Compliance Reviewer Job Description

Compliance Reviewer Job Description

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Compliance reviewer provides advice and support in relation to the launch of new investment vehicles and products (including attending project meetings and completing NBIA/PIA reviews as required);.

Compliance Reviewer Duties & Responsibilities

To write an effective compliance reviewer job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance reviewer job description templates that you can modify and use.

Sample responsibilities for this position include:

Conduct specialized research to determine disposition of any open records, properly identifying risks and escalating derogatory/high risk findings to Senior Management
Communicates test results with Compliance and business management both verbally and through written Compliance Testing reports
Manage MDAudit software functions by setting criteria for quarterly, semi-annual, annual and biennial physician audits including tracking tools and reports generation
Effectively monitor and create reports with detailed feedback for clinicians clinical and administrative leadership
Visits facilities to interview key management personnel as a method of measuring the degree of implementation of the Ethics & Compliance Program at the facility level
Identifies compliance processes in place at facility and performs transaction testing to ensure that expected outcomes are realized
Coordinates planning of visits with Internal Audit and other Corporate departments to ensure that review responsibilities do not overlap
Maintains current working knowledge of healthcare compliance high-risk areas and measures compliance in these high-risk areas at the facility level
Prepares written reports that document the purpose and results of facility visits along with perceived program weaknesses and recommendations for improvement
Monitors actions by facility ECOs to ensure suggested corrective actions are implemented

Compliance Reviewer Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Compliance Reviewer

List any licenses or certifications required by the position: AML, ACAMS, CFA

Education for Compliance Reviewer

Typically a job would require a certain level of education.

Employers hiring for the compliance reviewer job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Technical, Management, Human Services, Social Work, Psychology, Sociology, Law, Legal, Criminal Justice, Counseling

Skills for Compliance Reviewer

Desired skills for compliance reviewer include:

DoD STIGs and assessment tools
Financial products and investment vehicles
Financial products and investment vehicles would be an asset
IT Networks
Systems and platforms
.NET
ASP
Application development frameworks
Open Web Application Security Project
PCI

Desired experience for compliance reviewer includes:

Bachelor’s degree (preferably Business, Finance or Accounting)
1-5+ years general compliance or comparable experience
Proficient with technology tools (Microsoft Office applications
Familiar with financial instruments including investments, loans and insurance products (needs to understand common financial instruments)
Excellent organizational and analytical skills with an emphasis on attention to detail and professional skepticism
Strong oral and written communication skills when interacting with individuals ranging from staff to partner

Compliance Reviewer Examples

1

Compliance Reviewer Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of compliance reviewer. 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 reviewer
  • Identifies risks and develops methods of assessing risks
  • Conduct loan level reviews for adherence to Federal, State, and Agency guidelines
  • Gather and analyze data including assisting with Fair Lending Analysis as assigned
  • Assist with recommendations for implementation of controls regarding adherence to state and federal law, agency guidelines
  • Promotes highly efficient processes and systems to monitor, assess, and accurately report on the state and federal regulatory changes
  • When assigned, assists the Compliance function to promote awareness of emerging compliance issues and/or regulatory changes
  • Assists operational areas in defining practices that would result in adherence to regulatory compliance objectives as assigned
  • Assists as necessary to ensure training materials and the forum for training are adequate to meet the needs of Freedom Mortgage
  • When assigned, assists in ensuring that changes in regulatory compliance requirements are reflected in our application systems, submits process improvement requests in which automation would help prevent user errors
  • Consults on special projects as requested by the Compliance Officer, Associate Counsel, and Senior Management
Qualifications for compliance reviewer
  • Effective time-management skills and the ability to work in a fast-paced environment
  • Understanding of Independence requirements for professional auditing firms a plus
  • Experience with instructing training courses to groups of at least 20 students
  • Experience with instructing training courses to groups of 20 or more students
  • A minimum of two years of college with a farming or agriculture background
  • Works closely with other staff in Regulatory Compliance
2

Compliance Reviewer Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of compliance reviewer. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance reviewer
  • Act as the go-to compliance partner for technical issues, ongoing training, and all compliance related questions and concerns from the investment teams internal support departments
  • Review loan files and update loan data in Altavera’s due diligence platform and run ComplianceEase
  • Validate test results for certain applicable federal, state and local high cost and/or anti-predatory laws
  • Validate test results for compliance with TILA-RESPA Integrated Disclosure Rule (TRID compliance)
  • Process and data review supporting non-regulated research and some regulated studies in the GLP and GcLP environment in the Biologics Development Sciences department
  • Assist in health authority inspections and document review and completeness for NME declaration documents
  • Interact with Pharmacokineticists and Bioanalysts to ensure the accuracy and completeness of data, reports, and submission documents implement process improvements across the department related to regulatory and internal policy
  • Contribution to the development of departmental SOPs and process training are expected
  • 4-year Science degree is strongly preferred
  • Previous experience in the pharmaceutical industry either in a scientific or quality position is preferred
Qualifications for compliance reviewer
  • Dedicated Compliance Subject Matter Expert focused on compliance process requirements execution and control (documentation control vs
  • Through training courses, onsite shadowing, and check
  • Ride of CCRI Certification for network vulnerability assessments and security scanning
  • Bachelor's degree in Finance, Marketing
  • BS degree in CS, Management Systems, or related technical field preferred
  • A financial services professional, with proven experience in a compliance oversight, audit or controls testing type role
3

