Compliance

• Conducts patent searches to assess the novelty and patentability of computer architecture, artificial intelligence, and other computer science and computer engineering inventions.
• Conducts interviews with inventors to capture all required aspects of technologies submitted for the ORTA to make patenting recommendations.
• Collaborate with inventors and OGC to develop patent prosecution strategy.
• Works closely with OGC to prepare patent applications, including drafting specifications, drawings, and claims, and ensures technical accuracy of the subject matter in the patent applications.
• Provides technical and legal research and analysis to assist OGC in support of NGA submissions pending before the USPTO.
• Assists OGC with preparing responses to USPTO actions and docket management.
• Ensures procedures are in place to classify and maintain records.
• Interprets and enforces all documentation formatting, standards, policies, and operating procedure requirements

Intellectual Property Technical Specialist – Regulatory Policy & Intel

• Perform key privacy compliance activities on the second line of defense
• Help manage privacy risk under applicable privacy laws and regulations
• Closely follow emerging privacy trends across the country and internationally
• Maintain subject matter expertise of applicable privacy laws and regulations
• Provide guidance and effective challenge on privacy risks
• Support business lines through various interactions and forum engagements
• Consult with legal counsel and other subject matter experts as necessary
• Map legal and regulatory requirements to business processes and activities
• Advise business lines on application of privacy requirements
• Develop controls and monitoring, remediation/corrective action of compliance breakdowns
• Engage with compliance testing and others within the department
• Review privacy-related complaints generated from business lines
• Prepare and participate in reporting on privacy compliance activities
• Travel to various Capital One locations as necessary

Principal Associate, Compliance Privacy Advisor

• Manage comprehensive internal export and import controls to ensure compliance with US and foreign regulations in the conduct of international marketing, sales, supply chain, and other business activities.
• Execute business processes for submitting to and obtaining from the US government all necessary export and import licenses, permits, certifications, and technology release determinations.
• Establish operational processes for assuring trade compliance through gate reviews for technical data, foreign travel, foreign visits, and export and import shipments.
• Collaborate with various functional areas to develop and implement appropriate authorization strategies to meet business requirements and ensure compliance with all regulatory agencies.
• Assess complex transactions and determine applicability of internal gate reviews, licenses, exceptions, and exemptions.
• Maintain applicable trade compliance records by regulatory requirements.
• Support performance metrics for export processes.
• Represent the organization as a prime contact on complex contracts or projects, internal working groups, and capture activities.
• Interact with senior internal and external personnel on high visibility matters often requiring coordination between organizations.
• Exercise good judgment of when to seek management support and guidance as needed, including collaborating on decisions which have the potential to be high visibility or impactful.
• Develop and deliver presentations, including Export General Awareness training, program/function specific export training, lessons learned, and program/capture export licensing strategy updates to Division leadership.
• Provide mentoring to other ITC employees.

International Trade Compliance Analyst

• Responsible for executing global regulatory strategies for key wellness categories, including Multivitamins & Minerals and Digestive Health
• Ensure timely, compliant, and growth-enabling delivery of innovation and pipeline projects while embedding regulatory excellence across the product lifecycle
• Partner closely with R&D and Commercial teams to translate scientific innovation into approved claims, formulations, and launch pathway
• Enable delivery of differentiated consumer propositions through strong regulatory insights and guidance
• Embed regulatory considerations early in the innovation lifecycle to improve predictability and efficiency
• Provide deep subject matter expertise to anticipate regulatory challenges, mitigate risks, and proactively unblock projects
• Balance speed to market with compliance and quality, ensuring robust regulatory decision-making
• Guide teams on evolving regulatory requirements, ensuring readiness across global markets
• Support internal and external regulatory engagement activities, including development of position papers, precedents, and advocacy initiatives
• Build and maintain effective relationships with regulatory bodies and industry groups
• Ensure high standards of compliance, documentation, and data integrity across regulatory deliverables

