Compliance

• Own the monitoring and tracking of annual recertification timelines across the portfolio, ensuring no recertifications fall behind schedule.
• Generate and send annual recertification notices to residents in a timely and accurate manner, in coordination with site teams and compliance staff.
• Monitor recertification completion rates and proactively flag outstanding items to Compliance Leadership and site teams.
• Maintain organized recertification tracking logs and ensure all documentation is up to date in property management and compliance systems.
• Identify patterns or systemic issues contributing to recertification delays and escalate with recommended solutions.
• Assist Compliance Specialists with processing and tracking move-in applications and recertification files as workload requires.
• Help collect, verify, and input applicant income, asset, and household information in compliance with program guidelines.
• Provide guidance to site teams on program requirements and documentation needs.
• Assist in preparing move-in and recertification files for investor, state agency, or internal audits.
• Serve as a resource for Compliance Specialists on complex questions, compliance processes, and program requirements.
• Assist Senior Compliance Specialists with file review tasks during periods of high volume or tight deadlines.
• Support preparation of compliance reporting for investors, state agencies, and internal leadership as assigned.
• Contribute to audit preparation activities by ensuring files are organized and audit-ready.
• Help track compliance activity and reporting deadlines, escalating concerns as needed.
• Serve as coverage for the Compliance Specialist role during planned or unplanned absences, including processing and tracking move-in applications and recertifications.
• Serve as coverage for the Senior Compliance Specialist role during absences, including file review, escalation triage, and team support functions.
• Maintain service continuity and compliance standards across both functions during coverage periods.
• Actively pursue skill development in file review, quality control, and compliance mentorship to prepare for advancement into a Senior Compliance Specialist role.
• Participate in training, coaching, and knowledge-sharing opportunities with Senior Compliance Specialists and Compliance Leadership.
• Demonstrate growing proficiency in LIHTC and other affordable housing program requirements.
• Take on additional compliance-related projects and assignments as opportunities arise to broaden expertise.

Compliance Specialist II

• Advise internal stakeholders on implementation and development of SEC, CFTC and NFA swaps requirements
• Lead the development of relevant compliance program elements including policies and procedures, training, risk assessments, issues management, governance and management reporting
• Engage with the business, including Markets Financing Solutions, FX Sales & Trading, as well as Compliance, Legal, Operations, Enterprise Risk Management, Finance and Audit stakeholders
• Monitor and analyze the implementation of proposed and final rules promulgated by the CFTC, SEC and NFA on swaps and security-based swaps
• Assist in overseeing the Volcker Rule compliance program
• Provide regulatory guidance to management, business lines, and functions
• Respond to regulatory inquiries, audits, examinations and investigations, and liaise with regulators (SEC, CFTC & NFA)
• Develop training for Associated Persons to educate employees of their obligations and expected behaviors.

Vice President, Swap Dealer 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

• Accurately prepare regulatory applications required by federal and other regulatory authorities
• Research internal documents, complete applications, and forms; prepare cover letters and summaries
• Submit and monitor application submission for timely review and acceptance
• Provide updates to management on the status of applications
• Maintain files contemporaneously for transparency and timelines
• Maintain applicable shared mailboxes, dashboards and accounts related to administrative licensing activities
• Archive and distribute applications electronically and in hardcopy
• Educate and inform internal customers regarding regulatory requirements
• Assist with evaluation of regulatory changes for impact to the business

Regulatory Affairs Associate – Entry Level

• 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

• 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

• Act as the architectural authority for Compliance Risk Technology, defining and driving a cohesive target‑state architecture across a complex landscape of legacy platforms, vendor solutions, and custom‑built systems
• Provide architectural leadership for modernization and transformation initiatives, ensuring solutions remain regulator‑ready, auditable, and defensible
• Translate regulatory requirements and business objectives into clear, actionable architectural designs and multi‑year technology roadmaps
• Design and govern enterprise‑scale application and microservices architectures aligned to Compliance Risk domains, including surveillance, investigations, attestations, issues management, and regulatory change
• Define API‑first, contract‑driven, and event‑driven integration patterns supporting near‑real‑time monitoring and alerting capabilities
• Architect modern data platforms that enable compliance analytics, reporting, lineage, and auditability, including object‑storage‑based data lake and lakehouse patterns
• Integrate structured and unstructured data into unified compliance data assets that support traceability, reproducibility, and evidentiary requirements
• Design and guide the implementation of AI‑enabled architectures, including ML‑based risk scoring, alert prioritization, anomaly detection, and NLP‑driven regulatory and case analysis
• Architect intelligent and agentic automation solutions with appropriate human‑in‑the‑loop controls, aligned with Responsible AI and Model Risk Management expectations
• Establish architecture standards, reference architectures, and guardrails across application, data, AI, integration, security, resiliency, and privacy domains
• Engage directly with delivery teams by reviewing designs, guiding implementation decisions, and resolving complex architectural trade‑offs
• Partner with leaders across Technology, Risk, Legal, and Compliance to influence investment decisions, platform consolidation efforts, and long‑term technology roadmaps
• Maintain awareness of emerging technologies, industry best practices, and regulatory trends, recommending innovations that enhance operational effectiveness and compliance outcomes

