Compliance

• Execute privacy and compliance risk assessments across SCRI data flows and research activities.
• Implement and monitor privacy and compliance controls, policies, and procedures within SCRI.
• Lead privacy incident investigations for SCRI including documentation, root cause analysis, and remediation actions.
• Respond to privacy-related inquiries, concerns, and complaints, escalating issues as appropriate.
• Conduct privacy audits and targeted monitoring activities based on identified risks.
• Drive ongoing compliance monitoring activities that support SCRI business objectives and research operations.

Compliance and Privacy Manager

• 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

• Coordinate highly sensitive reviews conducted by government agencies such as TDCI, CMS, OPM/FEP, DOL, etc.
• Assist on special assignments and workgroups concerning enterprise level compliance processes and enhancements
• Serve as a subject matter expert in regulatory research and interpretation, data analysis, audit principles, project management techniques, and general knowledge of industry best practices
• Manage scope and lead multiple projects including the execution of successful change management processes as requested by leadership
• Oversee project processes and procedures; monitor the productivity and performance of project team
• Track, report and resolve issues; evaluate project activities, build contingency plans and execute corrective action when necessary

Principal Ethics and Compliance Consultant

• 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

• 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

• Lead complex environmental compliance programs that shape how global organizations operate
• Serve as a trusted advisor to clients on complex U.S. environmental regulations and compliance strategies
• Lead and execute high-visibility projects that drive regulatory compliance and operational excellence
• Strengthen client relationships while contributing to business growth and repeat engagement
• Elevate team capability through mentorship and knowledge sharing across ERM’s global network
• Help organizations move from reactive compliance to proactive, strategic environmental management

Managing Consultant, Environmental Compliance

• Command the end-to-end response strategy for annual client security assessments; direct the preparation and multi-day presentation of complex technical evidence to sophisticated enterprise partners.
• Own the successful execution, maintenance, and scope validation of core compliance frameworks, including PCI-DSS, ISO 27001, SOC2 Type II, and TISAX.
• Partner with the Legal and Strategic Procurement teams to draft, review, and negotiate security exhibits within client and vendor contracts, ensuring committed promises align directly with technical capabilities.
• Develop, implement, and enforce a comprehensive library of corporate security policies that satisfy global standards while remaining functional and frictionless for a software-driven enterprise.
• Monitor global regulatory environments (e.g., CCPA/CPRA, GDPR, and emerging automotive cybersecurity mandates); collaborate with Privacy Owners to design underlying cyber strategies, documentation, and procedures.
• Direct the modernization of the GRC infrastructure by maximizing the ROI of continuous monitoring platforms and deploying/tuning Generative AI tools to automate high-volume compliance workflows.
• Serve as a core member of the Cybersecurity leadership team, collaborating with Product and Engineering leads to ensure security and legal requirements are embedded natively into the product development lifecycle.
• Directly manage, mentor, and evaluate the performance of GRC team professionals, aligning resource allocation with the organization's audit pipeline and strategic deadlines.

Senior Manager, Governance Risk and Compliance

• Own day-to-day METRC operations across all active warehouse facilities (NorCal, SoCal, Nevada, New York), including package creation, manifest generation, transfer templates, and driver assignments.
• Reconcile METRC inventory against physical inventory and WMS records on a recurring cadence; investigate and resolve variances, missing packages, untagged product, and transfer discrepancies.
• Resolve METRC errors in real time (rejected transfers, incorrect weights, mis-tagged packages, voided manifests) and coordinate corrections with warehouse and CX teams.
• Maintain clean METRC hierarchies: package tags, item categories, strain entries, lab result associations, and waste/destruction entries.
• Process finalized transfers, receiving, adjustments, and destruction events in METRC within state-mandated timeframes.
• Serve as the in-house METRC subject matter expert and first line of support for warehouse and CX teammates running transactions in the system.
• Apply DCC (CA), CCB (NV), and OCM (NY) distributor regulations to live operational decisions: manifest rules, transfer windows, transportation requirements, labeling, and storage standards.
• Maintain a compliance calendar covering state license renewals, regulatory reporting deadlines, and facility-level obligations; execute renewals and filings on time.
• Track and apply operational changes from state rulemakings as they take effect (bulletins, emergency regulations, guidance documents), translating them into what the warehouse needs to do differently tomorrow.
• Act as the primary operational point of contact for routine state regulator communications at the license/facility level.
• Own the compliance vetting process for incoming brands and retailers: verify active state licenses, collect COAs, review product manifests, and flag non-compliant items before they enter the Nabis network.
• Maintain and enforce Nabis Compliance Form requirements (licenses, W9s, COAs, banking documentation).
• Maintain a live license database for all active partners with automated renewal alerts; proactively chase expiring licenses.
• Verify license status in state systems (DCC license search, CCB portal, OCM portal) and keep partner records synced with state sources of truth.
• Ensure all product labeling, packaging, and COA standards are met prior to order fulfillment in each state.
• Manage COA tracking across all inventory batches; coordinate holds, rejections, and remediation with brands and warehouse teams.
• Coordinate state-mandated compliance testing with third-party labs and ensure results are correctly associated with METRC packages.
• Run recurring audits of inventory records, waste/destruction logs, and transfer logs; identify gaps and drive them to closure.
• Manage Nabis’ response to scheduled and unannounced state inspections across all facilities; serve as the on-site/virtual point of contact when regulators arrive.
• Keep each facility inspection-ready at all times: METRC in sync, records current, labeling correct, storage compliant.
• Document findings from every inspection and drive corrective actions to completion.

