Compliance

• Provide strategic compliance guidance to Select Health leaders.
• Develop training and educate stakeholders on compliance and ethics.
• Lead investigations and projects within assigned portfolio.
• Establish communication channels with internal and external stakeholders.
• Promote a culture of compliance and reporting.
• Evaluate risks and develop corrective action plans.
• Monitor changes in regulatory environment and assess implications.
• Support legal counsel and coordinate with HR and other departments.

Senior Partner, PBM Compliance

• Providing guidance and interpretation of USG regulations, including the International Traffic in Arms Regulations (ITAR), Export Administration Regulations (EAR), Bureau of Alcohol, Tobacco, Firearms and Explosives (BATFE), Anti-boycott Regulations, US Census and Customs Regulations.
• Working with various functional areas (Contracts, Supply Chain Management, Program Management, Engineering, New Business, etc.) to determine their export/import needs
• Preparing and submitting necessary export/import authorization requests required to support international programs and managing all post approval activities such as recordkeeping, reporting requirements, approvals for data exports and international shipping authorizations.
• Assisting Global Trade Manager to develop and implement appropriate strategies to meet business requirements and ensure full compliance with all regulatory agencies.
• Formally presenting in meetings, training environments and responding to questions from management, employees, customers and vendors related to export/import compliance.
• Supporting corrective action implementation and negotiating export/import control issues with internal and external customers and resolve issues in a win/win manner

Principal International Trade Compliance Analyst

• Independently prepare regulatory reports and documentation
• Collaborate with various departments to implement and maintain compliance
• Develop procedures and training manuals for compliance processes
• Respond and research high level inquiries from internal teams and regulatory authorities regarding compliance matters
• Conduct regular reviews of mortgage files to ensure compliance with federal, state, and local regulations
• Keep abreast of changes in mortgage laws and regulations and communicate updates to relevant teams

Mortgage Compliance Clerk II

• Maintain and have a foundational understanding of applicable NERC CIP Standards and support execution of compliance requirements within assigned activities
• Coordinate the collection of compliance evidence from internal stakeholders and SMEs in accordance with established processes and timelines
• Track and monitor recurring compliance activities, including evidence refresh cycles, attestations, and scheduled compliance tasks
• Send routine communications, reminders, and follow-ups to support timely completion of compliance deliverables
• Maintain compliance documentation repositories, including organizing, labeling, and storing evidence in approved systems (e.g., SharePoint, compliance tools)
• Perform initial reviews of submitted evidence to confirm completeness, required components, and adherence to established formatting and documentation requirements
• Compile and organize documentation packages for internal reviews, audits, and regulatory requests using established templates and guidance
• Maintain compliance trackers, logs, dashboards, and status reporting tools to ensure accurate visibility into task completion and outstanding activities
• Prepare routine compliance status updates and reports reflecting completion status, overdue items, and pending deliverables
• Support audit preparation activities by assembling evidence files, maintaining request logs (e.g., RFIs), and tracking submission status
• Execute established internal compliance procedures and follow defined workflows for evidence collection, documentation, and tracking
• Identify missing information, incomplete documentation, overdue activities, or process deviations and escalate to senior compliance staff or management in accordance with established escalation procedures
• Demonstrate awareness of when activities fall outside defined procedures or expectations and seek guidance or escalate concerns appropriately rather than making independent compliance determinations
• Support development and maintenance of RSAWs by gathering, organizing, and aligning evidence to documented control requirements and narratives
• Support development of self-reports and mitigation plans by compiling required information, coordinating inputs from SMEs, and maintaining supporting documentation

CIP NERC Compliance Analyst

• Own the system and requirements behind renewals and approvals across verticals, ensuring deadlines, documentation, and fees are met on time and active approvals remain compliant
• Research, verify, and interpret state and jurisdiction-specific laws, regulations, and licensing requirements to identify operational and curriculum requirements for entering new markets and maintaining existing ones
• Prepare, compile, and submit regulatory applications and supporting documentation required for new market approvals, school licensure, and course accreditation across multiple states and verticals
• Partner with cross-functional teams to translate new market regulatory requirements into actionable operational, product, and content standards ahead of market entry
• Work with partners across Product, Engineering, Customer Experience, Finance, Marketing and Learning Experience on regulatory opportunities, questions, and improvements
• Establish and document, the regulatory processes, rules, and standards that the broader team follows
• Serve as a primary point of contact with regulatory agencies and government bodies, building goodwill and the relationships that move approvals forward
• Design and implement scalable regulatory frameworks along with AI assisted systems, and workflows that support expansion into new states and verticals
• Mentor junior regulatory staff and set the quality bar others work to, reviewing work, and sharing standards across the team

Senior Regulatory Manager

• Collaborates with key stakeholders to ensure alignment of regulatory goals and objectives with the strategic priorities of the business.
• Develops and maintains strong strategic partnerships with project team members, including Marketing, R&D, Operations, Clinical Affairs and Quality Assurance.
• Ensures all regulatory activities for assigned platform and operations projects comply with evolving global regulatory requirements.
• Maintains product knowledge within the team and ensures essential data is gathered and organized in support of global submissions.
• Partners with the Regional RA team in the development, alignment and execution of Regulatory strategies for platform and operations projects and changes, upholding rigorous standards of accuracy, timeliness, compliance and excellence in regulatory strategy.
• In collaboration with Regional RA, represents Merit effectively in interactions with Regulatory authorities, strengthening Merit's reputation and credibility.
• Supports and suggests continuous improvement of regulatory processes, procedures and policies.
• Ensures compliance with relevant regulatory requirements.
• Ensures project teams are informed of new and pending changes in regulation and evolving interpretation of regulation and how they will be impacted.
• Ensures the timely maintenance of regulatory data with a high degree of accuracy and compliance.
• Supports Regulatory Affairs in due diligence activities to ensure regulatory risks and integration needs are clearly articulated and understood. Coordinates with Regional RA on the integration of new acquisitions.
• Supports and when needed represents Regulatory Affairs in audits/inspections leading to successful outcomes.
• Performs other duties and tasks as required.

