Compliance

• Ensure insurance compliance obligations are met under loan documents and investor requirements
• Provide strategic leadership of the insurance function and oversee operations
• Drive performance against key metrics and maintain an efficient operating model
• Lead the integration of technology solutions into insurance compliance processes
• Partner across functions to align systems and workflows with business needs
• Monitor operational reports and key metrics to ensure proactive management
• Maintain deep knowledge of lender insurance requirements
• Support audit readiness by coordinating data collection for audits

Director, Insurance Operations – Compliance

• Ensure compliance with insurance obligations under loan documents
• Oversee insurance risk management across the portfolio
• Lead and develop a team of Managers, Associates, and Analysts
• Establish and execute strategic process improvement initiatives
• Assess and design team structure and resource allocation
• Establish and enforce departmental policies and procedures
• Drive adoption and integration of technology solutions
• Maintain structured learning environment through training programs
• Implement quality control processes
• Support audit readiness by coordinating data collection
• Monitor operational reports and key metrics

• 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

• 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

• 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

• Monitor regulatory changes and assess the potential impact on the organization.
• Maintain EHS compliance programs aligned with national, regional, and local regulations and update, as necessary, to ensure compliance.
• Support sites globally relative to legal obligations, company requirements, and other obligations.
• Lead the internal EHS audit program including (1) auditor development/training, (2) scheduling, (3) executing, and (4) effectiveness for the globally organization.
• Collaborate with cross-functional teams to integrate EHS requirements into business processes and projects.
• Support EHS integration post M&A activities.
• Lead onboarding for new hired EHS professionals.
• Deliver training and awareness programs to promote compliance and safety culture.
• Develop key performance indicators (KPIs), data analytics, and execute trend analysis across the global organization.
• Implementing the EHS Framework program consistency across the globe with follow-on gap planning.
• Lead the global ISO14001 Environmental Management System certification and ISO45001 Occupational Health & Safety Management System and certifications.
• Respond to customer inquiries regarding environmental and safety practices.
• Analyze the effectiveness of the EHS program against business KPIs.
• Lead the identification of environmental risks & opportunities and work with other functional and operating teams to execute improvement plans.

Senior EHS Manager – Compliance Assurance

• Provide independent ERM oversight of fraud risk across all business lines and delivery channels.
• Develop, maintain, and refresh enterprise fraud risk assessments, scenarios, and typologies.
• Map fraud risks to products, processes, technologies, and third-party relationships.
• Align fraud risk ratings with enterprise risk appetite statements, tolerances, and limits.
• Assess the design and effectiveness of fraud prevention and detection controls.
• Support and challenge first-line Fraud Operations through RCSAs, control reviews, and issue validation.
• Track fraud-related issues, action plans, and remediation through closure.
• Contribute to fraud-related policies, standards, procedures, and governance documentation.
• Leverage data analytics, dashboards, and key risk indicators (KRIs) to identify trends and emerging fraud risks.
• Support fraud risk considerations for innovation initiatives, including advanced monitoring, rule optimization, behavioral analytics, and AI/ML-enabled fraud controls.
• Prepare executive-level and board-ready fraud risk reporting.
• Monitor fraud losses, near misses, KRIs, and control effectiveness.

GRC Fraud Analyst

• ensure member receipt of all EPSDT/HealthChek Services
• ensure member receipt of maternal health and postpartum care
• promote family planning services
• promote preventive health strategies
• identify and coordinate assistance for identified member needs specific to maternal/child health and EPSDT
• interface with community partners and pregnancy related services coordinators
• participate in EPSDT, maternal health and child quality performance improvement efforts

Senior Quality Compliance Professional

• 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

• Leads operational oversight and continuous advancement of the USACS Compliance & Ethics and Privacy Program, including the seven core elements of an effective compliance program.
• Promotes consistent application of USACS’s Code of Conduct, compliance policies, and privacy standards while fostering a culture of integrity, accountability, and ethical decision-making across the organization.
• Establishes trusted relationships across the organization and serves as a strategic advisor to leadership on compliance, privacy, governance, and emerging operational risks.
• Identifies existing and emerging compliance, privacy, operational, and technology-enabled risks and partners cross-functionally to develop mitigation strategies, corrective actions, and governance solutions.
• Supports ongoing advancement of the compliance program through process optimization, technology enablement, data-informed insights, and continuous improvement initiatives.
• Develops meaningful compliance reporting, dashboards, and trend analysis to support risk-based prioritization, operational decision-making, and evolving regulatory and organizational priorities.
• Acts as a consultative resource to USACS leaders on compliance and privacy matters and provides recommendations to enhance policies, procedures, and internal controls as needed.
• Leads, develops, and mentors department personnel while fostering accountability, collaboration, operational excellence, and continuous professional growth.
• Partners with Information Security, Information Technology, Legal, and operational stakeholders to support appropriate safeguards, technology governance alignment, and responsible use of digital tools and systems.

Director, Compliance Intelligence & Programs – Privacy Officer

• Oversee export shipment operations ensuring strict compliance with applicable authorizations
• Prepare, review, and file export declarations with precision
• Conduct systematic audits of export declaration records
• Monitor, track, and report on trade compliance activities
• Develop and deliver training on export shipment processes
• Support senior ITC team members in preparing authorization applications
• Process requests for export license exemptions applying sound regulatory judgment
• Maintain comprehensive records in alignment with U.S. Government regulations
• Identify opportunities for process and procedure improvements
• Collaborate on projects and initiatives as part of cross-functional teams

Lead Specialist, International Trade Compliance

• Assumes the overall responsibility for the quality and compliance management of the Kimberly-Clark account portfolio.
• The Quality & Compliance Manager is responsible for working with the EMCOR departments and suppliers to ensure work orders are managed within the established KPI’s.
• Responsible for managing supplier cost and delivery to all sites.
• Develop strategies to improve overall reliability and safety of facility.
• Plan and execution of audits, routine maintenance and improvement projects for facility and equipment.
• Partner with the Kimberly-Clark team to manage properties, budget, and Customer experience.
• Ensure consistency and high performance of services.
• Develop and implement quality control processes and standards.
• Regularly audit performance and address issues.
• Occasionally travel required to perform duties.