Compliance Analyst I

• Responsible for conducting investigations, preparing reports, work papers, and performing vulnerability assessments to recognize and identify potential compliance issues.
• Provides guidance to management and employees as needed.
• Conducts annual vulnerability risk assessment audits for division.
• Assists management in preparation and conduct of management control reviews.
• Performs detailed investigations of allegations/compliance issues and maintains tracking and quality databases.
• May develop, implement, and present ongoing training, and conduct periodic surveys and awareness initiatives.
• May be required to submit regulatory reporting data according to government schedule.

Compliance Specialist

• Serve as a trusted advisor to top-tier clients, leading the design and implementation of EHS compliance and management systems.
• Drive integration of ESG priorities into operational frameworks, helping organizations move beyond compliance toward performance excellence.
• Strengthen ERM’s market presence by delivering innovative, high-value solutions across industries.
• Lead, mentor, and inspire teams—building the next generation of EHS and sustainability leaders.

Technical Consulting Director, EHS, Air Compliance and Management Systems

• Serve as a trusted advisor to top-tier clients
• Lead the design and implementation of EHS compliance and management systems
• Drive integration of ESG priorities into operational frameworks
• Strengthen ERM’s market presence by delivering innovative, high-value solutions across industries
• Lead, mentor, and inspire teams

Technical Consulting Director, EHS, Air Compliance, Management Systems

• responsible for receipt and coordination of CMS MA-PD and PDP escalated complaints
• submission of member and marketing materials to CMS for HCSC’s Medicare Advantage and Prescription Drug Plans
• applying CMS regulations pertaining to Medicare Advantage and Prescription Drug Plans to the review of member and marketing materials prior to submission to CMS
• providing assistance and guidance regarding Medicare Advantage and Prescription Drug Plan regulations to HISC staff
• working with other areas of the organization on the development, testing and implementation of organization, process and system changes to ensure the requirements of the Medicare Advantage and Prescription Drug program are met
• assisting MCO in coordination of the contract with CMS enterprise-wide

Medicare Regulatory Analyst

• Prepares and submits international regulatory submissions to obtain and maintain regulatory approvals for medical devices, including 510(k) submissions and technical files for CE Marking
• Maintains regulatory files and databases to ensure compliance with regulatory requirements
• Reviews and interprets regulatory requirements and guidance documents to ensure compliance
• Coordinates regulatory activities with internal teams and external regulatory agencies
• Supports regulatory audits and inspections as SME for questions related to market access
• Stays current with regulatory requirements and updates affecting medical devices
• Fosters professional interactions with internal and external stakeholders through various communication channels, enhancing business relationships
• Complies with company and departmental policies and administrative requirements
• Performs other duties as assigned or as needed

Regulatory Affairs Specialist

• Lead, administer, and continuously improve key components of the Compliance Program to support organizational objectives
• Conduct compliance oversight activities, including monitoring and auditing, to assess adherence to regulatory requirements (e.g., CMS) and contractual obligations
• Drive and support compliance risk assessments, as well as work plan development and implementation, aligning enterprise priorities with regulatory expectations
• Serve as a primary liaison internally for assigned compliance activities, including audits, inquiries, etc. as tied to the annual risk assessment and compliance workplan
• Provide subject matter expertise and strategic guidance to cross-functional teams on compliance matters, including interpretation and implementation of regulatory and contractual requirements
• Collaborate with operational leaders to develop, review, and update policies and procedures in connection with completed compliance audit and monitoring activities
• Develop and deliver reports and presentations on compliance activities, including audit and monitoring results to leadership and stakeholders
• Lead or contribute to compliance-related projects, initiatives, and research to support program effectiveness and regulatory readiness
• Conduct internal investigations related to concerns reported via the Compliance & Ethics Helpline or directly to the Compliance team; ensure proper documentation, tracking, and reporting

