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

• Support compliance with federal and state regulations by monitoring proceedings, complaint pleadings, commission orders, data requests, informal staff inquiries, and regulatory developments.
• Review certification applications, compliance reports, and filings required for operations in order to minimize regulatory risk.
• Serve as a primary regulatory liaison with state commissions, intervenors, and internal stakeholders, as well as federal regulatory agencies such as the FCC.
• Plan and implement regulatory strategies for new products, wireline transformation, and other business initiatives.
• Conduct research on regulatory trends and compile information to identify potential impacts on the company’s operations.
• Oversee wholesale regulatory matters across the 21 ILEC states.
• Provide regulatory support related to state broadband regulatory initiatives and requirements.
• Coordinate with internal teams to develop regulatory strategy and conduct regulatory analysis.

Lead Regulatory Relations

• 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

• Serve as a JLL Healthcare Physical Environment expert
• Deliver specialized compliance and accreditation support services to hospitals and healthcare clients nationwide
• Provide remote and on-site expertise to support healthcare organizations through their accreditation processes
• Lead comprehensive compliance program engagement for hospital clients
• Provide expert consulting services to healthcare organizations navigating Joint Commission, CMS and state regulatory requirements
• Execute detailed facility assessments focusing on Physical Environment, Life Safety Code compliance
• Develop and present comprehensive compliance reports and improvement recommendations to leadership teams
• Build and maintain strategic relationships with hospital executives and facility directors

Director of Healthcare Facilities 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

• Manage multiple teams of professionals to accomplish established goals and conduct personnel duties for team (e.g. performance evaluations, hiring and disciplinary actions)
• Provide strategic influence and exercise control over resources, budget management and planning while monitoring end results
• Utilize in-depth knowledge of concepts and procedures within own area and basic knowledge of other areas to resolve issues
• Ensure essential procedures are followed and contribute to defining standards
• Integrate in-depth knowledge of applications development with overall technology function to achieve established goals
• Provide evaluative judgement based on analysis of facts in complicated, unique, and dynamic situations including drawing from internal and external sources
• Influence and negotiate with senior leaders across functions, as well as communicate with external parties as necessary
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.

Risk & Compliance Technology Lead – Senior Vice President

• Perform or coordinate the preparation and distribution of statistical operating reports and compliance filings for Energy Supply
• Review, provide analysis, and interpret new and proposed operational tracking regulations
• Accountable for the preparation and distribution of external and internal operating reports for all operating companies
• Ensure compliance with various reporting requirements
• Accountable for maintaining working relationships with internal and external customers
• Direct and execute various special projects for senior management and perform analysis of the data
• Develop tools and reports to facilitate consistent and defendable operations data analysis
• Train users to understand and properly use the reporting systems as appropriate

Operations Reporting and Compliance Analyst

• Support developing, managing, and documenting routine NEPA reviews and a site-wide environmental impact statement project
• Perform duties as a team member in the Environmental Compliance Department; providing specialty job knowledge and experience to lead the coordination and documentation of NEPA environmental reviews for site projects
• Partner with subject matter experts, project managers, and external stakeholders to identify, document, and track NEPA checklists, documents, justification for categorical exclusions, and environmental controls for site projects
• Organize and manage administrative records to comply with NEPA and environmental review regulations, requirements, and Department of Energy guidance
• Provide technical writing review and editing to ensure complex technical information in project descriptions for NEPA documents is adapted as necessary

NEPA Compliance Specialist

• Develop, implement, and maintain the company’s regulatory compliance framework, ensuring adherence to all relevant policies, licenses, and permits.
• Oversee the submission process of all federal, regional and local energy compliance requirements including FERC, NERC, RTOs, ISOs and EIA.
• Oversee NERC consultant and NERC program management.
• Monitor and analyze changes in local, state and federal regulations and industry standards related to renewable energy and electricity market operations.
• Work with internal teams to ensure projects meet all regulatory requirements throughout their lifecycle.
• Assist in the development of compliance policies and procedures
• Conduct compliance risk assessments and audits across operations to identify gaps and potential non-compliance issues.
• Act as the primary liaison between the company and regulatory bodies, ensuring ongoing communication, reporting and relationship management.
• Develop and deliver training programs for employees and management on regulatory compliance matters
• Ensure that all regulatory reports are completed accurately and submitted on time

Regulatory Compliance Manager

• 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

• support and enhance established compliance programs
• audit and monitor processes
• maintain precise records
• manage the full lifecycle of regulatory licensing filings
• conduct in-depth fact-finding and legal research
• provide timely, accurate responses that support informed decision-making

Senior Analyst, Business Compliance

• Supports Fresenius Medical Care's mission and compliance program
• Collaborates with business to ensure compliance with state and federal laws
• Acts as a Privacy and Security Officer for the assigned division
• Leads compliance activities within the division
• Provides training and guidance on compliance policies