Principal Architect – Compliance Risk Technology

• Lead maturity of the Cybersecurity Mission Support service delivery for their specific function, which includes the development of operational plans, associated processes to support its execution, and facilitation of all SBU Cybersecurity & Compliance activities.
• Serve as concierge to help the functions navigate cyber and compliance services.
• Establish risk ownership and accountability within the business line.
• Represent the Cybersecurity & Compliance functional services to support alignment of resources, priorities and support within the functions.
• Similarly, represent function’s business needs to help drive appropriate prioritization in Cybersecurity & Compliance.
• Identify key stakeholders and actively engage SBU in requirements gathering and be able to translate requirements into action that contributes to high levels of customer satisfaction and proactive planning while being sensitive to SBU business objectives.
• Provide SBU requirements for the creation and management of key performance indicators and other relevant metrics to support service delivery success, opportunities for improvement, and understanding of resource commitments.
• Regularly provide management level reporting and updates to demonstrate progress against expected control outcomes, challenges and agreed-upon standard service level agreements (SLAs).
• Provide SBU requirements for the development of innovative cyber solutions and drive implementation of tools, technologies, and automated processes to further enrich service delivery.
• Drive best practices and influence cyber-based changes necessary to support the assigned SBU landscape or meet changing mission requirements and performance improvement targets.
• Drive change communications between the SBU and DT Cybersecurity organizations for activity that may impact Cyber services or SBU, working to minimize risk, increase visibility and provide better situational awareness for change across the enterprise.
• Represent the Collins Aerospace CISO in cybersecurity and business-related councils or working groups as delegated.
• Act as a liaison and subject matter expert (SME) between cybersecurity and the lines of business in the development of appropriate policies, standards, and frameworks.
• Partner with Business Relationship Managers (BRMs) and other SBU/function/region-aligned DT leaders to collectively represent DT services to the business.
• Leverage RTX CORE (Customer Oriented Results and Excellence) Operating System principles to realize increased innovation and automation where practical.

Cyber & Compliance Leader – Connected Digital Products

• 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

• Define and evolve the Risk & Compliance vision, operating model, and application certification strategy for Assurance Digital
• Own the overall design, effectiveness, and continuous improvement of the central certification program
• Drive governance, escalation, and resolution of significant risks
• Serve as a trusted advisor to senior IT, product, engineering, and assurance leaders
• Build, mentor, and scale the Digital Risk & Compliance organization

Director, Assurance Digital – Risk & Compliance

• Assist the Customs and Trade Compliance team in the delivery and execution of a standardized compliant international trade compliance program within Convatec.
• Assist with operational responsibilities for US / CA (other markets as needed) customs and trade compliance program, both import and export.
• Ensure import and export shipments conform to governmental rules and regulations by managing inquiries, requests from brokers, forwarders, manufacturing sites, distribution centers, etc. to ensure efficient and compliance movement of Convatec product and equipment
• Support the Temporary Importation Under Bond (TIB) process activities for goods entering the country for temporary purposes ensuring regulatory adherence.
• Support the FDA Import for Export (IFE) program activities to include import, export and reconciliation process to support product being imported into the US for sterilization and re-exported for global market allocations.
• Identify areas for process improvement in the daily resolution of customs and trade compliance related international transactions.
• Support continuous improvement and opportunities for trade automation.
• Support Convatec’s customs and trade compliance recordkeeping program.
• Assist with the development, implementation and keeping current standard operating procedures and work instructions.
• Support the review of global (UK, NL, US, etc.) Harmonized Tariff Codes (HTS) and process to update and review SAP master data, Global Classification solution and customs broker regular database updates.
• Maintain broker and customs agency reports and KPIs, monitor broker performances and support MBRs
• Support the development and maintenance of customs and trade compliance process and procedures and the centralized shared storage, support the customs and trade compliance training activities.
• Assist with evaluation, investigation, and mitigation of potential customs and trade compliance risks.
• Assist with utilizing global classification software solution to automate and manage/audit global HTS classification.
• Support entry verification integrated system solution to automate and manage import entry data verification/audit, identifying errors and address findings for correction as they are identified.
• Assist with manual audits of entry data utilizing broker data, government reporting i.e. ACE data, other customs agency data and address errors as identified and implement corrective actions to improve compliance and broker performance.
• Assist with Trade Compliance KPI development and maintenance to measure and monitor service provider performance, broker scorecards, compliance trends and risk assessment – trade data analysis.
• Support projects as needed.

