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

• Lead the development, maintenance, and continuous improvement of enterprise policies, standards, controls, and implementation procedures
• Translate regulatory, contractual, and cybersecurity requirements into actionable governance and control requirements
• Design, maintain, and optimize the enterprise control framework, including control rationalization, consolidation, and framework alignment activities
• Partner with cybersecurity, infrastructure, engineering, cloud, application, data governance, privacy, and compliance teams to ensure governance requirements are practical, feasible, and align with business and operational needs
• Provide subject matter expertise related to control intent, implementation expectations, regulatory interpretation, and governance best practices
• Support governance modernization initiatives, ServiceNow IRM policy management, and control automation efforts to improve scalability, consistency, and efficiency
• Develop and support control policies and strategies, prepare governance reporting, and communicate program status, priorities, and progress to stakeholders and leadership

Senior GRC Analyst

Senior Governance, Risk, & Compliance (GRC) 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

• 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

• 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

• Execute end-to-end compliance screenings on complex export and import transactions (technology products, Hazmat, cash compliance).
• Interpret Export Administration Regulations (EAR), U.S. Customs Regulations, and encryption regulations; apply rulings to real-world scenarios.
• Maintain and update screening, classification (ECCN), and customer/carrier approval lists.
• Serve as the “internal business analyst” on departmental projects—gather requirements, document processes, and coordinate global rollouts.
• Analyze transactional and performance data; design and deliver reporting dashboards, trend analyses, and key performance indicator (KPI) recommendations.
• Partner with Sales, Product Management, Operations, and IT to streamline compliance workflows and support new product lines.
• Lead operational performance and technical projects from initiation through implementation, driving continuous improvement.
• Provide regulatory training, guidance, and issue escalation for internal teams and external partners.
• Act as a subject-matter expert for assigned accounts, ensuring service delivery excellence and regulatory adherence.

Regulatory Compliance Analyst

• Lead process design and build activities for securing SOX systems and collecting evidence of the controls
• Train team members to effectively conduct peer reviews, evidence collection and how to pass an audit
• Conduct mock audits in alignment with internal and external auditor expectations for both design effectiveness and operational effectiveness
• Manage findings to ensure correctness in assignee, gap identified, severity level with internal and external audit teams
• Collaborate with infrastructure product teams to understand their processes, capabilities and opportunities for automation
• Create and maintain broad communications and key metrics for multiple audiences
• Communicate effectively across all levels of leadership and engaging stakeholders

Senior Compute Compliance Architect

• 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

• Provide compliance oversight, advisory support and effective challenge
• Manage compliance risks across delivery channels such as Digital Banking, Marketing, Contact Centers, and Retail/Branches
• Serve as primary compliance support for assigned business lines
• Complete change risk assessments and related questionnaires for new business initiatives
• Serve as a compliance advisor to business partners through regular meetings
• Manage and track compliance-related issues
• Lead regulatory change management efforts for new and updated state laws
• Monitor regulatory complaints and identify trends, gaps, and potential compliance risks
• Review and validate first-line testing to ensure gaps are addressed
• Collaborate with cross-functional teams to strengthen the compliance framework

Senior Compliance Business Oversight Manager

• This position is an individual contributor role accountable for driving and implementing the daily operations that support the Regulatory team’s core accountabilities
• Responds to routine inquiries and requests from state insurance departments, other state and federal regulators, and others both within and outside the Enterprise
• Researches, reviews, and applies laws, regulations, and bulletins
• Suggests appropriate actions in response to regulatory directives, bulletins, and data calls
• Provides subject matter expertise on new product development initiatives and responds to requests for product customizations for specific customers
• Responsible for drafting contract text and maintaining drafting history
• Handles both routine and non-standard regulatory filings, such as product form and rate filings and single-case filings
• Coordinates, investigates, and responds to consumer and insurance department complaints and regulatory market conduct exams
• Supports and delivers results for project initiatives, within established timeframes and quality measures
• Summarizes and communicates issues to appropriate operational business partners
• Develops and maintains positive customer relationships, both internal and external
• Executes on the implementation of operational improvements and service enhancements

Regulatory Analyst

• Performs compliance testing for defined contribution plans.
• Verifies the accuracy of plan census data and identifies contributions to be tested for plan year.
• Prepares non-discrimination tests, top heavy tests, coverage tests, 415 annual addition tests with assistance of a Sr. Compliance Analyst.
• May also perform contribution calculations.
• Reviews legal plan documents, employee census data, and determines participant eligibility.
• Reconciles all financial activity then prepares government forms and associated schedules for assigned plans in a timely manner with a high degree of accuracy.
• Processes plan participant distributions, loans, disbursement requests, and assists with special projects as needed.