Ethics Compliance Officer – Renal Pharma

• Support payer audits and medical record reviews, ensuring timely and accurate submission of requested documentation
• Manage medical review requests and appeals associated with CMS contractors, regulatory agencies, and billing intermediaries
• Review clinical documentation using established audit and submission checklists
• Partner with operational and clinical teams to gather and validate required records
• Participate in chart reviews and compliance monitoring initiatives across the organization
• Assist with risk identification activities and regulatory readiness efforts
• Support investigations and corrective actions related to compliance findings
• Maintain audit tracking and outcomes through documentation systems and reporting tools
• Navigate multiple EMRs, payer portals, and operational systems to manage submissions and appeals
• Contribute to training and educational materials that strengthen compliance knowledge across teams
• Participate in internal quality, billing, and operational review activities
• Complete additional regulatory and administrative projects as assigned

Regulatory Review Specialist, RN

• Lead and support the integration of Boeing Quality Management System (QMS) principles into engineering capability team processes
• Apply knowledge of AS9100D and QMS standards to assess process maturity and identify improvement opportunities
• Lead and participate in process reviews and internal checks to ensure that audit readiness and quality standards are effectively embedded
• Lead the analysis of process performance trends, develop metrics, and evaluate the effectiveness of engineering KPIs for compliance efforts
• Lead the development and documentation of process enhancements/plans and optimization strategies to address complex challenges within engineering programs and capabilities
• Conduct benchmarking and advanced analyses to assess and improve process capability and standardization across teams
• Collaborate with cross-functional stakeholders, support leadership reviews, and facilitate workshops focused on compliance, process enhancement, and resolving recurring issues
• Prepare executive-level reports and presentations to communicate progress, findings, and planned initiatives across engineering quality and compliance efforts
• Ability to travel up to 10% of the time

Compliance and Quality Process Engineer – Experienced/Senior Level

• Lead new and modified product development projects to establish and integrate regulatory strategy into project activities.
• Lead the preparation, submission, and maintenance of global product registrations with a focus on 510(k), EU Technical Documents, and International STEDs.
• Collaborate with internal Cardinal Health international regulatory departments to assess international registration requirements, develop international regulatory strategy, and ensure timely execution.
• Review design control documents including documents associated with design inputs and design outputs.
• Review product labeling for compliance with global labeling regulations.
• Interpret and evaluate proposed regulations for medical devices and advise on impact of such regulations to the business.
• Maintain regulatory intelligence through continuous monitoring of regulatory landscape; identify risks, mitigation, and resolution strategies.
• Maintain and provide regulatory information in support of customer queries, bid and tender submissions, customs queries, etc.
• Development and implementation of regulatory procedures and SOPs.

Principal Regulatory Affairs Specialist

• Build, own, and operate AAM’s compliance program for a modern, fast-growing advisory business.
• Serve as the primary point of contact for regulators and internal stakeholders.
• Establish a robust, right-sized program aligned to the Advisers Act and industry best practices.
• Design, implement, and maintain AAM’s Advisers Act compliance program (Rule 206(4)-7), including risk assessment, policies and procedures, compliance calendar, testing/surveillance, issues management, and the annual review with written reporting to leadership.
• Maintain a comprehensive conflicts of interest inventory and compliance risk register.
• Run or participate in compliance and risk committee meetings; deliver regular compliance reporting/metrics to AAM and Apex leadership.
• Own and maintain regulatory filings: Form ADV Parts 1 and 2A/2B, Form CRS, state notice filings, IARD/CRD maintenance, and investment adviser representative registrations/updates.
• Manage other applicable securities filings and notifications as required by AAM’s activities.
• Serve as the lead for SEC and state examinations and inquiries: readiness, document production, interview prep, responses, and remediation.
• Oversee compliance with the SEC Marketing Rule (Rule 206(4)-1).

Senior Manager, Compliance

• Ensures compliance with state and federal guidelines
• Provides legal and regulatory research
• Evaluates processes, procedures, systems, and correspondence
• Responds to compliance-related questions
• Documents findings and presents recommendations

Compliance Analyst II

• Prepare plan documents, amendments, resolutions, policies and procedures, SPDs and SMMs for the DC (Defined Contributions) team.
• Prepare certain IRS/DOL filings and corrections.
• Research and consulting support on regulatory/legislative and compliance items.

Regulatory Consulting Associate

• Work within a dedicated team to execute regulatory intake and triage rules, guidance, enforcement actions, and exam activity across multiple rulebooks (e.g. FINRA, SEC, etc.).
• Assess applicability and document clear disposition decisions (in-scope, out-of-scope, monitor).
• Summarize regulatory updates into concise, actionable insights for stakeholders.
• Maintain and enhance the regulatory rules inventory with a focus on data accuracy, completeness, and consistency.
• Support workflow execution, tracking, and status visibility across regulatory change activities.
• Partner across Compliance, Legal, Risk, Technology, and business SMEs to support coordination of impact assessments.
• Support reporting and metrics to improve enterprise visibility into regulatory change.
• Identify trends and themes in regulatory developments and escalate as appropriate.

Compliance Advisor – Regulatory Change Management

• Collaborates with departments and stakeholders across Meritain Health to plan, coordinate, and manage resources
• Supports operational improvement initiatives and strategic projects
• Leads corrective action efforts
• Develops and reviews policies and procedures
• Reinforces accountability by helping ensure team deliverables, priorities, and follow-up activities are completed
• Provides oversight of workflow, coordination, and execution across assigned areas of responsibility

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