Compliance Support Job Description
Compliance support
provides oversight of the Quality System (process, systems and procedures) to facilitate ongoing pharmaceutical development activities with oversight for adherence to the current regulations and industry best practices.
Compliance Support Duties & Responsibilities
To write an effective compliance support job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance support job description templates that you can modify and use.
Sample responsibilities for this position include:
Partner with RCSA leads where thematic GIM controls issues are identified
Coordinate global updates across regional teams
Host frequent meetings, including creating and driving the agenda
Draft status reports
Coordinate and schedule ongoing project meetings
Monitor status of projects or open issues and provide reports to senior management
Organize project documents
Schedule meetings for follow-up or to obtain status updates from project leads
Work with the regulatory team to assist with various responsibilities relating to tracking and monitoring regulatory updates or regulatory impact of business projects
Review and analyze weekly regulatory updates
Compliance Support Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Compliance Support
List any licenses or certifications required by the position: ITIL, CISSP, LEAN, HAZWOPER, CIPP, CAP, GSLC, CISM, CASP, UK
Education for Compliance Support
Typically a job would require a certain level of education.
Employers hiring for the compliance support 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, Engineering, Management, Computer Science, Accounting, Associates, Technical, Business/Administration
Skills for Compliance Support
Desired skills for compliance support include:
Current industry trends
Familiarity with mobile development
Software development methodologies and lifecycles
Microsoft Office Suite
DOT Regulations and Company Policy
Excel
PowerPoint
Access control systems and web application firewalls
All higher directives
EMASS and NAV-IDAS online system management and procurement tools
Desired experience for compliance support includes:
Review, update, draft and interpret policies
Provide project coverage as required (e.g., business line coverage, marketing reviews, regulatory exams)
Participate in training development and delivery
Work with L1 and/or L2 resources assigned to support change activities, ensure the individual has read and understands the necessary implementation steps, roll back plan and post release checks
Receive requirements from the Service Manager for the Service Management Improvement initiative
Create Post Implementation Reports for releases and they are an accurate and complete representation by peer review with the Ops Lead
Compliance Support Examples
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Compliance Support Job Description
Job Description Example
Our growing company is hiring for a compliance support. 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 support
- Development and presentation of Webinars
- Support the annual Third Party Review process for supplier locations in the UK, and in the region
- Develop and maintain strong relationships with Records Coordinators in peer organizations
- Review opportunities for scanning/imaging solutions for records retention where appropriate
- Initiate and maintain professional relationships with other managers at competitors and related organizations
- Participate in the development of training materials related to enhancements
- Participate in the design of a mock systems audit
- Audit hardcopy brokerage statements as needed
- Analyze reported payments and transfers of value in source systems and prepare responses to payment inquiries
- Work with field employees, global, and home office personnel from various lines of business to address and correct payments erroneously reported
Qualifications for compliance support
- MBA / Master's in Taxation
- Foreign exposure
- Manage multiple disputes through the remediation lifecycle
- Work with various lines of business and external vendors to request supplemental documentation to support payment-related inquiries
- Analyze large data sets to identify data anomalies and trends
- Perform data analytics and monitoring/audit activities on source system data to ensure compliance with company policies and procedures
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Compliance Support Job Description
Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of compliance support. 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 support
- Drafting compliance policies and assisting the business to develop Standard Operating Procedures (SOPs) and Written Supervisory Procedures (WSPs) to comply with business and corporate policies
- Development, maintenance and execution of SOPs for the teams compliance control activities (monitoring and testing)
- Assisting in the completion of compliance risk assessments
- Assisting in preparing for, and completing field office examinations
- Supporting the regulatory alert process
- Support ILI and PA management in the completion of special assignments or projects
- Assisting with the development of risk based surveillance reports
- Directly lead and manage all operations of the CoreQA Development Support teams in Bucharest, Hyderabad, and Baton Rouge
- Manage the long-range resource and financial planning activities for the teams, including working with stakeholders to develop suitable resource plans for each project, submitting regular financial forecasts as required by the business, communicating available resource levels to the OneQA Management team, and mitigating potential future capacity issues
- Develop positive working relationships with partner QA teams around the world
Qualifications for compliance support
- Is aware of Performance tuning concepts such as explain plan, query optimization, table scans
- Has been exposed to at least one workflow system and understands concepts such as workflow states, functional roles, permissions
- Has an excellent investigative and analytical skill, able to quickly identify the core issues in order to improve and fix services and processes
- At least 2 years experience in Compliance lead
- 5-7 years of relevant compliance, regulatory, business or audit experience
- Strong understanding of life insurance products and sales concepts
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Compliance Support Job Description
