Compliance Supervisor Job Description

Compliance Supervisor Job Description

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Compliance supervisor provides quality systems compliance support and guidance in order to maintain compliance with all FDA, and other U.S., and international regulatory requirements as applicable, specifically in the Europe region.

Compliance Supervisor Duties & Responsibilities

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

Sample responsibilities for this position include:

Ensure compliance for all funds and accounts as mandated in governing documents
Complete annual compliance test plan, strategy, and timeline as appropriate
Identify and communicate heightened regulatory compliance risks and escalate as needed
Work with Global Trade Compliance Manager to address any issues with U.S. Customs and with associates worldwide to address customs issues in individual countries
Review information relative to terms, contracts and compliance with legal requirements and corporate policy
Manage the compliance program, and related projects, to ensure adherence with international import/export laws
Work with the first line of defense when they self-identify a compliance-related issue, breach, in their processes
Manage escalated program, system/vendor inquires or issues to resolution in a timely and professional manner to ensure program compliance and optimal customer support
Maintains detailed knowledge of broker/dealer regulatory requirements and related firm policies
Develops a detailed understanding of bank holding company regulatory requirements

Compliance Supervisor Qualifications

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

Licensing or Certifications for Compliance Supervisor

List any licenses or certifications required by the position: RAPS, ASQ, RQAP-GLP, CQA, CQE, CQM, GMO, NAFTA, CRCM, SOX

Education for Compliance Supervisor

Typically a job would require a certain level of education.

Employers hiring for the compliance supervisor job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Business, Education, Accounting, Finance, Science, Engineering, Management, Technical, Business/Administration, Graduate

Skills for Compliance Supervisor

Desired skills for compliance supervisor include:

Excel
Subscribing to pertinent periodicals
By maintaining memberships to various quality organizations
By pursuing certifications through ASQ
Document control systems/procedures
Quality/regulatory requirements by attending courses and seminars quarterly
SAP an advantage
Banking
Compliance
FCPA and other applicable U.S. regulations

Desired experience for compliance supervisor includes:

5+ years' of professional work experience in related fields
Ability to read and interpret contracts to determine financial ramifications (revenue recognition and overall risk assessment), an ability to demonstrate an attentiveness to detail, identify discrepancies, conduct research, resolve discrepancies
Degree Qualified in Finance, Accounting or Equivalent
Assists in facilitating communication with various firm regulators, including FINRA, SEC, Federal Reserve, and external auditors
Develop and facilitate Finance staff training on Regulatory Reporting
Acts as the firm’s internal consultant in interpreting the FRRs

Compliance Supervisor Examples

1

Compliance Supervisor Job Description

Job Description Example
Our innovative and growing company is hiring for a compliance supervisor. 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 supervisor
  • Takes the lead in the implementation of 5S in the work station and compliance with safety and ISO standards and specifications
  • Ensure compliance with cGMP and DEA regulations site SOPs
  • Quickly identify compliance deficiencies, collect all relevant data and recommend corrective measures to Regional Managers
  • Assess and monitor the effectiveness of the Compliance Structure in place in the regions
  • Ensure prompt corrective action with the Regional Director to address situations reported by regulatory agencies, internal audit and compliance auditors
  • Ensure TABC compliance of the staff members
  • Member of Compliance Functional Focus Group
  • Participate in selecting, hiring, motivating, and monitoring career development
  • Document employee relations issues and counseling sessions
  • Oversee transactional testing and periodic monitoring and assessment reviews related to applicable regulatory requirements
Qualifications for compliance supervisor
  • 4-6 years in a large corporation or similar experience in a large accounting firm
  • BA degree or equivalent accounting/auditing work experience
  • Proficient in Microsoft Outlook and Micrsoft Office Suite
  • Proficient in Microsoft Outlook and Micorsoft Office Suite
  • Experience in performing financial audits of financial processes and systems required
  • Experience in developing and managing audit programs desirable
2

Compliance Supervisor Job Description

Job Description Example
Our company is looking for a compliance supervisor. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance supervisor
  • Responsible for the day to day management of compliance and reporting requirements between Facey Medical Foundation UM Department and the health services and contract areas of the health plans
  • Able to identify risk and compliance issues
  • Able to facilitate the implementation of compliance with regulatory requirements
  • Maintains a deep understanding of jurisdiction requirements and provides learning administration and compliance monitoring support
  • Supports any audit of CPE compliance
  • Demonstrates general technical knowledge and keeps abreast of emerging knowledge, trends and lessons learned regarding CPE reporting compliance and related areas
  • Adjusting schedules to meet demands of customers
  • Responsible for training/mentoring of assigned team members
  • Ensures that arrangements and documents required for visits of ISO audit team in the course of certification and renewal audits are available
  • Provides support to Comptroller in ensuring concerned department's Internal Control activities are being followed according to their policies and procedures
Qualifications for compliance supervisor
  • LEAN certification/Six Sigma training or comparable preferred, or must be able to complete with possible travel to NT facility
  • Experience working in the Asia Pacific region desirable
  • Completion of approved program in Medical Technology, Histotechnology, Cytology or equivalent knowledge
  • Demonstrated willingness or desire to further develop interpersonal communication skills
  • A high level of motivation strong communication (written and oral) and interpersonal skills, with the ability to communicate with both internal and external constituencies, are critical
  • Master's in Tax is preferred
3

