Lead-Compliance Job Description
Lead-Compliance Duties & Responsibilities
To write an effective lead-compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included lead-compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Lead-Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Lead-Compliance
List any licenses or certifications required by the position: CISSP, CISA, CRCM, CISM, PCI, ISO, PMP, ACAMS, SOX, ITIL
Education for Lead-Compliance
Typically a job would require a certain level of education.
Employers hiring for the lead-compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Associate Degree in Business, Education, Finance, Law, Technical, Engineering, Business/Administration, Graduate, Computer Science, Science
Skills for Lead-Compliance
Desired skills for lead-compliance include:
Desired experience for lead-compliance includes:
Lead-Compliance Examples
Lead-Compliance Job Description
- Responsible for minimizing/eliminating exposure to all vendor non-compliance issues impacting business results
- Manage weekly reports and chargeback invoices to 3PL, suppliers and carriers
- Thoroughly read compliance documents and manage/update/create retail compliance matrix
- Know when to escalate vendor violations and performance issues based on established standard operating procedures
- Perform remote and onsite vendor assessments
- Analyze risks associated with using a vendor on current and future outsourcing projects
- Lead and plan an audit with minimal or no input from the Job Manager
- Work independently and with minimal supervision or guidance
- Communicate with upper levels of management with the ease and skill of a Manager
- Work directly with high level attorneys and Compliance personnel
- An extremely high level of personal integrity and discipline
- Interest and rapidly gain aptitude with little direction in order to understand processes, platforms and products in internet marketplaces
- Previous experience in an IT Security and Controls role
- Previous experience in an Infrastructure and/or Application Support role
- Solid understanding of Business Continuity and Disaster Recovery practices
- Excellent project management, planning, and meeting facilitation skills
Lead-Compliance Job Description
- Lead or participate in technical or non-technical projects related to the entire department
- The Lead Compliance Specialist will report to a Manager
- The Lead Compliance Specialist will have no direct reports for counseling purposes
- Foreign Corrupt Practices Act control reviews
- U.S. Government Contract pricing
- Other work or special projects as required
- Managing relationship with BMO bank
- Manage Cash related escalations
- Project management related to strategic process improvements
- Admin ownership of OLBB access
- Highly collaborative – strong experience working with and influencing cross functional teams on processes, procedures, culture, tools, including strong partnership skills, building relationships, and understanding how to find common ground to deliver on objectives
- Proven track record of direct engagement with Health Authorities pre-inspections, hosting, and post inspection management
- Proven track record of successfully working in interdisciplinary teams and of simultaneously planning, coordinating and leading activities on multiple projects in DRA/TechOps or site initiatives bearing Quality Compliance accountability
- Regularly demonstrated active contributions to line functions or project teams, change or site transfer teams ability to contribute to matrix teams with the necessary strategic thinking
- Computer literacy in MS-project, Power Point, document management systems, databases and ability to quickly learn new software, tracking tools and associated processes
- Excellence in negotiation and communication skills capability to influence others in a matrix organization
Lead-Compliance Job Description
- Exhibit manager behaviors such as communicating in a candid, transparent and persuasive manner, building an optimistic environment, responding resourcefully and constructively to new priorities and challenges, and remaining calm and constructive during tense or stressful situations
- Reviews testing and analyses performed, monitors evidence gathering for IT control reviews, evaluates results, and confirms conclusions about the adequacy of IT controls
- Confirms the preliminary results of IT control assessments and conclusions made by the auditor or based on the evidence provided and confirms the facts of the findings
- Undertaking Continuous and Strategic (thematic) monitoring reviews (to include risk assessment, planning, fieldwork, close out meetings and report production ) in Henley, London, overseas group offices and at third parties as required to ensure company functions are adhering to company policies, procedures and regulatory requirements
- To undertake ad hoc work/projects as determined by the Head of Monitoring and/or Director of UK Compliance, including providing cover for tasks performed by the Monitoring team
