Compliance

• Responsible for leading and managing the most complex, sensitive, and high-impact internal investigations across the organization
• Serves as a strategic advisor and subject matter expert on investigative best practices, regulatory compliance, and risk mitigation
• Independently evaluates and assesses allegations to determine whether domestic laws, regulatory policies, or internal policies, procedures, and standards have been violated
• Plans, scopes, and conducts complex, confidential internal investigations from inception to conclusion
• Conducts, manages, and documents interviews with witnesses, as required for investigatory purposes
• Identifies risks, interprets investigation results, and recommends and communicates remedial actions to mitigate future potential risks
• Performs follow up to ensure remedial / disciplinary measures are implemented appropriately and timely
• Plans, develops, leads, and manages multiple projects, including prioritizing and managing through execution
• Maintains meticulous case files and chronologies in accordance with best practices
• Communicates directly with Federal or State regulators
• Supports the development and maintenance of Corporate Compliance policies and procedures and workflows

Principal Compliance Investigator

• Conducts patent searches to assess the novelty and patentability of computer architecture, artificial intelligence, and other computer science and computer engineering inventions.
• Conducts interviews with inventors to capture all required aspects of technologies submitted for the ORTA to make patenting recommendations.
• Collaborate with inventors and OGC to develop patent prosecution strategy.
• Works closely with OGC to prepare patent applications, including drafting specifications, drawings, and claims, and ensures technical accuracy of the subject matter in the patent applications.
• Provides technical and legal research and analysis to assist OGC in support of NGA submissions pending before the USPTO.
• Assists OGC with preparing responses to USPTO actions and docket management.
• Ensures procedures are in place to classify and maintain records.
• Interprets and enforces all documentation formatting, standards, policies, and operating procedure requirements

Intellectual Property Technical Specialist – Regulatory Policy & Intel

• Lead and support the integration of Boeing Quality Management System (QMS) principles into engineering capability team processes
• Apply knowledge of AS9100D and QMS standards to assess process maturity and identify improvement opportunities
• Lead and participate in process reviews and internal checks to ensure that audit readiness and quality standards are effectively embedded
• Lead the analysis of process performance trends, develop metrics, and evaluate the effectiveness of engineering KPIs for compliance efforts
• Lead the development and documentation of process enhancements/plans and optimization strategies to address complex challenges within engineering programs and capabilities
• Conduct benchmarking and advanced analyses to assess and improve process capability and standardization across teams
• Collaborate with cross-functional stakeholders, support leadership reviews, and facilitate workshops focused on compliance, process enhancement, and resolving recurring issues
• Prepare executive-level reports and presentations to communicate progress, findings, and planned initiatives across engineering quality and compliance efforts
• Ability to travel up to 10% of the time

Compliance and Quality Process Engineer – Experienced/Senior Level

• Responsible for the management and oversight of the data privacy compliance program to ensure compliance with applicable policies and regulations across the organization
• Represent the Privacy department in Enterprise level programs and initiatives
• Develop and maintain relationships with cross functional teams to promote a culture of privacy and compliance
• Implement standards and processes to ensure compliance with new and changing privacy regulations
• Manage, monitor and report on Enterprise Privacy vendors’ performance
• Monitor and audit privacy compliance program processes and documentation to ensure compliance with company policy and regulatory requirements
• Coordinate with other functional areas to address data privacy compliance issues and concerns that impact the business
• Coordinate investigations into data privacy and security incidents
• Develop, implement and manage corrective actions to remediate incidents of data privacy non-compliance
• Develop and maintain reporting metrics of data privacy department activities
• Conduct training on data privacy requirements and policies
• Mentor team members to improve knowledge and skillset related to data privacy program processes and requirements

Senior Manager, Privacy Compliance

• Oversee the development, implementation, and governance of risk management and compliance programs across the organization
• Lead annual Enterprise Risk Assessment program, determining risk treatment and mitigation initiatives
• Implement and maintain compliance program encompassing all JLL and client policies, procedures, and Code of Ethics
• Review Master Service Agreement (MSA), conduct gap analysis, and lead MSA change control process
• Manage internal audit program and coordinate external audit activities
• Oversee incident management process and establish risk forums and governance meetings

Risk & Compliance Director

• 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

• Monitor, evaluate, and enhance the quality and compliance of operational processes within assigned business lines
• Conduct quality reviews, identifying risks, and supporting continuous improvement efforts
• Perform quality control reviews and evaluations to ensure work meets established standards for accuracy, timeliness, and productivity
• Monitor key risk indicators (KRIs) and identify trends, control gaps, and potential compliance risks
• Document findings, quality issues, and performance results, providing clear insights for management review and decision-making
• Conduct root cause analysis on errors or defects, recommending corrective actions and process improvements
• Partner with business line teams to resolve compliance-related issues and support remediation efforts
• Assist in the development, update, and implementation of policies, procedures, and quality standards
• Support training and coaching efforts by providing feedback based on quality review observations
• Respond to audits and support regulatory readiness activities by ensuring proper documentation and process adherence
• Prepare and maintain reports on quality metrics, compliance trends, and operational performance

