Compliance Specialist Senior Job Description
Compliance specialist senior
provides ongoing maintenance of Toyota Financial Services’ Compliance Management System (CMS) that is designed to ensure compliance with applicable local, state, and federal laws, rules, and regulations.
Compliance Specialist Senior Duties & Responsibilities
To write an effective compliance specialist senior job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance specialist senior job description templates that you can modify and use.
Sample responsibilities for this position include:
Manage the on-boarding process for all new customers along with updates/changes to existing customer compliance requirements
Continue to uphold positive relationships with existing customers, develop strong relationships with new customers
Assist manager and internal teams with additional tasks/duties as needed
Bachelor’s Degree and 1-3 years of experience withrelevant business experience, Customer Service, Compliance or comparable role
Author detailed memoranda providing legislative and regulatory requirements on an expedited basis
Clarify ambiguous legislative/regulatory provisions
Correspond directly with the Law Department, state regulatory authorities, and insurance trade
Coordinate within Group the completion of scheduled insurance department filings and related certifications and accreditations
Research and respond to inquiries concerning existing legislation and implementation
Create plans and implement such plans for any and all Compliance initiatives
Compliance Specialist Senior Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Compliance Specialist Senior
List any licenses or certifications required by the position: CISSP, NCMA, CISA, C-TPAT, MSCC, EMC, CISM, CIA, FTA, SEBI
Education for Compliance Specialist Senior
Typically a job would require a certain level of education.
Employers hiring for the compliance specialist senior job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Business, Education, Engineering, Science, Finance, Management, Business/Administration, Accounting, Law, Chemistry
Skills for Compliance Specialist Senior
Desired skills for compliance specialist senior include:
Business methods and practices in the financial services industry
Ability to interpret
Accurate and independent evaluation of risk controls
Apply federal and state compliance laws and regulations
Communicate
U.S. P&C operations and applicable regulatory requirements in testing efforts to ensure thorough
Word
Excel
Industry security practices
Compliance laws
Desired experience for compliance specialist senior includes:
Bachelor’s degree in Business related field or military experience
Ability to build relationships across a broad range of groups
Ability to proactively drive deliverables and manage multiple key milestones
Strong ability to determine the underlying cause of a problem
Someone able to work with many different levels of management
Able to work effectively with general direction
Compliance Specialist Senior Examples
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Compliance Specialist Senior Job Description
Job Description Example
Our growing company is searching for experienced candidates for the position of compliance specialist senior. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance specialist senior
- Perform the principal review of outside activities (Outside Business, Outside Securities Accounts, Private Securities Transactions, and Fiduciary Activities) advertising and other materials required to be approved by Compliance
- Serves as the primary point of contact for external reviews
- Populates or oversees the population of external review-related databases with the latest information in a timely manner
- Follows all ERA activity to closure
- Resolves or coordinates the resolution of ERA issues as they occur
- Monitors ERA-related resources and websites to ensure up-to-date ERA information and strategies
- Facilitates development and maintenance of ERA dashboards, including ERA status metrics, trending analyses, and benchmarking information
- Performs other Compliance program-related duties as assigned by the ACO
- Act as the site liaison with other relevant site functional groups or global Novartis functions with respect to corporate internal supplier audits in execution of systems and processes to meet regulatory requirements
- Assist in developing and executing work plans to support assessments, audit and monitoring, investigations, reviews and ongoing client support in connection with regulatory risk management and advisory services in the life sciences industry
Qualifications for compliance specialist senior
- Experience with PCI, NIST 800-53, HIPAA, SOX is preferred
- Analytical – identifies collects and researches data/issues and draws conclusions
- Undergraduate 4 year degree in information technology or business discipline
- Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and or Certified Financial Services Auditor (CFSA) designation a plus
- Minimum 2 years experience in a compliance role or other relevant functional area
- Strong knowledge of Banking and Broker Dealer Rules/Regulations/AML Compliance Program requirements
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Compliance Specialist Senior Job Description
Job Description Example
Our growing company is looking to fill the role of compliance specialist senior. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance specialist senior
- Perform Enterprise Compliance Risk Assessments (ECRA) for assigned area(s) of support
- Perform Third Party Risk Management (TPRM) assessments for assigned area(s) of support
- Provide portfolio and regulatory compliance expertise/analysis, as needed, to others throughout the CG organization (including investment professionals, accounting, investment operations, marketing)
- Conduct case-specific outreach to consumers
- Document findings and make recommendations
- Identify emerging typologies and determine appropriate strategy using applied knowledge and a wide range of investigative techniques
- Conduct complex manipulation of data
- A strong overall IT knowledge is required
- Assist Chief Compliance Officer and Compliance Manager in reviewing EV Fund sub-advisers’ compliance with established policies and procedures
- Conduct special projects
Qualifications for compliance specialist senior
- Minimum 5–8 years’ experience in Quality Assurance/Compliance Systems within a pharmaceutical GMP-regulated or related industries
- Strong experience with health authority inspections from major HAs, USA, EMEA, Canada, Japan, Brazil
- Familiar with self-directed team concept, operations applications, six sigma, lean principles and process improvement tools
- Minimum of 10 years of professional experience that includes at least 5 years’ experience working with controlled substances compliance
- Working knowledge of controlled substance regulations in the US (Code of Federal Regulations, title 21
- Must be able to lead and manage cross-functional projects and work effectively on a global basis
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Compliance Specialist Senior Job Description
Job Description Example
Our growing company is searching for experienced candidates for the position of compliance specialist senior. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for compliance specialist senior
- Leading and support investigations and audits
- Identify and execute special projects as needed, including development of new compliance tools/programs to address business needs and emerging risks.
