Compliance

• 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

• 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

• 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

Senior GRC Analyst

• Provide daily front-line compliance advisory support to the Firm’s Investment Banking and Capital Markets businesses.
• Advise on firm policies and procedures and applicable securities laws and regulations for covered business lines (and provide back-up support for others).
• Develop policies and controls to align, supervise, and monitor Capital Markets and Investment Banking activity with regulatory requirements and industry best practices.
• Oversee implementation and daily execution of sales-practice components of the Firm’s compliance program across Equities and Fixed Income for private-side activities.
• Lead and/or participate as the private-side SME for projects to build processes and controls to comply with transactional rules and regulations, including remediations.
• Support the Compliance Marketing Officer with marketing reviews and advise on LinkedIn posts, investor presentations, deal materials, and client education content for supported business lines.
• Partner with business management and other departments to support existing processes and develop new processes that address business risk and regulatory requirements.
• Support the development, implementation, maintenance, and enhancement of programs that provide compliance risk management and supervisory oversight for private-side business lines.
• Develop supervisory tools related to business activity; assist with monitoring and tracking supervisory oversight; and update BL checklists, responsibilities, and reviews as needed.
• Partner with the Control Room to ensure transparency and visibility into Private Side activities.

Business Line Compliance Officer

• Lead Consumer Compliance Advisory function as part of Compliance Advisory & Risk organization
• Manage team of professionals including Consumer Lending Compliance, Deposits & Payments Compliance, CRA, Fair Lending and Complaint Management
• Develop and mentor Advisory team focused on strategic thinking and business partnership
• Build advisory culture that enables business growth while ensuring consumer protection
• Lead consumer compliance due diligence and advisory for all fintech lending, BaaS, and payments partnerships
• Review and approve partner loan programs, underwriting criteria, pricing, disclosures, and servicing practices
• Assess TILA, ECOA, UDAAP, RESPA, and state lending law compliance for partner programs
• Conduct comprehensive review of partner marketing materials, applications, and customer communications
• Establish consumer compliance requirements for partnership agreements (SLAs, monitoring, reporting)
• Design ongoing consumer compliance monitoring frameworks for active fintech partnerships
• Review partner complaint data monthly and identify systemic consumer compliance issues
• Sign off on consumer compliance approval for high-risk partnership onboarding
• Monitor CFPB guidance on sponsor bank responsibilities and adjust frameworks accordingly
• Present fintech partnership consumer compliance risk to executive management
• Design fair lending risk assessments for lending products in coordination with CRA & Fair Lending

VP, Head of Consumer Compliance and Fair Banking Advisory

• Support regulatory operations for SaMD products across development, submission, launch, and post-market phases
• Coordinate preparation, compilation, publishing, and archival of regulatory submissions and related correspondence
• Maintain regulatory documentation, including: submission trackers, product registrations/listings, regulatory commitments, approvals and clearance records, and change assessment logs
• Partner with Regulatory Affairs leads to support FDA, EU, and other global market activities as applicable
• Ensure submission content is complete, version-controlled, and aligned with internal document control requirements
• Support design change assessments and help determine regulatory filing impact for software updates, labeling changes, and product modifications
• Manage health authority document requests, submission calendars, and deadlines
• Track and communicate submission milestones, approvals, renewals, and post-market reporting requirements
• Support UDI, registration, listing, and market access maintenance activities where applicable
• Contribute to inspection and audit readiness by organizing regulatory evidence and ensuring documentation is current and inspection-ready
• Monitor evolving regulations, guidance, and standards relevant to SaMD, and help translate changes into operational actions
• Collaborate with cross-functional stakeholders to improve regulatory processes, templates, and tools for scale and efficiency

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