- Develops and maintains the IPPS-A Operational Audit Plan
- Participate in functional analysis to document complex process steps, tasks and their inter-relationships with regards to operational and managerial controls
- Supervise reports, validations sent by team members
- Define and monitor implementation of plans and objectives, in line with NGBS strategies
- Support Streams in the identification of Risks and manage NBS Risk Map ensuring these are appropriately mitigated
- Quality type background with problem solving methods
- A Bachelors will be required preferably with a major in Accounting, Finance or other business disciplines are preferred
- A professional certification (CIA, CPA, CMA, or CFE) is strongly preferred
- This position will require up to 35% domestic and/or international travel
- Advanced/Fluent level of English
- Computer literate with extensive experience using development tools such as a Parts List system (SAP), a Configuration Management tool (DDTS) and Microsoft Office suite
Lead-Compliance Job Description
- Support the continuous improvement of ITS and Q-CSV CoE compliance programs associated with remediation follow-up activities for new regulation gap closure
- Work with the Operations and Quality groups to interpret and evaluate risk associated with internal audit and health authority inspection findings and provide compliance support to ensure the development of robust corrective action plans that address the root cause of issues
- Perform gap assessments between current practices and new regulatory expectations, as communicated via new health authority regulations, guidance, and enforcement trends
- Support Health Authority inspection readiness activities
- Contribute to the content for writing SOPs, WIs and Policies for compliance programs
- Build and maintain trusting, collaborative relationships and partnerships with internal and external stakeholders to accomplish business objectives
- When applicable, lead the delivery of education and training on compliance requirements, procedures and controls
- Handles to completion escalated customer concerns ensuring resolution in a timely and accurate manner
- Remains proficient in all representative responsibilities
- Strong communication skills and ability to interact with internal IT, legal and business partners
- Proven team leadership, coaching and mentoring
- Strategic thinking/ conceptual thinking
- Demonstrated experience in IT Governance and Compliance
- Working knowledge of Risk Management, Information Security, Controls, and IT Audit practices or some combination thereof
- Working knowledge of global Privacy Regulations
- Applied knowledge of Project Management tools
Lead-Compliance Job Description
- Execute existing interpretations of regulatory requirements and quality standards
- You will be the lead for Regulatory visits (Kosher/Halal/Trading standards) and external Quality & Food Safety Audits, addressing any actions and communicating them
- As a people manager you will ensure total employee involvement – Building capability with your team, 100% Performance Development Plans in place, Compliance to standards , performance management and adherence to our Quality & Food Safety Pre Requisite Programmes
- Responsible for NCQA compliance and documentation for specific NCQA standards (as related to Appeals and Grievances)
- Acting as the point of escalation for a vendor team of analysts to surface policy queries, technical issues and potentially disruptive operational issues
- Oversight of a growing vendor team to ensure that TATs and SLAs are maintained
- Supporting the scaling of operations through diligent resource planning, volume forecasting and upstream risk management
- Apply analytic techniques to complex information sets in order to make logical and supported recommendations
- Consistently seeking operational efficiencies through process enhancements and policy improvements
- Maintain documented policies, flowcharts and desktop procedures
- General working knowledge of IT processes, risks, and controls in the computer operations, system development, change control, and security functions
- Knowledge and experience with Sarbanes-Oxley (“SOX”) and risk-assessment practices, and identifying and testing IT General Controls (“ITGCs”) in a variety of technical environments, including mainframe, Unix, Windows, Oracle databases, SQL databases
- Ability to interpret and clearly document IT threats, risks and impacts to all levels of the organization
- Performs audits of protocols, study phases, raw data, amendments and final reports of non-clinical, analytical and bioanalytical studies conducted in compliance with international and domestic GLP and OECD GLP regulations (in-house and multi-site as applicable), Study protocols and Procedural documents
- Uses discretion and independent judgment in providing recommended corrective actions to management and key study personnel
- Independently perform qualification audit of subcontractors