Compliance Supervisor Job Description

Job Description Example
Our growing company is hiring for a compliance supervisor. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance supervisor
  • Develops, conducts and/or coordinates all required annual employee refresher training programs, drills, program audits and updates in the area of DOT compliance
  • Responsible for the development, delivery and ongoing oversight of import/export compliance processes by understanding and applying relevant Vietnamese and US international laws and regulations
  • Represent the company as needed with customs and trade officials to develop solutions to resolve trade compliance issues with relevant government agencies
  • Identify trade compliance risks and provide guidance for mitigation
  • Act as the key contact the Claims Auditor & Compliance Specialists
  • Mentor, coach, and support career path development for your direct reports
  • Actively participate in leadership activities
  • Monitor alcohol service, ensuring that patrons who look under age 35 are carded, that no guest is served more than 2 drinks at a time and that intoxicated patrons are not served
  • Monitor patrons, looking specifically for "pass offs" and intoxicated guests
  • Supervise the QC Chemistry Training Program.Ensure staff is adequately trained to perform job assignments.Execute training in accordance with written procedures, this would include but is not limited to training subordinate staff, perform training assessments, document training, assist in the preparation of training programs and curricula
Qualifications for compliance supervisor
  • May be Auditor in Charge on an Audit
  • Adds value through consultative interactions with business line management
  • Carries out the day to day management of personnel or multiple operations to continually meet all Water Quality and/or Clean Water Act Requirements
  • Effective written and verbal communication skills (ex
  • Strong interpersonal skills (ex
  • Effective leadership skills, presence, and strong team building
4

Compliance Supervisor Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of compliance supervisor. 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 supervisor
  • Influence others to understand compliance requirements and implement compliant solutions
  • Evaluate metrics, perform site walk throughs, understand issues and participate in document review to ensure awareness of key compliance concerns for the site
  • Maintain constant knowledge of emerging industry trends and compliance topics
  • Provide direction and mentoring to compliance and quality professionals in meeting their tactical and strategic objectives – focusing upon the support of ongoing base business and system improvements – in a compliant, cost-competitive manner
  • Ensure team members are fulfilling responsibilities on time and partnering well with internal/external customers of the Compliance group
  • Assistance with kronos
  • Maintenance of letter templates in Global Works
  • Develops and coordinates updates to IDX referral screens
  • Assist Administrative Director of Managed Care, UM case manager Supervisor, Contract Manager, Case Managers, Request Specialist Supervisor and UM staff as needed
  • Ensures that all professionals’ designations, requirements, and historical data are properly reflected in KRU on Demand
Qualifications for compliance supervisor
  • Excellent quantitative skills (ex
  • Ability to supervise a geographically diverse and dispersed organization
  • Minimum of Bachelor’s Degree with major in Biology, Chemistry, Life Sciences, Environmental Science or equivalent other environmental area (Microbiology, Environmental Engineering)
  • Two (2) to four (4) years experience in water, and/or wastewater, and laboratory operations
  • Carries out the day to day management of laboratory personnel or multiple operations to continually meet all Water Quality and/or Clean Water Act Requirements
  • Experience and understanding of collection processes and financial accounting
5

Compliance Supervisor Job Description

Job Description Example
Our company is hiring for a compliance supervisor. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance supervisor
  • Resource for compliance initiatives that impact Claims (10%)
  • Remains abreast of developments in the field(s) of claim/benefit delivery, compliance issues, legal issues and claims administration by pursuing a program of self-development, participating in professional organizations, interacting with peers, reviewing pertinent literature, and other forms of networking
  • Daily operational support and management of a team of BSA Compliance professionals
  • Coordinate with other members of broader BSA Compliance management team to ensure adequate performance of department mission
  • Review the organizational business unit processes and procedures to ensure compliance with BSA/AML regulations
  • Track data input for customer complaints from Compliance Investigators to ensure Follow-up and Final FARs are being submitted in a timely manner
  • Assist in training new employees and refining training programs for Compliance Investigators and deliver facilitated training as required
  • Ensures safety and environmental awareness and compliance by all department employees
  • Assures compliance to all regulatory standards
  • Participates on committees and teams supporting GMP compliance programs and initiatives
Qualifications for compliance supervisor
  • 5 years’ experience in quality system and/or documentation systems to include FDA or FAA regulated document control and/or configuration management
  • A bachelor’s degree or high school diploma and 10 years’ experience
  • 3 years' experience supervising/managing direct report(s)
  • Excellent working knowledge of quality system regulation, configuration and documentation management processes and practices
  • Proficient in Product Lifecycle Management tools, including administration tasks
  • Ability to multiplex tasks and requests without losing accuracy or impacting schedule

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