Job Description Example
Our company is looking to fill the role of compliance support. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance support
- Collaborate closely with other QA functions around the world, along with EA Certification, on the development of shared tools, processes, policies and service provision
- Create key performance indicators (KPIs) for the group and publish them on a regular basis, ensuring that all team members are working to meet them
- Translate the CoreQA Roadmap into local team objectives and cascade these throughout the local teams
- Meet frequently with direct reports to discuss operational issues, workload, successes and challenges, longer-term personal development and career goals, and to provide coaching and mentoring as needed
- Complete allocated compliance related tasks accurately and in a timely manner and where necessary escalate concerns to line management to ensure matters can be considered
- Review regulatory change and guidance relating to non-financial crime compliance, interpreting rules, principles and initiatives
- Summarise and distribute outputs with proposals for required action
- Create and maintain risk assessments relating to non-financial crime compliance ensuring reviews are conducted in line with policy and in a timely manner
- Take responsibility for the design and implementation of non-financial crime compliance policies and procedures as required in order to meet the requirements of new/updated regulations/legislation and embed these within the bank
- Act as the Bank's subject matter expert in relation to all non-financial crime compliance matters
Qualifications for compliance support
- Strong leadership and relationship management skills, including the ability to interact and influence multiple levels of business management, work independently in a team environment
- Self motivated professional who will take proprietary ownership of their work and has a proven communication, analytical and project management skills
- Ability to assess, investigate and interpret complex issues
- Working knowledge of the regulations directly impacting life insurance sales activities
- Series 7, Life and Health Licenses or ability to obtain within 6 months of hire
- This position will require overnight travel of approximately 15 - 20%, travel to Prudentials NJ/PA locations (Newark/Woodbridge/Fort Washington) for training and meetings, as needed
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Compliance Support Job Description
Job Description Example
Our company is looking to fill the role of compliance support. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance support
- Run ad-hoc reports for users providing data as requested
- Support the development of remediation solutions for audit findings
- Provide administrative support in the CNAP Information Assurance Manager (IAM, CNAP N64 Division Officer) tracking and reporting Cybersecurity compliance of CNAP HQ and subordinate commands
- Escalate potential risks or anticipated impacts as needed
- Providing advice and support to employees regarding personal trading
- Engaging employees with regards to their Personal Trading Activities
- Reviewing contents of documents/statements
- Tracking and following up on missing documentation
- Coordinating progress with regional Core Compliance Colleagues
- Acting as a liaison with SunGard, the PTA vendor
Qualifications for compliance support
- Series 7 or ability to obtain within 6 months of hire
- Reports to and supports the Global Information Manager – APAC
- Contact for LOB engagement and support, ensuring compliance with program initiatives, working with suppliers and the Global Information Management (GIM) team
- Develop and maintain strong relationships with Records and Information Coordinators in the lines of business
- Provide required training of users on Global Information Management policies, guidelines, processes, controls and systems
- Attend focus groups and forums to review records management trends, regulatory changes and possible implications to JPMC
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Compliance Support Job Description
Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of compliance support. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance support
- Provide privacy and other compliance related guidance on high complexity issues (e.g., anti-corruption, grants, ) and training to internal organizations and groups - both formal and ad-hoc
- Promote a strong compliance culture and raise awareness of ethics and business integrity
- Perform documentation reviews of residential lending closing disclosures as pertains to TRID and identify discrepancies from established guidelines
- Prepare and coordinate the execution of all in between campaign activities which include ensuring cleaning and setup of equipment for the upcoming campaign
- Track and review changeover activities and forms, SOP’s logbook entries
- In close co-operation with all Business Areas (Molecular Solution, Centralized & Point of Care Solutions, Solution Integration & Services) jointly defines the vision, strategy and interfaces for centrally provided support and services in accordance with business needs internal and external obligations/regulations
- Provide business process ownership to ensure cross BA adherence to standards in accordance with business needs internal and external obligations/regulations
- Stakeholder Management – develop and maintain effective relationships at all levels and ensure the flow of information
- Supervisor for a group of 6-7 people, either the Cell Culture Compliance team or the Warehouse, Solutions and Support Compliance team
- Maintain collaboration with counterparts in support functions such as QA and Engineering
Qualifications for compliance support
- Is conversant with general UNIX commands related to file/directory handling, file transfers, delimited and fixed width file manipulations, vi editor, processes, space utilization
- Review current operational processes with internal client base regularly through client focus groups and liaison with Senior Front Office management
- Assist in GIM training and education sessions
- Provide support and back-up to GIM Program managers as required to support Program Initiatives
- Willingness to be cross-trained in all GIM Program requirements
- Working and support local Compliance in ensuring services adhere to local laws and corporate policies