BL Regulatory Review Representative

• 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

• 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

• Review, finalize, and seal approved TICs in OneSite, ensuring all required documentation, approvals, and data entries are complete and accurate prior to final processing.
• Review and evaluate set-aside swaps and transfer requests to confirm program eligibility, unit designation compliance, and adherence to applicable regulatory and company requirements.
• Conduct detailed file reviews prior to submission to state agencies, investors, syndicators, or other third parties for audits, ensuring files are complete, internally consistent, and supported by required documentation.
• Coordinate and manage responses to file audits and agency reviews, including gathering documentation, tracking findings, facilitating corrections, and supporting timely resolution.
• Maintain and monitor inspection report tracking and IRS Form 8823 tracking, documenting findings, status updates, required follow-up actions, and resolution timelines for assigned properties.
• Maintain internal review timelines, workflow expectations, and quality control standards to support accurate and timely completion of compliance-related responsibilities.
• Identify, document, and track file deficiencies, communicate required corrections to site personnel, and follow through with property teams to ensure deficiencies are resolved within required timeframes.
• Maintain current income limits, rent limits, and utility allowances for assigned properties and ensure updates are reflected accurately in internal systems, reference tools, and compliance processes.
• Create, update, and maintain state-specific property information sheets to ensure key regulatory, operational, and reporting requirements are documented and readily accessible.
• Prepare new and update Affirmative Fair Housing Marketing Plans (AFHMPs) for properties, ensuring submissions are complete, current, and consistent with applicable regulatory requirements.
• Generate and distribute past due reports and other compliance monitoring reports to identify delinquent certifications, outstanding deficiencies, upcoming deadlines, and unresolved compliance issues.
• Troubleshoot OneSite issues related to compliance workflows, certifications, resident records, and reporting, and coordinate with internal teams or system support resources as needed to resolve issues.
• Prepare and assist with implementation of corrective action plans in partnership with Compliance Managers, site staff, and Regional Managers to address audit findings, inspection deficiencies, operational gaps, or recurring compliance concerns.
• Maintain and update centralized tracking systems for all properties, including but not limited to compliance calendars, audit logs, inspection logs, deficiency trackers, and reporting schedules.
• Manage the preparation, review, and submission of Tax Credit and HOME reports to syndicators, investors, and state agencies, ensuring completeness, accuracy, and adherence to submission deadlines.
• Manage the preparation, review, and submission of monthly and quarterly bond reporting, ensuring all reporting requirements are met in accordance with program guidelines and internal deadlines.
• Manage preparation and submission of monthly occupancy reports and Exhibit Z submissions, ensuring data integrity and timely completion.
• Review and manage screening cancellations in OneSite in accordance with company procedures and compliance requirements.
• Administer OneSite and LMS user management, including user setup, access changes, deactivation requests, and maintenance of appropriate system permissions.
• Prepare Resident Selection Criteria for new properties, ensuring documents align with program requirements, property-specific operations, and Fairway Management Company standards.
• Provide ongoing support to the Compliance Manager and corporate compliance team on special projects, regulatory changes, policy updates, training initiatives, and other compliance-related assignments as needed.
• Communicate professionally and effectively with site teams, Regional Managers, and other internal and external stakeholders regarding compliance matters, deadlines, required corrections, and reporting obligations.
• Exercise a high degree of confidentiality, discretion, and professionalism in handling resident information, regulatory documents, and sensitive operational matters.
• Other duties as assigned.

Compliance Specialist

• Report to the Global Head of Personal Account Dealing and collaborate across PAD and ECO functions.
• Maintain an accurate PAD subject population and related coverage by overseeing the attributes and logic that support PAD controls and system outcomes, including annual attestation and trade restriction controls.
• Lead enhancements to PAD applications and processes, including annual attestation, PAD onboarding, and post-trade review, by partnering with Technology and stakeholders to turn control needs into clear requirements and sustainable solutions.
• Lead the annual attestation process for PAD-covered employees, including communications, tracking, and risk-based escalation.
• Support quarterly WFC Trade Freeze population verification and employee notification activities to help ensure restrictions are applied correctly and controls remain effective.
• Serve as a Managerial Oversight Activity delegate for key PAD processes, with responsibility for appropriate governance, controls, and issue management.
• Communicate complex and sensitive compliance matters with professionalism, sound judgment, and tact, including direct engagement with senior executives and Operating Committee members.
• Provide coaching and support to PAD Team peers to ensure consistency and knowledge sharing.
• Develop and maintain internal documentation, including emails, FAQs, training materials, and guidance, to support clear, consistent, and professional communication.
• Collaborate with peers, managers, and business partners to resolve issues and achieve business objectives.
• Identify and recommend opportunities to strengthen processes and enhance risk controls.
• Exercise independent judgment while developing expertise in function-specific policies and compliance requirements.
• Maintain strong partnerships with line-of-business Compliance, Front Line, Legal, and Control teams.