Customs and Trade Compliance Specialist II

• 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

• Implement worldwide regulatory product registration strategies, prepare complex registration dossiers, establish and maintain tracking of product registrations to determine what products can be shipped to intended markets in accordance with business plan with a specific focus on labeling, labeling requirements, and implementation.
• Coordinate and submit all regulatory documentation for establishment of new / changed local market authorization holders and distributors.
• Analyze and determine worldwide product registration requirements for specific assigned products and regions.
• Communicate and negotiate with local market authorization holders/ distributors / regulatory authorities the information required and prepare regulatory submissions to be used worldwide for all marketed products.
• Prepare responses to regulatory agency inquiries.
• Coordinate with local authorities and Quality standards and controls required for product registration testing.
• Prepare personnel from affiliates or third parties for meetings with regulatory authorities.

Manager/Sr. Manager, Regulatory Affairs – Labeling

• Coordinate and support the implementation and maintenance of an effective Compliance Management System for all relevant areas in accordance with Group compliance requirements as well as local laws and regulations.
• Support leadership and their departments in assuming and executing its responsibility to implement and maintain an effective compliance program at the unit level.
• Perform and coordinate the Compliance Risk Assessment and Monitoring Process (CRM&M), including compliance measure allocation and documentation, in collaboration with the unit's risk owner.
• Provide feedback to parent company regarding compliance effectiveness at the unit level for the Annual Effectiveness Evaluation in accordance with CRM&M requirements.
• Evaluate and address local compliance matters, and escalate higher risk matters to the respective Local Compliance Officer (LCO).
• Implement and maintain clear compliance standards and applicable processes consistent with the compliance program and Code of Conduct.
• Continuously assess and improve these standards and processes to ensure they remain effective and efficient.
• Develop and deliver innovative, engaging communication strategies to raise awareness on compliance topics among internal stakeholders and external business partners.
• Design and conduct risk-oriented, interactive training sessions for high-risk units, leveraging modern learning methodologies and technologies.
• Foster and lead cross-functional collaboration on compliance matters with management and all employees.
• Assist in maintaining and improving effective unit governance structures and procedures for compliance oversight.
• Participate in the internal Compliance Qualification Program, in alignment with the respective LCO.
• Pursue continuous learning opportunities to stay at the forefront of compliance best practices and emerging trends.

Corporate Compliance Analyst

• Analyze, research, investigate, document and respond to company and citizen complaints and inquiries involving specific bail bond matters
• Ensure licensees comply with North Carolina General Statues and Administrative Rules
• Keep Department management informed about findings of noncompliance and appropriate correction action

Insurance Regulatory Analyst I

• Process and track move-in applications, ensuring all files are reviewed, verified, and approved within 3–5 business days of submission.
• Process and track annual recertifications, ensuring all files are reviewed, verified and approved within 30 days of the annual recertification effective date.
• Collect, verify, and input applicant income, asset, and household information in compliance with program guidelines.
• Ensure move-in files are complete, accurate, and ready for compliance review and approval prior to lease signing.
• Communicate directly with applicants, residents and site teams to request missing or clarifying documentation.
• Partner with property management staff to support timely move-ins and occupancy goals.
• Maintain accurate and organized records in property management and compliance systems.
• Track application status and provide regular updates to Compliance Leadership, property staff, and regional managers.
• Assist in preparing move-in files for investor, state agency, or internal audits.
• Contribute to the timely and accurate completion of required annual compliance reports, as assigned.
• Collaborate with senior compliance and managers to resolve deficiencies quickly and maintain compliance standards.
• Provide guidance to site teams on program requirements and compliance processes as needed.
• Take on additional projects and duties as assigned to meet business needs.

Compliance Specialist

• Serve as a trusted functional lead on complex platform implementations.
• Lead business process analysis and produce design documentation.
• Deliver client training and support cross-functional Intapp teams.
• Collaborate with Intapp functions to share knowledge and contribute to improvements.

Principal Consultant – Intapp Compliance Software

• Manage and support PDS internal audit program, identify trends, risks, and areas of improvement
• Assess bidding compliance to support the Audit Control Plan
• Report findings to client on a monthly basis
• Support Regional PDS Teams through monthly compliance checks and follow-ups
• Monitor and respond to process changes that impact business rules driving the Client GSA

Risk & Compliance Manager

• Implements broader planning for business unit compliance programs
• Manages large projects and processes to identify, investigate, and report compliance risks
• Develops and implements preventative measures and compliance processes
• Oversees compliance risk assessments
• Conducts complex investigations in response to complaints and/or potential violations of rules, regulations, policies and procedures.

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