Platform Principal Regulatory Affairs Specialist

• 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

• Help drive Zanskar's legislative and regulatory strategy across key states, championing our mission and building relationships for commercial growth.
• Sit at the intersection of political strategy and execution, policy and regulatory analysis, and stakeholder engagement.
• Own active workstreams across administrative and legislative priorities while serving as a credible external voice for Zanskar in agency proceedings and policy forums.
• Work closely with internal teams across permitting, resource, finance, and development to ensure policy advancements are understood and acted on.
• Independently manage relationships with agency officials, legislators, industry peers, and trade groups.
• Ensure Zanskar is never caught off guard and is always actively influencing the policy environment rather than reacting to it.

Regulatory & Policy Associate

• Assist with the assessment of all regulatory risks and controls related to deposit and lending products
• Participate in discussions with senior management regarding risk assessments and regulatory change management
• Develop and maintain policies and standards for regulatory compliance
• Socialize compliance principles and assist with developing procedures
• Collaborate with Testing and Monitoring Teams to assess compliance with legal requirements
• Ensure material compliance issues are tracked and reported
• Coordinate with Regulatory Change Management to implement new regulations
• Communicate compliance analysis and reporting to oversight committees

Senior Compliance Advisory Manager – Lending & Deposits

• Support the organization’s GRC framework, policies, standards, and procedures
• Conduct risk assessments and maintain enterprise risk registers
• Identify, assess, and track remediation of technology and cybersecurity risks
• Assist in third-party/vendor risk assessments and compliance reviews
• Monitor compliance with internal policies and regulatory requirements
• Support ITGC (IT General Controls) and SOX compliance activities
• Coordinate control testing, evidence collection, and remediation tracking
• Work with control owners to ensure Design effectiveness and operational effectiveness of SOX controls
• Assist during external and internal SOX audits
• Maintain documentation for SOX controls, narratives, and process flows
• Coordinate vulnerability management activities with infrastructure teams
• Track remediation of identified vulnerabilities and security findings
• Support periodic access reviews and security compliance assessments
• Act as liaison between IT/Security teams and Internal/External Auditors
• Prepare audit evidence and coordinate audit requests
• Track audit findings and remediation plans through closure
• Assist with audit readiness initiatives and continuous monitoring activities
• Develop dashboards, metrics, and compliance reports for management
• Maintain accurate documentation for risks, controls, findings, and remediation efforts
• Support policy and procedure reviews and updates
• Support automation for SOX controls by identifying the scope and recommend all possible options for automation
• Directs activities to define, deploy, evaluate and support common computing standards, IT processes, tools and process/performance metrics
• Leads activities to define plans to support common standards and processes
• Identifies qualitative and quantitative improvement measures
• Advises on the selection of key parameters and standards to monitor progress
• Leads the definition, development and deployment of common process requirements and infrastructure products and services
• Directs activities to educate and promote use of Boeing IT common processes, methodologies, products and services
• Leads, consults and coaches in common processes for software development and maintenance
• Leads the review and evaluation of new technology for software process impact
• Supports and integrates architecture mapping to common processes

Senior Governance, Risk, and Compliance Process Analyst

• Process and track move-in applications, ensuring all files are reviewed, verified, and approved within 3–5 business days of submission.
• Process and track annual recertifications, ensuring all files are reviewed, verified and approved within 30 days of the annual recertification effective date.
• Collect, verify, and input applicant income, asset, and household information in compliance with program guidelines.
• Ensure move-in files are complete, accurate, and ready for compliance review and approval prior to lease signing.
• Communicate directly with applicants, residents and site teams to request missing or clarifying documentation.
• Partner with property management staff to support timely move-ins and occupancy goals.
• Maintain accurate and organized records in property management and compliance systems.
• Track application status and provide regular updates to Compliance Leadership, property staff, and regional managers.
• Assist in preparing move-in files for investor, state agency, or internal audits.
• Contribute to the timely and accurate completion of required annual compliance reports, as assigned.
• Collaborate with senior compliance and managers to resolve deficiencies quickly and maintain compliance standards.
• Provide guidance to site teams on program requirements and compliance processes as needed.
• Take on additional projects and duties as assigned to meet business needs.

Compliance Specialist

• 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

• Guides learners in creating third-party vendor accounts, uploading documentation, and completing background checks and drug screenings.
• Provides guidance on navigating credentialing systems and interpreting College and EL requirements.
• Communicates with learners through phone calls, conference calls, texts, and emails to resolve credentialing issues promptly.
• Monitors learner progress for large cohorts, identifying compliance risks, and implementing corrective actions.
• Supports training and mentoring of Specialists I and II to build team capacity and process efficiency.
• Collaborates cross-functionally to resolve escalated credentialing issues and improve workflow processes.
• Maintains accurate documentation and records within credentialing systems to track learner progress, compliance status, and outcomes.

Compliance Specialist III, Credential Support

• 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

• 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

• Talking to new carriers and assisting with the set up process.
• Working closely with other administrative, support team and operational offices, including Agents.
• Assisting with investigating risk concerns for the company and vetting carriers in the database to protect the company.
• Providing top-notch service as a crucial gatekeeper for carrier vetting and legitimacy for hauling freight.

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