Quality and Compliance Manager

• 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

• Provides support to assure research protocols are in compliance with university, state and federal regulations.
• Assists with regulatory functions in support of clinical research activity.
• Assists in preparation of protocol submissions to Institutional Review Boards (IRBs) and provides updates on submission status.
• Assists in preparation of other required regulatory documents.
• Distributes approved documents.
• Relays information to clinical research staff.
• Assists with data entry including collecting, entering and maintaining data and documents in the OnCore electronic database.
• Assists with monitoring visits.
• Assists with regulatory issues.
• Creates and maintains regulatory files.

Regulatory Assistant – Clinical Trials Office

• The Business Consultant is responsible for serving as the liaison between Provider Solutions, Health Economics, and Contract Administration
• May lead teams of analysts assigned to complex projects
• Acts as a resource to Provider Solutions, Contract Management, and Health Economics
• Analyzes and designs solutions to address complex business needs
• Develops project plans and coordinates resources
• Lead the strategy and execution of recovery workflows for Contract Compliance and Chargemaster variances
• Locate, review, and interpret complex contracts

Business Consultant – Contract Compliance, Strategy

• Support the Fair and Responsible Banking (FaRB) Program within Corporate Compliance in the second line of defense
• Play a key role in the ongoing execution of the FaRB Program by providing independent oversight, credible challenge, and advisory support across fair lending and UDAP/UDAAP
• Engage with business-aligned Compliance Risk Managers, business partners, CRO teams, and other stakeholders to translate regulatory expectations into practical, risk-based guidance that supports sound decision-making and effective risk mitigation
• Support special initiatives and horizontal reviews spanning multiple products, channels, and functions, helping to drive consistency, surface emerging risks, and enhance overall program maturity

Fair and Responsible Banking Compliance Manager

• Responsible for assuring high quality information collection and reporting systems for medical information management services.
• Manage department staff, programs, policies and activities related to coding services and compliance.
• Analyze performance to assess quality of coding and medical record documentation.
• Oversee the department’s compliance plan and assure it addresses all aspects of medical information management compliance.

Director, Inpatient Coding and Compliance

• Responsible for supporting a robust regulatory compliance program for the worldwide headquarters, manufacturing sites, and R&D sites within the Surgery Segment of J&J MedTech
• Understands the factors contributing to compliance risk profiles, based on metrics and data analysis and other intelligence (e.g., escalations, regulatory inspection outcomes, etc.), to proactively identify, communicate, prioritize, address/prevent/reduce compliance risk
• Conducts Follow-up activities for the JJRC independent audit program, field action assessments, significant health authority inspections, post-acquisition assessments, and regulatory actions
• Provides leadership and expertise to interpret and evaluate audit observations and provides guidance and support to develop risk-based action plans
• Identifies opportunities for cross-regional/site remediation activities collaborate with Segment Quality and Compliance professionals to develop risk-minimizing strategies
• Support supplier/EM compliance activities through the review of supplier audit reports and follow-up reports
• Participates in early engagement activities with stakeholders
• Assists with escalation and alignment activities associated with supplier/EM outcomes as needed
• Provides oversight and compliance review of remediation programs (MCAP/SDCAP/QEP, PAM, etc.)
• Ensures partnership with JJRC and other Q&C groups to leverage work / resources to minimize duplication
• Interprets and communicates current and emerging regulatory and J&J requirements at a global level
• Partners with Q&C and Enterprise Regulatory Outreach teams to continuously monitor the changing regulatory climate to proactively assess and communicate industry trends and emerging areas with potential impact to compliance programs
• Serves as a key advisor and subject matter expert for critical compliance activities, including due diligence, mock inspections, regulatory agency interactions, decommissioning, divestiture, Compliance Data Reviews, special investigations, and business strategies, as needed
• Supports Health Authority inspection readiness activities at high-risk sites, ensures subject matter expert preparedness, and reviews significant communications with Health Authorities
• Engages with high risk sites, as needed, to oversee and, if necessary, verify remediation efforts.

Director, 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

• Participate on a team working with management to develop policies and procedures that ensure compliance with applicable laws and regulations
• Lead compliance projects and provide guidance to less experienced Compliance Analysts
• Support a function, product, or process to ensure adherence to all required rules and regulations
• Resolve complex problems or transactions, often owning one or more processes, reports, or procedures and serving as a subject matter expert on cross-functional projects
• Conduct risk-based monitoring and evaluation activities including assessments, testing, analysis, and reporting
• Demonstrate working knowledge of banking/consumer compliance regulations and laws, and apply this to risk management strategies
• Use data analysis tools to assess risks and evaluate controls for weaknesses or gaps
• Document testing results in concise management reports and escalate significant risks
• Review policies and procedures for consistency with current banking and securities regulations
• Identify process improvement opportunities and provide control advisory services
• Develop and maintain strong relationships with internal stakeholders and Audit
• Participate in special projects and assist in enhancing the REA Program and compliance procedures
• Pursue training and continuing education to stay current on regulatory compliance and industry trends.
• Comply with all KeyBank policies and procedures.

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