Wellness Regulatory Lead

• 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

• Responsible for supporting the Pharmacy Department's day-to-day operations for the benefits and compliance of all products and lines of business
• Provides subject matter expertise related to analysis, implementation, and process improvement activities in support of the Pharmacy Department
• Creates and maintains reports for business operations and special projects as it pertains to operational processes
• Utilizes knowledge of numerous applications, databases, information systems, statistical tools and analytical principles to monitor and analyze information in support of the business
• Assists in the implementation, maintenance and improvement of information systems
• Collaborates with teams within Pharmacy Department, Senior Pharmacy Benefit & Compliance Specialists and internal Pharmacy teams to ensure compliance and benefit configuration needs

Pharmacy Benefit & Compliance Specialist

• Serve as a credible authority and partner to senior business leadership, providing expert advice on business strategy, including the transformation of core operating systems.
• Oversee the development and execution of the CMP, ensuring all components are operating effectively to identify and mitigate risks.
• Manage the evolution of the compliance risk management function by challenging the adequacy of controls and facilitating comprehensive corrective actions for process breakdowns.
• Actively promote a culture of compliance risk management and balanced risk taking, while ensuring appropriate monitoring is in place to identify process breakdowns and facilitating comprehensive corrective action.
• Maintain deep subject matter expertise in relevant laws and regulations and monitor emerging consumer protection trends and regulatory changes, domestically and internationally.
• Build strong partnerships with Shopping leadership teams and with internal risk advisors (Legal, Privacy, Risk Management and others) to facilitate well-managed growth of Shopping domestically and internationally.
• As necessary, represent the organization in engagements with external regulators such as the CFPB, OCC, and FRB.
• Report compliance results and the state of the risk agenda to senior management and the Board of Directors as appropriate.
• Display a high degree of emotional intelligence, foster good team dynamics, respond effectively to address employee concerns, and maximize the potential of team members.

Director, Compliance Advisor

• Act as strategic thought partner embedded within an assigned MRS line of business
• Assess and provide proposed solutions for complex operational, regulatory, and policy issues
• Build strategic relationships with senior leaders across FINRA and external stakeholders
• Lead enterprise-critical special projects and cross-functional initiatives
• Develop executive-level reporting and strategic analysis using data analytics
• Conduct strategic organizational assessments to drive operational excellence
• Partner with MRS leadership on strategic planning and governance frameworks
• Oversee development and maintenance of departmental procedures
• Direct MRS regulatory compliance strategy
• Collaborate both in-person and virtually in furtherance of FINRA’s mission

Strategic Advisor, Market and Regulatory Services

• Serve as a trusted advisor to risk function leaders across the three lines of defense on risk program maturity, governance, and optimization
• Provide strategic recommendations to strengthen enterprise risk programs, align to industry best practices and drive consistency and integration across risk functions
• Influence and contribute to the long-term strategy for GRC technology and risk program evolution
• Partner with risk teams across the three lines of defense, building strong relationships with senior stakeholders to drive alignment, adoption, and consistency in risk processes and technology
• Lead design and maturation of enterprise initiatives and risk programs including RCSA, Issue Management, 3rd Party Risk Management, Business Continuity, Data Risk Governance, Model Risk, Financial Risk and Credit Risk
• Act as a subject matter expert in ServiceNow GRC including architecture, data models, and integrations
• Lead translation of business needs into platform capabilities, configurations, and solution designs ensuring scalable, sustainable, and enterprise-aligned solutions
• Ensure quality through UAT oversight, change management processes, and post-implementation reviews
• Advice on platform governance, roadmap prioritization, and enterprise-wide adoption strategies
• Define success metrics (KRIs, KPIs) and reporting structures to enhance risk visibility and decision-making
• Mentor and guide junior team members and serve as a lead resource across the function

