Policy Compliance Job Description

Policy Compliance Job Description

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Policy compliance provides alternative recommendations when necessary to assist the business functions to achieve their objectives in a compliant manner.

Policy Compliance Duties & Responsibilities

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

Sample responsibilities for this position include:

Acts as a key advisor to the line of business regarding Information Security policies and compliance with the established policies
Manage the creation, maintenance and compliance activities related to TW and WB information security policies, standard, and procedures
Write, maintain and update accounting policies, technical position “white” papers which document and support research and policy conclusions
Coordinate all ongoing activities related to the development, implementation, maintenance and adherence to the Institute's policies and procedures covering the privacy of, and access to, patient health information (HIPAA), student records (FERPA), customers personal information (GLBA), and credit card information (PCI) in compliance with federal state laws, contractual agreements, and information privacy best practices
Work with appropriate members of the Institute to provide guidance and assistance with the formulation, implementation and recommendation of Institute security policies
Work with Compliance partner organizations to ensure policies and standards comply with appropriate industry standards and regulations
Coordinate the roll out of a Global Policy Standard and template
Manage dialogue with stakeholders
Build and maintain key relationships across the wider Compliance department and with key partner control functions
Work with Core Business and Technology Leaders to execute the strategy

Policy Compliance Qualifications

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

Licensing or Certifications for Policy Compliance

List any licenses or certifications required by the position: ISO, III, IAT, CISSP, CISA, PMP, SHRM, US, CIPP, CHC

Education for Policy Compliance

Typically a job would require a certain level of education.

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

Skills for Policy Compliance

Desired skills for policy compliance include:

Policies
Affordable Care Act
Cancellations and reinstatements
Department goals and business objectives and contribute to best practice development to support the objectives
Endorsements
Proposed terms and plan language to ensure compliant policy issuance
Contemplated strategies
Several banking business products
Aspects of business procurement functions
Contract drafting principles within technology organizations

Desired experience for policy compliance includes:

Process/Risk/Control Frameworks
Coordinate Financial Management Business Risk & Control Mapping activities
Develop and maintain Financial Management Business Continuity plans
Develop and put forth strategic initiatives that will enhance the overall objectives of the department and the company
Create short and long term strategies that align with the overall strategy
Good business technical skills to understand the business change aspects of information security, familiarity with Cloud technologies would be an advantage

Policy Compliance Examples

1

Policy Compliance Job Description

Job Description Example
Our growing company is looking to fill the role of policy compliance. 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 policy compliance
  • Work with the Head of Risk and Compliance to ensure appropriate policies and procedures are established and maintained
  • Monitor AML, BSA, and OFAC industry developments and maintains knowledge of new and amended laws, regulations, and regulatory guidance
  • Participates in committees, meetings, projects and initiatives as directed
  • Research new accounting pronouncements
  • Provide consultative services to the Bank for cost and financial accounting and risk services
  • Lead and plan the company-wide SOX program
  • Maintain partnerships within FRBNY policy makers, the FRS System and FIRST committee
  • Provides explanation of analysis findings as results
  • Deliver on projects within the STP Policy Management and Compliance group
  • Implement processes for the identification of new intercompany transactions
Qualifications for policy compliance
  • Work with countries and external vendors to capture employee relations case information (number of cases, types, etc) and analyze for trends
  • Exceptional understanding of the OECD Transfer Pricing Guidelines, the OECD Report on the Attribution of Profits to Permanent Establishments, Canadian, US and UK transfer pricing rules and practices and specific and proven experience with applying transfer pricing concepts to global trading of financial instruments
  • Solid knowledge of international corporate taxation and key provisions in the major tax treaties, specifically on taxation of permanent establishments, presence of dependent agent permanent establishments, knowledge of Canadian federal income tax
  • Relevant experience in working with the CRA and the Advance Pricing Agreement Program and making Competent Authority requests under
  • Relevant tax treaties
  • Ability to develop and motivate a team of high performing individuals
2