Lead Compliance Officer – PAD

• 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

• Talking to new carriers and assisting with the set up process.
• Working closely with other administrative, support team and operational offices, including Agents.
• Assisting with investigating risk concerns for the company and vetting carriers in the database to protect the company.
• Providing top-notch service as a crucial gatekeeper for carrier vetting and legitimacy for hauling freight.

• Lead end-to-end third-party risk management (TPRM) lifecycle: Due diligence and onboarding, Risk tiering and assessments, Contractual risk controls, Ongoing monitoring and offboarding
• Manage a team of risk analysts who: Evaluate risks associated with vendors, partners, and outsourced services, including financial, operational, compliance, and reputational risks, Conduct risk management for external websites and mobile applications, Support additional risk assessments as required
• Partner with other corporate teams to: Review security controls, vulnerabilities, and penetration testing results, Ensure data protection, privacy, and resilience standards are met, Drive a strong risk culture, ensuring accountability across first, second, and third lines of defense
• Mature and improve the program: Integrate third-party risk into broader enterprise risk and operational risk frameworks, Distribute assessment assignments and monitor progress to ensure SLAs are met across all risk levels, Support quality assurance by reviewing assessment documentation and identifying areas for process improvement, Track team metrics, backlog status, and stakeholder engagement levels for reporting, Lead team standups and serve as the primary point of contact for operational blockers or intake escalations, Identify opportunities for efficiency improvements, automation, and stakeholder engagement enhancements

Director of GRC Operational Risk Management

• Personally lead and execute compliance engagements for clients
• Serve as the primary hands-on point of contact for client compliance work
• Conduct gap analyses, readiness assessments, and risk reviews directly with clients
• Develop, write, and maintain client-facing policies, procedures, and control documentation
• Help build and continuously refine Cyber74's internal compliance frameworks
• Mentor and guide junior compliance staff
• Collaborate with internal security engineers and vCISO team members
• Track regulatory and framework updates
• Support business development by contributing to proposals and client presentations

Compliance Team Lead

• Provide the authoritative EVMS voice that keeps programs on track, compliant, and ready for government oversight
• Influence high-value program decisions through deep earned value analysis and practical recommendations
• Mentor and uplift EVMS capability, creating repeatable practices that scale across the enterprise
• Responsible for the implementation & execution of EVMS policies and practices
• Supports internal and external surveillance, audits and reviews
• Responsible for the development, implementation, training, and maintenance of EVMS processes and tools
• Responsible for supporting EVMS talent development, performance management, and business strategy
• Supports programs in operational decisions and provides advice on enhancing project performance

Earned Value Compliance Analyst – Subject Matter Expert

• Implement and execute EVMS policies and practices
• Support internal and external surveillance, audits, and reviews
• Develop, implement, train, and maintain EVMS processes and tools
• Support EVMS talent development, performance management, and business strategy
• Provide advice on enhancing performance of the portfolio of projects
• Align material management and manufacturing practices with scheduling and EVMS best practices
• Develop advanced concepts, techniques, solutions, and standards utilizing expert domain knowledge
• Interact with senior executive leadership regarding strategic matters

Earned Value Compliance Analyst, Experienced/Senior

• Provide professional environmental compliance expertise for U.S. operations
• Ensure effective environmental compliance programs for external regulatory requirements
• Provide governance and oversight to ensure U.S. sites maintain compliance with environmental permits
• Collaborate closely with internal stakeholders on U.S. environmental regulatory matters

US Environmental Compliance Manager

• responsible for receipt and coordination of CMS MA-PD and PDP escalated complaints
• submission of member and marketing materials to CMS for HCSC’s Medicare Advantage and Prescription Drug Plans
• applying CMS regulations pertaining to Medicare Advantage and Prescription Drug Plans to the review of member and marketing materials prior to submission to CMS
• providing assistance and guidance regarding Medicare Advantage and Prescription Drug Plan regulations to HISC staff
• working with other areas of the organization on the development, testing and implementation of organization, process and system changes to ensure the requirements of the Medicare Advantage and Prescription Drug program are met
• assisting MCO in coordination of the contract with CMS enterprise-wide

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