Compliance Operations Analyst II

• Compliance Monitoring and Auditing

• Develops and executes risk-based compliance monitoring and auditing activities across all lines of business.

• Provides guidance to operational areas on regulatory requirements and associated compliance monitoring and reporting expectations.

• Evaluates operational compliance with applicable regulatory and contractual requirements and identifies compliance and control deficiencies.

• Tracks and trends monitoring results to support compliance dashboards and governance reporting.

• Corrective Action Oversight and Validation

• Develops and issues corrective action plans for identified compliance deficiencies.

• Tracks corrective actions through remediation and resolution, including escalation of delays or unresolved issues.

• Performs validation to confirm corrective actions are implemented and operating effectively.

• Tracks and trends corrective action activity and outcomes to support compliance reporting.

• Regulatory Reporting Validation

• Performs compliance validation of operational regulatory reports and submissions.

• Evaluates supporting data, processes, and controls for compliance with applicable requirements.

• Identifies and coordinates remediation of reporting deficiencies and tracks validation results.

• Compliance Operations Program Support

• Supports internal and external audit activities, including documentation, evidence review, and corrective action follow-up.

• Provides Compliance Operations support for HPMS and other regulatory systems, access, submissions, and related activities.

• Supports Compliance Operations work plans and assigned compliance oversight activities.

• Supports development and continuous improvement of Compliance Operations tools, processes, and controls..

• Analyzes and summarizes compliance results, trends, risks, and corrective actions for dashboards and regulatory reporting.

• Supports reporting through the Compliance Committee governance structure, including reporting to senior leadership and the Board of Directors.

• Perform all other miscellaneous responsibilities and duties as assigned or directed.

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