Compliance Specialist

• Maintain and update the US Compliance Regulatory Change policy, procedures, and job aids
• Collect US regulatory change information and coordinate responses to Global Regulatory Compliance
• Monitor US adherence to Global Regulatory Change Standards
• Perform quality control checks of key USCRCO process steps prior to closure
• Complete the final quality control review of all regulatory implementations and projects prior to closure
• Support governance meetings with Regulatory Change Leads across the bank
• Produce routine and ad hoc regulatory change and inventory reporting, including metrics

Compliance Manager – Governance & Reporting

• 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

• Provides data governance expertise, business leadership, and leads on day to day data governance and activities
• Partners closely with Technology and other SMEs to drive the successful implementation of the LOB's Data Strategy
• Governs and provides oversight of data under their stewardship
• Ensures data-related activities are compliant with applicable laws and regulations
• Identifies, measures and monitors current and emerging data related risks in day-to-day activities

Data Steward II – Regulatory Reporting

• Participate in activities associated with Polsinelli’s information and data governance programs.
• Perform reviews of Outside Counsel Guidelines to ensure that the Firm meets or exceeds client security requirements and completes the appropriate forms documenting the review.
• Complete client security questionnaires in a timely manner.
• Support the execution of a multi-year roadmap to enhance Polsinelli’s data governance capabilities.
• Conduct analysis and advise on information governance topics related to legal and regulatory compliance.
• Monitor compliance with data governance policies and standards and assess potential risks associated with data handling.
• Collaborate and drive security initiatives, working with people across multiple teams.
• Enable the business and other stakeholders to make risk-aware decisions by advising business units and technology leaders of the information security risks and proposing acceptable risk treatment options and alternatives.
• Support the information security and data governance program efforts through the collection of performance indicators, metrics, and other evidence and communicating relevant, succinct, and actionable recommendations to leadership.
• Proactively maintain a current and working understanding of information and data governance best practices, the practical application of data security governance concepts, relevant information security and technology regulations and industry trends.
• Maintain a current and working understanding of relevant information governance and regulations and industry trends, and assist in the development of Polsinelli Data Governance, Information Security and Privacy Policies and the practical application of the Policies.
• Manage multiple simultaneous workstreams supporting disparate stakeholders, providing appropriate and timely communication of issues, concerns, risks, and status.
• Employees approved for flexible work arrangements are expected to be available and maintain a practice of reliable, consistent attendance always during the employees scheduled work shift including, but not limited to, Zoom, email and voicemail, and by phone.
• Installation of Zoom on a cell phone is a requirement for the Information Security team.

Governance Risk and Compliance Analyst

• Provide advice, support and objective guidance on development and maintenance of Compliance programs
• Works independently and is accountable for managing a specialized Compliance function
• Provides comprehensive coverage for a significant business or functional area
• Develops and implements Compliance programs
• Advises on new and changed Compliance regulatory and/or policy changes
• Conducts meaningful analysis and prepares documentation to report status of Compliance
• Maintains oversight of all functions related to management reporting and analysis

Compliance Business Oversight Manager – Fair Banking

• The Senior GRC Analyst acts as a strategic lead to advance security and risk operations
• Integrate people, policy, and technology to drive operational excellence and framework maturity
• Identify security gaps, implement best practices, and mature the control environment to ensure we stay ahead of evolving regulatory and threat landscapes
• Build an AI-first compliance function
• Lead from the front in identifying and deploying AI tools that scale the GRC program

• Lead and enhance Compliance Management System (CMS)
• Manage compliance programs related to risk assessment, exam management, monitoring, reporting, and training
• Provide advice, support, and guidance on Compliance/Center of Excellence programs
• Develop and implement Compliance programs and oversight
• Represent Compliance on internal or external committees as required
• Conduct meaningful analysis and make recommendations based on findings

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