Compliance

• Support strategies to ensure successful maintenance and implementation of compliance programs meeting regulatory requirements for assigned products across the company
• Monitor state regulations, contract amendments, executive action, rulemaking, and other regulatory guidance
• Notify stakeholders of regulatory changes
• Maintain and track laws, regulations, and compliance guidance documents
• Review and synthesize regulatory requirements
• Prepare regular updates, white papers, and reporting on impactful regulatory actions
• Collaborate with Policy, Government Relations, Legal, and other departments to assess and analyze impactful regulations and guidance
• Support implementation oversight of new compliance requirements with respect to regulatory language

Senior Compliance Analyst – Regulatory Change Management

• Complete monthly house account reconciliation
• Run monthly new account reports and compile the New Account Review Memo
• Run monthly closed account reports and compile the closed account review tracking report
• Run monthly account reports and complete compliance reviews for selected accounts
• Compile Trust Compliance Committee reports
• Create New Account, Closed Account, Admin Review, and Investment Review reports
• Maintain Fidelity IWS Scorecard and NIGO report
• Compile monthly Fee Committee reports
• Monitor alerts for NIGOs, Rejects, and Awaiting Client Review
• Maintain account reviews for Admin and Investment modules, including group account reviews
• Run and maintain Admin/Investment Reviews
• Complete the Reg R report and prepare the Reg R memo
• Complete quarterly 13F and RCT reports
• Complete the monthly Wealth Management Snapshot
• Monitor and calculate RMD Pull and new RMD reports
• Monitor RMD payment status and track RMD exceptions
• Calculate RMDs for inherited IRAs
• Send annual ADV notices and collect ADV notices for each Separate Account Manager
• Send notices to clients through Groove
• Serve as backup for New and Closed Accounts and Fee Processing
• Perform other duties as required

Wealth Management Compliance Specialist

• Conduct first-level reviews of direct customer orders flagged by Company algorithms and recommend release decisions according to SOPs
• Coordinate with Commercial business representatives to gather forecasts and other information for flagged-order decisions
• Review customer forecasts for focus products
• Contact direct customers for due diligence information
• Create and maintain documentation required for DEA suspicious-order reporting under record-retention policy
• Review the Direct Order Dashboard and Company data to detect customer-account patterns
• Track metrics for Suspicious Order Monitoring Team reporting
• Review direct-customer Know Your Customer questionnaires for completeness and thoroughness
• Schedule and participate in customer reviews with CS Compliance staff
• Maintain KYC documents for direct customers according to SOPs
• Evaluate SOP effectiveness, identify process enhancements, and implement change-control documentation
• Assist with media and internet-source reviews to identify downstream customers for investigation
• Facilitate Suspicious Order Monitoring Team meetings and prepare meeting minutes
• Prepare and send DEA notices regarding pharmacy restrictions
• Update pharmacy review files based on due diligence from distributors and third-party consultants
• Update Excel trackers with pertinent information
• Maintain and update the list of distributor terminations

Specialist, Controlled Substances Compliance – Analyst

• Compile, review, analyze, and update student enrollment data to ensure data integrity
• Submit enrollment reports to the National Student Clearinghouse according to Department of Education guidelines
• Investigate and resolve enrollment data anomalies and test report/data updates
• Respond to National Student Loan Database System SSCR reports and data requests
• Monitor, update, and disseminate effective-date data for course and session drops/withdrawals
• Support VA and Title IV compliance audits
• Assess student-athlete eligibility under NAIA and Park University rules
• Review transcripts, NAIA records, test scores, and other documents to determine eligibility
• Alert coaches and athletic staff about eligibility issues and submit eligibility rosters to NAIA
• Compile and disseminate individual and team athletic data for NAIA awards
• Evaluate retroactive withdrawal requests and determine effective dates
• Execute administrative withdrawals and communicate with stakeholders
• Provide customer service to students and faculty/staff via phone and email
• Assist with transcripts, enrollment/degree verification, grading, graduation and degree checks, and course scheduling
• Maintain accurate records of programs offered at campus centers and locations for state reporting
• Assist with office projects

Academic and Athletic Compliance Coordinator

• Provide technical assistance on EHS compliance, sustainability, site investigation and remediation, and due diligence transaction projects
• Prepare plans, permits, and reports for hazardous waste, air quality, hazardous material management, oil spill prevention, and NPDES storm water and wastewater programs
• Perform environmental compliance assessments and implement follow-up corrective actions for federal, state, and local regulatory compliance
• Provide general EHS compliance support to clients, including on-site assistance as needed
• Perform Phase I environmental site assessments for property transfer transactions
• Conduct fieldwork including sampling, ecological field studies, drilling, well installation, remedial pilot tests, construction oversight, and remedial system operation and maintenance
• Compile and evaluate data and assist in report preparation
• Manage multiple projects within scope, budget, schedule, and quality expectations
• Collaborate with Project Managers and Partners across EHS compliance, sustainability, site investigation and remediation, environmental impact assessment, and due diligence projects
• Support global clients with environmental, health, and safety regulatory challenges and sustainable practices

Senior Consultant, EHS Compliance

• Provide technical assistance on EHS compliance, sustainability, site investigation and remediation, and due diligence transaction projects
• Prepare plans, permits, and reports for hazardous waste, air quality, hazardous material management, oil spill prevention, and NPDES storm water and wastewater programs
• Perform environmental compliance assessments and implement follow-up corrective actions for federal, state, and local regulatory compliance
• Provide general EHS compliance support to clients, including on-site assistance as needed
• Perform Phase I environmental site assessments for property transfer transactions
• Conduct fieldwork, including sampling, ecological field studies, drilling, well installation, remedial pilot tests, construction oversight, and remedial system operation and maintenance
• Compile and evaluate data and assist in report preparation
• Perform multiple projects within scope, budget, and schedule expectations while maintaining high-quality project deliverables
• Collaborate with Project Managers and Partners across EHS compliance, sustainability, site investigation and remediation, environmental impact assessment, and due diligence projects
• Support global clients in addressing environmental, health, safety, risk, and social issues