Compliance

• Design and implement Cisco’s Ethics and Compliance Program
• Ensure compliance with global anti-fraud and anti-corruption laws, regulations, and Cisco’s Code of Business Conduct
• Drive cross-functional initiatives and change
• Scale E&C Program operations through automation and AI
• Develop dashboards, analyze metrics, identify trends, risk areas, and strategic priorities
• Maintain audit-ready program documentation
• Build and maintain strong, collaborative relationships with stakeholders

Compliance Specialist – Ethics & Compliance

• Support the administration of Continuing Professional Education (CPE) compliance activities in alignment with NASBA, state board regulations, and other applicable standards
• Coordinate and help maintain CPE compliance processes, procedures, and communications to drive regulatory adherence and improve the associate experience
• Maintain accurate and up-to-date learning and compliance records within learning management systems and tracking tools
• Assist with CPE audits, reporting, and documentation to support internal and external regulatory requirements
• Partner with internal stakeholders across HR, talent, and service lines to ensure timely and accurate completion of CPE requirements
• Monitor compliance data and identify discrepancies, ensuring timely resolution and follow-up
• Contribute to process improvements and enhancements to increase efficiency, accuracy, and user experience
• Support regulatory readiness efforts, including documentation preparation and audit response coordination

Senior CPE Compliance Coordinator

• Drives quality excellence at Verily by owning one or more Quality Assurance domains and leading strategic QA initiatives
• Responsible for designing and advancing robust quality systems
• Ensures that products are developed, commercialized, and sustained to the highest standards of quality
• Analyzes quality metrics and performance data to identify trends and implement effective corrective actions
• Partners with engineering and product teams to embed quality practices into development workflows

Quality Systems and Compliance Lead

• Support multiple client assignments under the direction of senior managers and client stakeholders.
• Tailor, format, and maintain client policies using established templates (e.g., ISO/NIST).
• Drive annual review cycles: reminders, tracking, and sign‑off capture.
• Perform initial control mapping (e.g., policy → ISO 27001, NIST CSF/800‑53, CMMC) for senior review.
• Run and manage imports of GRC core data for example Employee / contactor tables, Asset tables, Exception tables.
• Coordinate vendor outreach, send questionnaires (e.g., SIG Lite, CAIQ), and follow up to closure.
• Execute monthly evidence hunts aligned to frameworks (ISO 27001, SOC 2).
• Produce weekly SLA reports (e.g., criticals > 14 days), open/route tickets, and track resolution.
• Prepare clean user lists for access reviews; highlight anomalies and terminations.
• Collaborate on agent design/tuning for: email drafting, evidence triage, tone/sentiment analysis, and process orchestration.

Junior GRC Analyst, Student Associate

• Maintains regulatory documentation and filing systems in support of the Biopharma North America regulatory team.
• Performs updates, facilitate SME reviews, and ensure proper hard copy and electronic filing of Regulatory Submission Documents (RSDs).
• Assist in maintaining SOPs/IBPs that describe the Regulatory Affairs filing system and other RA SOPs/IBPs files and maintenance.
• Manage requests for translations and legalizations with vendors.
• Respond to requests for records by researching and reviewing internal documentation.

Regulatory Documentation Specialist I

• Ensuring compliance with regulatory requirements for promotional and non-promotional materials
• Leading discussions for assigned products during the Promotional Material Review Team (PMRT)
• Supporting interactions with regulatory authorities
• Preparing regulatory submissions for promotional materials
• Developing and delivering training programs on promotional regulations
• Monitoring enforcement actions and industry trends

Associate Director, Global Regulatory Advertising and Promotion

• 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

• Works as an audit subject matter expert and may coach and educate others
• Oversees and/or independently performs audits from end-to-end
• Conducts audit work based on established audit plans and executes the audit in accordance with established standards
• Presents objective and independent audit opinion on the adequacy of internal controls

Audit Compliance Manager

• Provide strategic leadership and oversight for Aqua’s enterprise Compliance Testing and Monitoring program
• Develop and maintain strategic and risk‑based compliance testing plans
• Lead the design, build, and implementation of automated and semi‑automated compliance testing and reporting solutions

Vice President, Enterprise Compliance Testing

• Partners with their assigned Line of Business, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers to create, implement, maintain, review or oversee an effective risk management framework.
• Participates in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations.
• Identifies gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors.
• Identifies, responds and/or escalates risks as appropriate.
• Serves as a functional liaison between the Line of Business and the Lines of Defense.
• Review potential policy violations
• Review and resolution of customer complaints
• Back up reporting as well as other team related tasks.

Compliance Representative

• Researching and supporting complex utility damage claims.
• Handling regulatory inquiries and compliance investigations.
• Auditing damage investigations and performing root cause analysis.
• Responding to regulatory compliance inquiries.
• Developing defensible documentation for claims.
• Collaborating with operations, customers, regulatory agencies, utility owners, contractors, and industry organizations.