Compliance Reviewer Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of compliance reviewer. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance reviewer
  • Experience with ELN -- Electronic Lab Notebook or other computer systems
  • Experience withligand binding assays (ECLIA, EIA, ELISA)and flow cytometry data review is strongly preferred
  • Assist in creation and manage execution of annual Billing Compliance work plan for services including ad hoc audits as they arise
  • Process paybacks including report generation, check requests, cover letters and other supporting documentation as required
  • Review government and commercial payer policy updates
  • Utilize Cobius Audit Tracking Tool reports, manage external hospital audits, including 60 day response cycle for governmental audits and conduct education as necessary or needed
  • Coordinate, assist and/or conduct billing compliance investigations as required, which may include audits designed to review the adequacy of medical record documentation to support claims inquiries into suspected or reported deviation from billing compliance program requirements
  • Design and complete monthly reporting metrics for billing compliance functions
  • Assist in the development of new billing compliance guidelines, procedures, and training programs designed to enhance the effectiveness of billing compliance program, including the participation in personal development activities
  • Track progress and pass rates for scheduled provider audits, including Ambulatory and Inpatient providers
Qualifications for compliance reviewer
  • Minimum 3-5 years experience in a healthcare coding, auditing and/or billing environment, inpatient and/or provider
  • Certified Coder required (CCS, CCS-P, CPC )
  • Ability to present findings and discuss issues with providers and departmental leadership confidently and effectively
  • 3+ years of relevant progressive auditing experience with a focus on identifying risks and evaluating control design and effectiveness
  • Solid foundational knowledge of planning and executing audits focused on control design and effectiveness
  • Understanding of insurance and/or investments business processes, including the applicability of key laws and regulations
4

Compliance Reviewer Job Description

Job Description Example
Our growing company is looking to fill the role of compliance reviewer. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance reviewer
  • Evaluate the adequacy and quality of work performed
  • Apply quality assurance procedures, sample methodology, and related guidance
  • Identify and recommend areas of improvement
  • Contribute to test process enhancement initiatives
  • Communicate QA results with impacted stakeholders and senior management
  • Plan and execute testing in an organized, analytical, and timely fashion
  • Collect statistical QA data for reporting and trend analysis
  • Partner with colleagues and stakeholders to ensure Quality Assurance programs are executed consistently across functions and are based on a robust set of controls and procedures
  • Those with active FINRA Series 7 & Series 24 Licenses, or the ability to quickly attain, will be highly valuable for this role
  • Develops compliance training programs in conjunction with other compliance activities, maintains training records
Qualifications for compliance reviewer
  • Ability to assume ownership of assigned tasks and deliver a quality product within the agreed framework including the hours allocated
  • Able to demonstrate through experience how a proactive approach or initiative has been taken in order to meet an agreed timeline or job requirement
  • Ownership for accurate documentation reflective of the work performed and supportive of the conclusions reached
  • Effective time management with the ability to coordinate and prioritize multiple and competing initiatives
  • Strong verbal and written communication skills with the ability to clearly articulate questions, provide management with relevant information and respond to any questions they may have
  • Ability to consistently meet deadlines and work additional hours where required
5

Compliance Reviewer Job Description

Job Description Example
Our innovative and growing company is looking for a compliance reviewer. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for compliance reviewer
  • Identify the root cause for breaches of local law, regulation policy and/or internal control deficiencies
  • Manage review hours to deliver work on time and in accordance with the agreed upon budget
  • Recommend opportunities to update the test plan based on observations during execution of test work
  • Identify opportunities to enhance operational efficiency and effectiveness both for processes being reviewed and Compliance Monitoring and Testing Methodology
  • Standard marketing review of documents (regulatory materials, sales and marketing pieces) against CY 2018 and CY 2019 MMG/MCMG (Medicare Marketing Guidelines/ Medicare Communications and Marketing Guidelines)
  • Research of regulatory questions about MCMG (Medicare Communications and Marketing Guidelines)
  • Build effective relationships with colleagues to enable partnership and collaboration for control related matters
  • Audit and analyze the documentation accuracy, medical necessity and billing code selection in alignment with CMS, OIG and other applicable professional and technical services regulations and guidelines
  • Work closely with and directly communicate with partners, managers and team members
  • Manage audit software products by setting criteria for quarterly, semi-annual, annual and biennial audits including tracking tools and reports generation
Qualifications for compliance reviewer
  • Post-graduate advanced degree (e.g., JD, MBA, ) a plus but not required
  • 1+ year of formal compliance review experience
  • Some travel may be required, generally domestic but some international travel depending on business requirements
  • Working knowledge of internet-based research, preferably related to mortgage banking compliance requirements and CFPB
  • Ability to interpret and apply applicable laws and regulations
  • Ability to adapt to new situations quickly and effectively

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