Senior Principal Risk Analyst – Governance Risk Compliance

• Utilize subject matter expertise, provide advice and effective challenge on compliance risks impacting network and merchant businesses
• Develop expert-level understanding of network and merchant business processes
• Analyze business processes and determine applicability of laws and regulations based on Capital One’s global legal inventory
• Proactively identify trends in business data and demonstrate appreciation of network payments compliance risks
• Maintain subject matter expertise in the broader payments industry and applicable laws, rules, and regulations
• Collaborate with functions to analyze existing risk management program framework
• Ensure ongoing application of compliance requirements to business expansions and new products
• Develop strong relationships with Business Risk, Legal, and Audit peers

Senior Manager, Network Compliance

• Collaborate with first and second line functions to analyze the risk management framework for network and merchant services
• Provide expert advice and effective challenge on compliance risks impacting network and merchant businesses
• Advise business leaders on regulatory requirements and provide guidance on policies, standards, and procedures
• Develop expert-level understanding of global network and merchant business processes
• Proactively identify trends in business data and emerging external network payments compliance risks
• Maintain subject matter expertise in the broader payments industry and applicable global laws and regulations
• Ensure ongoing application of compliance requirements to business expansions and new products
• Provide effective challenge during network-dependent product planning to ensure necessary compliance controls are in place
• Conduct impact assessments on new network-related regulations to ensure strategic adjustments comply with Network Conflict guardrails
• Develop strong relationships with Business Risk, Legal, and Audit peers for ongoing network compliance integration
• Display a passion for coaching and developing others through leadership style
• Support regulatory exam and engagement preparation and delivery
• Manage, develop, and coach a Compliance Advisory Team
• Participate in reporting activities to senior leadership in the business and Risk Management

Director, Network Compliance

• Support the clinical and regulatory compliance of designated lines of business through project leadership
• Provide technical oversight, risk identification, and mitigation
• Create policies, procedures, and tools for implementation of recommendations
• Develop metrics for monitoring program objectives and compliance with regulatory standards.

Clinical Compliance Consultant, LPN, RN, LCSW, LPC – Behavioral Health

• 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

• 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

• The Business Consultant is responsible for serving as the liaison between Provider Solutions, Health Economics, and Contract Administration
• May lead teams of analysts assigned to complex projects
• Acts as a resource to Provider Solutions, Contract Management, and Health Economics
• Analyzes and designs solutions to address complex business needs
• Develops project plans and coordinates resources
• Lead the strategy and execution of recovery workflows for Contract Compliance and Chargemaster variances
• Locate, review, and interpret complex contracts

Business Consultant – Contract Compliance, Strategy

• Provide professional environmental compliance expertise for U.S. operations
• Ensure effective environmental compliance programs for external regulatory requirements
• Provide governance and oversight to ensure U.S. sites maintain compliance with environmental permits
• Collaborate closely with internal stakeholders on U.S. environmental regulatory matters

US Environmental Compliance Manager

• Oversee financial crime investigations and ensure compliance with AML regulations
• Manage internal relationships with business partners
• Identify patterns and root causes of financial crimes
• Conduct reviews of suspicious activity reports and high-risk accounts
• Support operational improvements and enhancements

Compliance Business Lead – Investigation Oversight

• Perform a key risk management role in the second line of defense for Capital One’s network and merchant businesses to help implement the framework for the network compliance program.
• Provide advice and effective challenge on the compliance risks impacting the network and merchant businesses through both formal and informal engagements.
• Develop expert-level understanding of network and merchant business processes.
• Analyze business processes and determine applicability of laws and regulations based on Capital One’s global legal inventory.
• Proactively identify trends in business data and demonstrate appreciation of network payments compliance risks, including emerging external risks.
• Collaborate with first and second line functions to analyze the existing risk management program framework and applicability to the network and merchant services business; educate and influence risk management colleagues and senior leaders as necessary.
• Ensure ongoing application of compliance requirements to business expansions and new products, including as the network and merchant businesses engage with new downstream entities, evaluate new opportunities for card acceptance, or develop new products.
• Develop strong relationships with Business Risk, Legal, and Audit peers to support ongoing network compliance integration.

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