Clinical Compliance Manager

• 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 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

• 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

• - Prepare and manage FDA submissions including 510(k), DeNovo, Pre-Submission, and Breakthrough Designation
• - Ensure completeness and compliance of all regulatory documentation
• - Coordinate cross-functional inputs for submissions (clinical, risk, usability, technical documentation)
• - Support development of US reimbursement strategy (CPT codes, payer engagement)
• - Ensure compliance with FDA, SOC2, and future MDSAP requirements
• - Support SOC2 certification processes and data privacy/security compliance
• - Support MDR compliance and technical documentation
• - Ensure alignment with ISO 13485 and ISO 14971 requirements
• - Contribute to global regulatory strategy and future certifications (e.g. MDSAP Canada)
• - Maintain and improve QMS processes related to regulatory compliance
• - Review promotional and training materials for regulatory compliance
• - Support design control, risk management, and documentation updates
• - Support internal, external, and notified body audits
• - Perform risk assessments and usability evaluations
• - Support supplier/distributor evaluation and compliance processes
• - Work with clinical teams on retrospective and prospective studies
• - Collaborate with R&D, product, and legal teams on regulatory requirements
• - Support regulatory input in product development and change management
• - Improve regulatory and quality processes
• - Support integration of compliance into development lifecycle
• - Monitor regulatory landscape (FDA, MDR, global)

Regulatory Specialist – FDA, Global Compliance

• Provide the governance and oversight to ensure identified issues receive appropriate remediation and corrective action
• Coordinate end-to-end Issues Management processes and ensure that the Payments is in compliance with policy/process requirements
• Effectively lead Issues calls with internal and external stakeholders with a focus on outcomes
• Collaborate with Business Leaders, Business SME's, Control, Compliance, Ops Risk, Legal, and other partners to document Self-Identified Issues and the corresponding risk mitigation plans
• Coordinate and perform Root Cause Analysis, Corrective Action Development and ensure subsequent mitigation of risk and gaps through what is delivered in the Corrective Actions
• Create detailed risk mitigation plans with appropriate milestone timelines to ensure timely issue closure in accordance with Issue Management policy
• Document progress throughout the Issue Management process including a detailed memo to support issue closure
• Coordinate and perform Sustainability Testing with the business to ensure Corrective Actions are effective and sustainable over time
• Ensure based on the results that Issues are ready to be validated or propose changes to enhance controls prior to validation
• Provide regular issue updates in eGRC platform as dictated by policy
• Create weekly, monthly, and quarterly reporting on issue portfolio
• Participate in issue status calls

Payment Services Risk & Compliance Coordinator

• Complete an established number of audits and monitoring per quarter for Care Delivery and Pharmacy +
• Manage the Prompt Response and Corrective Action Program
• Lead committee meetings for various compliance elements with business stakeholders and committee members
• Coordination and development of auditing and monitoring plans focusing on areas of Compliance risk
• Creation of dashboards and status updates which communicate audit and monitoring results, trends, and summarize risk remediation activity
• Deliver executive summary compliance reports and applicable findings to business stakeholders
• Serve as subject matter expert to advise business in areas including, but not limited to care delivery, pharmacy, nursing, drug distribution, and associated regulatory requirements
• Ensure the highest level of compliance with all Federal, State, and local rules and regulations
• Lead, participate and facilitate accessible knowledge and guidance for business stakeholders including Compliance committees and other delivery mechanisms as needed
• Execute training program strategy and support of business stakeholders on applicable Compliance topics
• Research and respond to compliance questions in consultation with Legal and Compliance stakeholders
• Collaborates with internal partners and develops good working relationships to ensure open lines of communication and timely responses to compliance questions
• Update, revise, and maintain applicable departmental policies and procedures, and support the review of policies and documents for supported business units
• Support business partners in issue management and resolution
• Remain aware of industry changes and/or trends
• Complete annual compliance program effectiveness assessments

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