Compliance

• Provide compliance oversight, guidance, and challenge across Deposit Product and/or Backoffice Operations.
• Serve as primary compliance support for assigned business lines, providing oversight and independent challenge on business activities and initiatives with regulatory impact.
• Complete change risk assessments and related questionnaires for new business initiatives, performing review and challenge of inherent regulatory risks, mitigations, and outlining conditions to launch; as well as presentation to executives for approval.
• Serve as a compliance advisor to business partners through regular meetings and process reviews.
• Manage and track compliance-related issues, ensuring timely resolution and regulatory alignment.
• Lead regulatory change management efforts for new and updated state laws, ensuring effective business adoption and compliance.
• Monitor regulatory complaints, business reports, and key risk indicators to identify trends, gaps, and potential compliance risks.
• Review and validate first-line testing to ensure gaps are addressed and aligned with regulatory expectations.
• Collaborate with cross-functional teams to strengthen the compliance framework and reduce risk exposure.

Compliance Business Oversight Manager

• Serve as the primary point of accountability for cyber and compliance risk within assigned business domains, ensuring risks are clearly understood, prioritized, and owned by the business.
• Provide an integrated view of risk across IT, OT, cloud, engineering, suppliers, and regulatory environments, and guide informed decision-making.
• Partner with business leaders to embed cybersecurity into strategies, programs, and major initiatives, aligning security requirements with business objectives.
• Translate enterprise cybersecurity strategy, standards, and roadmaps into actionable, business-relevant plans.
• Lead governance activities including risk reviews, compliance readiness discussions, and program touchpoints, ensuring follow-through on mitigation actions and risk decisions.
• Support audit and regulatory readiness by identifying control gaps, coordinating remediation, and ensuring required documentation is complete and accurate.
• Communicate cyber risks, policies, and changes in clear, business-friendly terms; build strong cross-functional relationships to influence outcomes.
• Define and track key performance indicators, identify trends, and drive continuous improvement in cyber posture in partnership with technical teams.
• Promote a culture of security, accountability, and operational excellence aligned with RTX CORE principles.

Cyber and Compliance Leader

• Responsible for promoting compliance with regulatory requirements with Healthfirst's different departments
• Meets with the Regulatory department to organize pre-survey deliverables and conduct reviews of materials
• Interacts with and represents the business unit
• Responds to auditor requests and audits outcome results
• Identifies organizational risks and helps implement process improvements
• Manages, coordinates, and participates in the implementation of contract changes for all lines of business
• Ensures that all process and contract changes are reflected in departmental policies and procedures
• Monitors all Utilization Management/Care Management/Appeals & Grievances corrective action plans (CAPs) through completion
• Assists in accreditation submissions, regulatory surveys, and internal audits
• Provides support to Pharmacy Department related to regulatory implementation efforts

Regulatory Specialist

• Support the design and implementation of scalable, repeatable compliance and risk assessment workflows, including intake, escalation, documentation, and follow-up.
• Implement and maintain a broad range of compliance policies and procedures
• Proactively monitor and research relevant laws, regulations, and industry standards elevant to the fintech industry and the regulated sectors our clients operate in, including AI, data privacy, KYC/AML and international expansion, to continuously refine processes as the regulatory landscape evolves
• Conduct compliance risk assessments and audits
• Develop and deliver compliance training programs to employees to reinforce a strong culture of compliance and understanding of relevant regulations and internal policies
• Identify and implement opportunities to leverage AI and automation tools to streamline compliance tracking and reduce manual overhead
• Partner closely with cross-functional teams, including Product, Engineering, Sales, and Legal, so that compliance considerations are seamlessly integrated into all aspects of the business lifecycle
• Build dashboards and prepare recurring reports for leadership on program health and key initiatives.
• Collaborate with legal team members to update privacy policies, contractual terms, and data processing agreements as needed

Compliance Analyst

• Oversee and develop team(s) of specialists and/or managers conducting independent Compliance testing to meet regulatory and internal requirements
• Provide guidance, leadership, coaching, and development to achieve desired operational results and professional/personal development objectives for the overall group
• Responsible for the timely execution of the Compliance testing plan
• Typically deal with senior/executive management in communicating Compliance testing results
• Leverage deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends
• Provides guidance and clarity around priorities and goals for Compliance testing program and work with managers to ensure the goals cascade to all workers
• Manage and prioritize the team to deliver on multiple reviews and projects at a given time

Senior Manager, Compliance Testing

• Planning and overseeing independent Compliance testing
• Providing subject matter expertise on Compliance controls/processes
• Executing independent testing as applicable
• Leading all phases of assigned testing or validation engagement

Compliance Testing Manager – Wealth

• Provide compliance support to Complex Controls Chief for the Greater New York Complex
• Review and investigate actions that trigger flags in various review systems
• Conduct annual financial advisor compliance interviews/audits, including inspection of business practices and registered location
• Assist in training, education of financial advisors
• Prepare for regulatory and internal audits