Claims/Regulatory Analyst

• Provide compliance oversight for Retail Branch, Contact Center, and Marketing distribution channels
• Complete change risk assessments and related questionnaires for new business initiatives
• Serve as compliance advisor to business partners through meetings and process reviews
• Manage and track compliance-related issues, ensuring regulatory alignment
• Lead regulatory change management efforts for new and updated state laws
• Monitor regulatory complaints, business reports, and key risk indicators
• Collaborate with cross-functional teams to strengthen the compliance framework

Compliance Business Oversight Manager – Consumer Banking

• Serves as a product compliance risk officer within Services Independent Compliance Risk Management (ICRM) organization with primary focus on US Antiboycott compliance and responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise
• Engages with the ICRM product and function coverage teams, in order to partner to develop and apply Compliance Risk Management program solutions that meet the US Antiboycott requirements and customer needs in a manner consistent with the Citi program framework
• Core responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to operations, financial requirements, and guidance on the supported function/business/product and the associated regulatory rules/laws and interpretation on internal policies and procedures
• Develop, implement, and maintain internal strategies, policies, procedures, and training programs to ensure compliance with all applicable US Antiboycott requirements
• Serve as a subject matter expert on US Antiboycott matters, providing real-time, advice and guidance to business units, product and function ICRM, and other stakeholders on the applicability and compliance with the US Antiboycott requirements
• Analyzing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact
• Advising ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge
• Participating in industry groups and trade association working groups or other forums
• Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements
• Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit
• Designing and lead compliance and control reviews
• Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency

Regulatory Compliance Manager – US Antiboycott

• Monitors legal entity and business unit activity to ensure compliance with laws, regulations, and internal procedures
• May also prepare and review compliance reports for management
• May provide guidance and direction to less experienced analysts

Capital Markets Compliance Analyst – Municipal Securities

• Serve as an enterprise-wide subject matter expert on regulatory capital and reporting policy
• Interpret, implement, and advise on Basel 3 capital adequacy rules and regulatory reporting requirements
• Ensure compliance with evolving regulatory frameworks and support internal control programs
• Provide fully informed guidance to leaders across Finance, Risk, and Business Units
• Research and interpret complex transactions
• Draft and maintain regulatory capital and reporting policies, standards, and procedures
• Track regulatory developments from the FRB and FDIC
• Support Enterprise Risk Management in identifying and mitigating regulatory capital and reporting risks
• Collaborate with business units and cross-functional teams to complete tasks

Regulatory Capital Interpretive Associate Director

• communicate effective compliance programs to identify and prevent illegal, unethical, or improper business practices
• coach and mentor junior staff and raise issues to senior team members
• support key business initiatives by analyzing and drawing conclusions from data
• provide resolutions to manage and mitigate compliance risks
• identify compliance impact on marketing materials, sales programs, and product development
• review compliance reports to identify deeper issues and common themes
• implement new/enhanced reports to ensure compliance with regulatory requirements

Compliance Program Advisor

• Report to the Director, Trade Compliance and is responsible for trade compliance of assigned Husqvarna business unit(s).
• Oversee all trade compliance aspects of borders crossing inbound and outbound shipments.
• Drive business results through compliance and collaboration with functional leaders and teams.
• Develop and implement tools and processes for continuous improvement.
• Assist related sites with day-to-day trade compliance activities.
• Classify Husqvarna products accurately for imports and exports.
• Maintain classification database and assist with compliance manuals.
• Collaborate with brokers on corrections and protests with U.S. Customs.

Trade Compliance Manager

• Leading regulatory compliance initiatives to help clients navigate complex regulatory landscapes
• Developing and implementing compliance strategies to mitigate risks effectively
• Managing and guiding teams in the execution of compliance audits and risk assessments
• Providing strategic advice on regulatory requirements and internal controls
• Overseeing the maintenance of compliance programs and frameworks
• Collaborating with stakeholders to validate outcomes and incorporate feedback
• Directing the team through challenging and uncertain situations with composure
• Crafting and conveying clear, impactful messages that tell a holistic story
• Initiating open and honest coaching conversations to foster team development
• Applying systems thinking to identify underlying problems and opportunities
• Making informed decisions to resolve issues hindering team effectiveness
• Modeling and reinforcing professional and technical standards and the firm's code of conduct

Senior Manager, Business Integrity Trade Compliance

• This role is responsible for executing second line of defense compliance and operational risk oversight for Consumer Credit
• The Risk Officer is an independent oversight and review/challenge role that exercises intellectual curiosity, judgment, objectivity, and functional knowledge to identify, evaluate, and mitigate risk across the business coverage areas, balancing business strategy with appropriate controls
• Assesses risks and effectiveness of Front Line Unit (FLU) Fulfillment Operation processes and controls to ensure compliance with applicable laws, rules, and regulations
• Engages in activities to provide independent compliance and operational risk oversight of FLU or Control Function (CF) performance and any related third party/vendor relationships
• This includes execution of monitoring, risk assessments and other risk program activities and ownership of Risk tests executed by Enterprise Independent Testing
• Reviews and challenges FLU/CF process, risk, Single Process Inventory, and FLU/CF Risk and Control Self-Assessment related to themes or trends
• Identifies and escalates problems or issues that arise and drives actions to address the root causes that lead to compliance risk issues and/or operational risk losses
• Manages inventory of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities
• Assists in the development of independent risk management reporting for respective area(s) of coverage as input into country/regional governance and management routines
• Analyzes and interprets applicable laws, rules, and regulations to provide clear and practical advice to stakeholders, and identify and manage risks

Compliance & Operational Risk Manager – Consumer Credit

• Lead Issue Management and Issue Governance activities for US Wealth Compliance
• Serve as primary liaison between Compliance, business partners, and Remediation Team
• Develop and deliver executive-level reporting and metrics
• Assist in the development and maintenance of compliance policies and procedures
• Partner with Operations, Technology, and business teams to identify control gaps
• Provide backup support across US Wealth Compliance functions

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