monitor global regulatory environments (e.g., CCPA/CPRA, GDPR, and emerging automotive cybersecurity mandates); collaborate with Privacy Owners to design underlying cyber strategies, documentation, and procedures.
• Direct the modernization of the GRC infrastructure by maximizing the ROI of continuous monitoring platforms and deploying/tuning Generative AI tools to automate high-volume compliance workflows.
• Serve as a core member of the Cybersecurity leadership team, collaborating with Product and Engineering leads to ensure security and legal requirements are embedded natively into the product development lifecycle.
• Directly manage, mentor, and evaluate the performance of GRC team professionals, aligning resource allocation with the organization's audit pipeline and strategic deadlines.

Senior Manager, Governance Risk and Compliance

• 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

• Develop and review financial models for CLO’s and related transactions
• Configure models based on documentation specifications
• Maintain automated processes that streamline functionality
• Partner with the Relationship Managers to ensure the modeling & resulting data match client expectations
• Build templates that generate the monthly compliance and quarterly waterfall reports
• Provide continuous maintenance and support of both deal modeling and reporting
• Identify and communicate any potential gaps with current systems and processes

Compliance Modeling Analyst – CLO

• Transform complex regulatory data into clear, actionable reports for executive leadership
• Streamlining processes with innovative automation solutions
• Deliver actionable insights and executive-level reporting that drive strategic decision-making
• Assisting the team toward delivering excellence to our stakeholders
• Ensuring smooth daily operations while contributing to the long-term success of our process strategies
• Managing workload including new implementations and ongoing support of the organization to ensure accuracy and compliance
• Providing exemplary customer service in all encounters

Associate Specialist – Regulatory Affairs

• Compile and distribute required defect reporting to regulatory agencies for emission related vehicle components
• Analyze warranty data for relevant components trending upward toward or above the regulatory reporting thresholds
• Utilize predictive modeling to identify and define where components maybe affecting emissions warranty and reporting obligations
• Work cross functionally to investigate, monitor, document, and report any discovered emission related defects
• Draft recall and campaign notification together with Quality and Service department and publish to the regulatory agencies
• Ensures defect reports and recall documents are in compliance with external regulations and internal standards
• Ensure data is complete and accurate per the regulatory requirements
• Interprets and evaluates proposed regulations and advises management on impact to the organization regarding Warranty and Aftermarket Parts requirements
• Implements and audits processes to ensure compliance with applicable regulations and internal standards
• Evaluate Aftermarket parts relevance for emissions together with responsible component engineers
• Provide advice to development and/or marketing teams on product changes, quality testing requirements, product labelling, literature, and advertising
• Document and track Aftermarket parts decisions regarding development and validation
• Prepare and submit certification documentation as needed for Aftermarket parts

Product Regulatory Affairs Engineer I

• Investigate, coordinate, and execute defect reporting as required by government agencies
• Monitor and investigate new complaints of possible emissions defects
• Follow up on defect investigations by tracking and documenting the progress
• Provide management with decision material for the topic
• Give regular updates in technical reviews regarding any potential defect reports
• Compile required documentation for submission to government agencies
• Support Product Integrity in evaluating new and existing emissions relevant Aftermarket Parts
• Provide regulatory guidance, defining and reviewing testing requirements, and documenting part release decisions
• Ensure evaluations are managed cross-functionally, compliance evaluation processes are followed, and documentation is created and stored

Product Regulatory Affairs Engineer – Entry Level

• Lead the end-to-end transaction infrastructure across consumer and fleet sales
• Ensure all contracts, funding, title, and registration processes are executed accurately, compliantly, and at scale
• Own the full contract lifecycle across all consumer and fleet transaction types
• Oversee contract generation, execution, and storage across consumer and fleet channels
• Ensure accuracy across pricing, taxes, incentives, and financing terms
• Align contracts with Financial Services offerings, lender requirements, and funding structures
• Establish approval workflows for non-standard deals and exceptions
• Maintain version control and auditability of all executed agreements
• Partner with Legal to ensure state-by-state compliance across consumer and fleet transactions
• Lead all vehicle registration processes across consumer and fleet transactions
• Own registration workflows across consumer and fleet transactions
• Ensure accurate calculation and collection of state and local taxes and fees
• Manage temporary registration issuance and expiration tracking
• Oversee third-party registration partners and enforce SLAs
• Maintain compliance with state-by-state requirements and evolving regulations
• Oversee all title processing for both customer-owned and internally managed vehicles
• Manage end-to-end title lifecycle from submission through completion
• Ensure accuracy across VIN, ownership, lienholder, and documentation
• Support both retail and internal/fleet vehicle titling
• Track status and resolve exceptions proactively
• Ensure compliance with all state titling requirements
• Own the enablement and operational readiness of system partners supporting transaction and registration workflows
• Identify, onboard, and enable system partners supporting contracting, registration, and compliance workflows
• Ensure system partners are aligned on transaction requirements, compliance standards, and regulatory obligations
• Manage integration readiness between partner platforms and internal transaction and registration systems
• Establish and enforce SLAs, performance standards, and escalation paths for system partners
• Drive continuous improvement across partner system performance, accuracy, and compliance adherence
• Partner with Digital and IT to ensure system connectivity and data integrity across transaction and registration platforms
• Serve as the primary point of accountability for system partner compliance and operational readiness
• Establish and enforce a robust control environment across all transaction processes
• Design and implement controls across contracts, funding, title, and registration workflows
• Ensure compliance with state-by-state sales licensing, tax, registration, and financing requirements
• Own risk assessment frameworks and high-risk transaction review processes
• Establish audit processes and ensure audit readiness across all transaction activities
• Lead sales reconciliation and ensure alignment with Finance, Accounting, and Tax
• Drive process accuracy, reducing errors, rework, and compliance risk
• Partner closely with Financial Services to ensure seamless integration of financing and funding into the transaction lifecycle

Head of Transaction Operations – Compliance

• 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

• Develop and execute regulatory plans for complex projects including new projects and maintenance of licenses and reaccreditation for existing and new business opportunities
• Manage contracts and track performance to contractual requirements, provide consultation to other departments on requirements and escalate gaps as necessary
• Develop procedures and reports to monitor contractually required deliverables, including but not limited to, regulatory reports and performance metrics
• Review complex laws and regulations and provide guidance to other departments to ensure processes are in compliance
• Conduct HIPAA compliance audits and provide summary of outcomes and recommendations for improvement
• Perform gap analysis to current contract requirements and policies/procedures and offer recommendations to close gaps
• Monitor applicable regulatory requirements to ensure compliance with company and external standards
• Communicate with regulators as needed to seek clarification on contract requirements, regulations, processes or documents submitted for approval

Manager, Regulatory Affairs

• The Senior GRC Analyst acts as a strategic lead to advance security and risk operations
• Integrate people, policy, and technology to drive operational excellence and framework maturity
• Identify security gaps, implement best practices, and mature the control environment to ensure we stay ahead of evolving regulatory and threat landscapes
• Build an AI-first compliance function
• Lead from the front in identifying and deploying AI tools that scale the GRC program

Senior GRC Analyst

• Responsible for achieving compliance with NERC and other applicable planning requirements.
• Manages planning compliance program.
• Develops of practices, policies and procedures for planning functions and applies same.
• Sets clear guidelines and expectations for area including developing and being accountable for, a yearly workplan.
• Assists company regulatory and financial representatives with technical/engineering consultation.
• Generates and/or oversees the submittal of internal and external reports and data requests on various facets of transmission system planning.
• Actively participates in setting and modification of compliance and other standards or requirements related to planning.

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