Senior Branch Compliance Manager

• Own and strengthen our controls environment, ensuring compliance requirements are effectively implemented and maintained.
• Support and mature our GRC program, including SOC 2 operations and alignment with broader security frameworks such as NIST.
• Build and maintain our Business Continuity and Disaster Recovery program, including BIAs, continuity plans, and recovery runbooks.
• Conduct vendor and third-party risk assessments as we expand our global network of partners.
• Support MiCA licensing and U.S. Money Transmitter License applications through due diligence, regulatory responses, and compliance reporting.
• Manage the security issue lifecycle, driving remediation efforts and partnering with teams to reduce risk.
• Help standardize policies, controls, and compliance processes that can scale across jurisdictions and regulatory frameworks.

GRC Analyst

• Ensures compliance with state and federal guidelines
• Provides legal and regulatory research
• Evaluates processes, procedures, systems, and correspondence
• Responds to compliance-related questions
• Documents findings and presents recommendations

Compliance Analyst II

• Develop, implement, and coordinate the Compliance Oversight program
• Evaluate program design elements, analyze Risk Owner testing and monitoring routines
• Collaborate with colleagues globally to evaluate and coordinate with Risk Owners
• Monitor and communicate program effectiveness to stakeholders and senior management

Senior Compliance Officer – Compliance Oversight Program

• Serve as a credible authority and partner to senior business leadership, providing expert advice on business strategy, including the transformation of core operating systems.
• Oversee the development and execution of the CMP, ensuring all components are operating effectively to identify and mitigate risks.
• Manage the evolution of the compliance risk management function by challenging the adequacy of controls and facilitating comprehensive corrective actions for process breakdowns.
• Actively promote a culture of compliance risk management and balanced risk taking, while ensuring appropriate monitoring is in place to identify process breakdowns and facilitating comprehensive corrective action.
• Maintain deep subject matter expertise in relevant laws and regulations and monitor emerging consumer protection trends and regulatory changes, domestically and internationally.
• Build strong partnerships with Shopping leadership teams and with internal risk advisors (Legal, Privacy, Risk Management and others) to facilitate well-managed growth of Shopping domestically and internationally.
• As necessary, represent the organization in engagements with external regulators such as the CFPB, OCC, and FRB.
• Report compliance results and the state of the risk agenda to senior management and the Board of Directors as appropriate.
• Display a high degree of emotional intelligence, foster good team dynamics, respond effectively to address employee concerns, and maximize the potential of team members.

Director, Compliance Advisor

• Conduct a Compliance risk analysis at least twice a year to identify potential topics to review.
• Work with both the US Head of Compliance and his team, the Corporate Compliance Testing unit in Madrid, and Non-Financial Risk to develop the annual Compliance Testing review plan. Submit the plan to appropriate levels of Management for approval.
• Conduct Compliance Testing reviews in accordance with the plan and supervise the team member reviews (i.e. document test results in testing templates, draft test reports, report findings to management, support the definition of management actions plans with stakeholders to address findings, etc.)
• Provide timely information on his or her activities to the appropriate levels of the organization.
• He or she will be accountable for the reviews performed and those of the team members in the unit. To this end, he or she will oversee the reports to be submitted to the Global Compliance Testing Committee.
• Follow up on action plans resulting from Compliance Testing reviews, tracking committed deadlines and raising and escalating any delays.
• Identify opportunities and propose continuous improvement ideas for the Compliance Testing function.
• Lead the US Compliance Testing team to achieve the objectives of the function.
• Manage and, as applicable, respond to both internal and external requests and inquiries in coordination with the hierarchy and other team members of US or Corporate Compliance function. This includes requests or inquiries from regulatory authorities.

Compliance Testing Executive Director

• Act as strategic thought partner embedded within an assigned MRS line of business
• Assess and provide proposed solutions for complex operational, regulatory, and policy issues
• Build strategic relationships with senior leaders across FINRA and external stakeholders
• Lead enterprise-critical special projects and cross-functional initiatives
• Develop executive-level reporting and strategic analysis using data analytics
• Conduct strategic organizational assessments to drive operational excellence
• Partner with MRS leadership on strategic planning and governance frameworks
• Oversee development and maintenance of departmental procedures
• Direct MRS regulatory compliance strategy
• Collaborate both in-person and virtually in furtherance of FINRA’s mission

Strategic Advisor, Market and Regulatory Services

• The Senior Compliance Officer – Home Lending Originations serves as the corporate compliance subject matter expert.
• Partner with other members of the second line of defense and the Home Lending line of business to identify risks.
• Develop and execute assessments, provide guidance on control and testing design and execution.
• Advise on and monitor findings and associated remediation activities.
• Participate in assigned business initiatives (i.e., new product development).
• Provide regulatory guidance and advice to Home Lending partners regarding updates and amendments to state and federal mortgage origination laws.
• Lead a strong and effective collaborative culture, responsible for partnering with various risk disciplines.
• Assist in the development and maintenance of effective compliance policies, procedures and processes.
• Address regulatory actions and other issue remediation efforts, following up and monitoring until satisfactory resolution is obtained.
• Identify, respond to and/or escalate risks as appropriate.