- Travel within SSA and overseas as required from time to time
- Carrying out investigations on complaints involving agents within the prescribed turnaround time (including interview agents)
- Supports CRP leadership in developing, implementing and maintaining the compliance audit work plan
- In conjunction with clinical services and other functional groups, utilizes data analytics to develop and assess coding and clinical outlier risks
- Works closely with Health Information Management (HIM), revenue cycle, legal services group, advocacy and other applicable functional areas to ensure proper interpretation, dissemination and ongoing internal auditing and monitoring of compliance with laws and regulations related to coding compliance and medical necessity
- Checks that product recall and reporting requirements are completed accurately and timely
- Assists product investigations and submits official reports and notifications to authorities in conjunction with global partners when required
- Assists US Risk & Compliance, Public Relations, and Legal in product safety-related issues such as recall situations, media attention, and handles all product safety and non-compliance-related contacts with Federal and State authorities or relevant organizations
Qualifications for compliance specialist senior
- Supports the evaluation of the effectiveness of compliance programs, providing knowledgeable advice and counsel for business lines or assigned areas
- Reviews test results to provide guidance and best practices to mitigate compliance risk and make recommendations for corrective action
- Takes lead role in preparation for regulatory exams/audits
- Assists various departments of the Bank in response to periodic examinations by regulatory agencies
- Represents compliance team at various meetings as directed
- Compiles compliance analyses and recommendations for presentation and review by compliance management
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Compliance Specialist Senior Job Description
Job Description Example
Our growing company is looking to fill the role of compliance specialist senior. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance specialist senior
- Manages the unamortized balance process for Wholesale Marketing, conducts research and calculates contractual repayment obligations upon default, communicates with internal stakeholders and coordinates drafting those balances
- Oversees customer compliance related to various contractual requirements including calculation and monitoring of minimum quantities
- Provides contract support and analysis, including tracking renewals and expirations
- Demonstrates a comprehensive understanding of the various enterprise systems used to manage contracts, master data and operations and is able to generate reports from those systems
- Leads special projects and works with manager and team to resolve escalated issues
- Timely and accurate reporting, reconciling for data integrity
- Creates, updates, maintains and distributes, to the Director of Compliance, reporting policies and procedures
- Continuously reviews processes and procedures and works closely with the Compliance Supervisor to see trends in data reporting
- Strict adherence to the State and/or Federal Agency and, Regulation B, C and H for accurate reporting and reconciliation
- Includes clearing deficiency items posted on NMLS in regards to reporting and monitoring
Qualifications for compliance specialist senior
- Core understanding of the regulators, regulations, and enforcement activity applicable to the life sciences industry (DOJ, SEC, OIG, FCA, AKS, FCPA, PPACA)
- Hands-on experience working with compliance and business personnel, policies, procedures, systems and data sets
- May involve internal or outside counsel
- Bachelor's degree, preferably in a technical or scientific field
- Seven (7) years experience in the pharmaceutical industry and/or FDA experience with at least five years in Quality Assurance/Compliance
- Demonstrated ability to work independently and collaboratively on multidisciplinary and multifunctional teams in the US and global
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Compliance Specialist Senior Job Description
Job Description Example
Our innovative and growing company is looking for a compliance specialist senior. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for compliance specialist senior
- Provide assistance and training to achieve international compliance and communicate the most up-to-date regulations
- Provide guidance to business partners to influence mandate compliance requirements to protect the overall integrity of member data
- Prepare necessary reports and analysis of contract terms compared to compliance requirements for leadership preview
- Lead, structure and guide business partner on mandate requirements during contracting process
- Contribute to development of tools and techniques for business partners’ use
- Contribute to the development of new processes and procedures to enhance efficiency and productivity
- Provide guidance to others in the dept
- Support Issue Management with nonconformity and deviation exception report writing and CAPA implementation for GMP manufacturing and GLP test facilities
- Participates in response development to regulatory inspection observations
- Manages basic conflicts & issues with internal/ external vendors
Qualifications for compliance specialist senior
- Identifies CRA, Fair Banking, Consumer and Community risks through monitoring and business oversight activities including business projects, evaluation of policies and practices, reviewing new business proposals, third party monitoring, complaint review and others where appropriate
- Research complex CRA and Fair Banking regulatory issues that may involve internal or outside counsel
- Interacts and communicates with staff and management of the Bank and requires minimal supervision of work product
- Reviews test results related to CRA, UDAAP, and fair lending to provide guidance and best practices to mitigate Consumer & Community risk and make recommendations for corrective action
- May participate in the development, review and delivery of trainingfor applicable businesses
- Represents team at various meetings as directed