Senior Compliance Officer – Home Lending Originations

• Overall activities include handling of internal and external customer compliance trade requests, processing of documentation related to US imports, free trade agreement solicitation and analysis and other trade compliance related matters
• Analyze opportunities for, and assist with, submission of Section 301 exclusions
• Provide support on other trade remedies such as Antidumping and Countervailing duties, Section 201, Section 232
• Evaluate qualification for Free Trade Act, Country of Origin/Sourcing analysis (Substantial Transformation)
• Research complex problems involving HTS classification, assists, country of origin, marking, and valuation
• Manage inquiries from US Customs, including CBP Forms 28 & 29
• Execute and oversee Post Summary Corrections, including Prior Disclosures
• Review opportunities for duty minimization (tariff engineering, FTZ, CBMA etc)
• Conduct training, risk assessments and internal audits
• Administer & file duty drawback claims
• Development of Supply Chain Safety programs, such as C-TPAT and ongoing support of C-TPAT initiatives to maintain C-TPAT approval
• Monitor proposed changes in customs/trade regulations and assess the impact of these proposed changes
• Drive improvements and efficiencies of established Trade processes
• Support compliance audits & liaison between FTZ consultants, trade attorneys upon request

Global Trade Compliance Consultant

• Delivers compliant, risk-based solutions that help the organization achieve its goals
• Independently influences internal business partners regarding the programs supported
• Drives and executes against compliance strategies and roadmaps
• Advises and engages in complex compliance matters
• Analyzes complaint themes and actions appropriately
• Champions compliance programs and educates business partners
• Applies strategic thinking to develop appropriate solutions to mitigate regulatory risks

Compliance Consultant

• Own and manage the licensing portfolio, including tracking deadlines, coordinating state renewals (lending, money transmission, and related licenses), preparing filings and reports, and maintaining accurate licensing records
• Lead audit readiness and support internal and external audits and regulatory examinations, including organizing documentation, responding to auditor requests, and tracking findings and remediation
• Maintain and continuously improve the compliance management system (CMS), including policies, procedures, training logs, risk assessments, and monitoring and testing programs
• Conduct and oversee third-party vendor risk assessments and ensure ongoing monitoring meets regulatory standards and internal policy requirements
• Review and approve customer-facing materials and marketing collateral for compliance accuracy, required disclosures, and alignment with UDAAP principles
• Assist with ad hoc compliance requests from our Partner Bank and serve as an effective point of contact for Partner Bank stakeholders on compliance matters
• Monitor regulatory updates and communicate key changes and compliance implications to relevant internal stakeholders
• Provide practical compliance guidance to Product, Marketing, and Operations on new initiatives and cross-functional projects

Senior Compliance Analyst

• Utilize subject matter expertise, provide advice and effective challenge on compliance risks impacting network and merchant businesses
• Develop expert-level understanding of network and merchant business processes
• Analyze business processes and determine applicability of laws and regulations based on Capital One’s global legal inventory
• Proactively identify trends in business data and demonstrate appreciation of network payments compliance risks
• Maintain subject matter expertise in the broader payments industry and applicable laws, rules, and regulations
• Collaborate with functions to analyze existing risk management program framework
• Ensure ongoing application of compliance requirements to business expansions and new products
• Develop strong relationships with Business Risk, Legal, and Audit peers

Senior Manager, Network Compliance

• Collaborate with first and second line functions to analyze the risk management framework for network and merchant services
• Provide expert advice and effective challenge on compliance risks impacting network and merchant businesses
• Advise business leaders on regulatory requirements and provide guidance on policies, standards, and procedures
• Develop expert-level understanding of global network and merchant business processes
• Proactively identify trends in business data and emerging external network payments compliance risks
• Maintain subject matter expertise in the broader payments industry and applicable global laws and regulations
• Ensure ongoing application of compliance requirements to business expansions and new products
• Provide effective challenge during network-dependent product planning to ensure necessary compliance controls are in place
• Conduct impact assessments on new network-related regulations to ensure strategic adjustments comply with Network Conflict guardrails
• Develop strong relationships with Business Risk, Legal, and Audit peers for ongoing network compliance integration
• Display a passion for coaching and developing others through leadership style
• Support regulatory exam and engagement preparation and delivery
• Manage, develop, and coach a Compliance Advisory Team
• Participate in reporting activities to senior leadership in the business and Risk Management

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