Policy Compliance Job Description

Job Description Example
Our company is growing rapidly and is looking for a policy compliance. 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 policy compliance
  • Maintain and update regularly the Company's suite of compliance policies
  • Generate clear and independent recommendations related to needs within the area of compliance policies/communication/training and deliver successfully
  • Support intercompany tax reporting and audit to satisfy regulatory requirements
  • Implement process improvements to increase efficiency
  • Embed and promote the Compliance framework across the Risk function and to demonstrate effective management of compliance with regulatory rules and requirements
  • To regularly report on this activity, via the Compliance Plan and Compliance Risk Assessment methodology
  • To provide Compliance and Conduct Risk SME knowledge and support, where relevant, across the business ensuring the bank remains regulatory compliant and customer centric
  • Liaise with regulatory and industry bodies and groups to better understand regulatory change initiatives and industry best practice when responding, but also to
  • Manages 21st Century Fox (21CF) and Fox Corporate policy acknowledgements for Film and Networks divisions worldwide
  • Monitors new hire acknowledgement process through OnBoarding
Qualifications for policy compliance
  • Proven ability to identify risk and emerging trends
  • 5-10 years of AML/BSA/KYC Compliance experience that includes KYC policy writing
  • Ten years total banking experience with an emphasis in commercial lending
  • Thorough knowledge of bank commercial lending operations activities
  • Strong Excel, Word and Power Point skills ability to become a subject-matter expert in new authoring and workflow technology and portal management
  • 3 to 5 years progressively complex related experience
3

Policy Compliance Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of policy compliance. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for policy compliance
  • Coordinates and partners with other areas of the company such as Corporate Compliance, Internal Audit, Procurement and IT areas, to guarantee that the federal recommendations and regulations are met, proper training is developed and conducted, and that proper policies and procedures are in place
  • Perform independent analysis and audits of business and delegated entities policies and procedures and make recommendations for necessary training and policy revisions
  • Evaluate existing policy language
  • Develop business rules for the Information Technology team
  • Respond to routine compliance-related questions (escalate any complex or high risk matters to the Head of Risk and Compliance) whilst working collaboratively with the business to pragmatically resolve any issues
  • Support the Head of Risk and Compliance with the collation of monthly MI data and complete business reports as required
  • Assist the MLRO regarding suspicious transaction investigations and processes together with any fraud trends
  • Periodically conduct reviews & support 3rd party on-boarding/ongoing due diligence to ensure execution of compliance standards
  • Assist with data requests for scheduled compliance visits from regulators and third party auditors
  • Facilitate regulatory and industry horizon scanning and work with key stakeholders to ensure implementation
Qualifications for policy compliance
  • Strong proven customer service experience
  • Experience in visa administration a plus
  • 2 to 5 years experience drafting policy language
  • 1-3 years previous product development experience, preferably within employee benefits, group life and A&H lines
  • Phenomenal writing and verbal communication is a must
  • Experience using SERFF, I-File, and NILS-Insource
4

Policy Compliance Job Description

Job Description Example
Our company is looking for a policy compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for policy compliance
  • Liaise with external Agencies (Police, DWP, NCA, ) to provide information and statements
  • Assist with risk management support to the business and ongoing monitoring
  • Provide support and perform other functions as may be assigned by the Head of Risk and Compliance and management
  • Attend industry seminars and/or workshops as required
  • Maintain level of regulatory and industry knowledge
  • Acts as deputy for Head of Risk and Compliance
  • Strong knowledge of the enterprise and the IT systems that support the business functions be aware of the contextual factors that influence them
  • Consults with key internal Medicare Revenue business partners, and other business areas as necessary, to ensure that Medicare Revenue processes and procedures are appropriately documented and are compliant with CMS regulations
  • Consults with key internal Medicare Revenue business partners, and other business areas as necessary, in the development and delivery of educational materials and trainings
  • Performs independent and ongoing analysis on Medicare Revenue processes and makes recommendations for necessary training, policy development and/or revisions and process enhancement
Qualifications for policy compliance
  • Possess a working level knowledge of Information Security program concepts, practices, and standards, practical experience in the design and implementation of business processes
  • Exceptional communication and advocacy skills, both verbal and written, with the ability to express complex and technical issues and communicate effectively and tactfully to all levels of personnel
  • Ability to work successfully in a cross matrixed IT and business team environment
  • Ability to formulate detailed technical documentation, remediation requirements
  • Must be experienced with Excel
  • Recent Big 4 or recognized public accounting firm audit experience
5

Policy Compliance Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of policy compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for policy compliance
  • Develops reporting structure and tools to monitor Medicare Revenue training and educational initiatives
  • Oversees genomic/biomarker patient consent processes, including negotiation and tracking
  • Assists in the management of external vendor engaged in study-specific genomic/biomarker consent development, negotiation and review
  • Oversees documentation of processes (including job aides and SOPs) other documents necessary for department activities
  • Direct point of contact for multiple stakeholders within the company for questions related to genomic and biomarker consent
  • Collaborates and communicates within and across stakeholder work groups
  • Assists in the development of genomic and biomarker language for MRL protocols and consents
  • Makes decisions that require choosing between limited alternatives to resolve problems of moderate to high complexity
  • Create, build, implement, own and maintain strategic plans with clear objectives for compliance policy, compliance training, and compliance communications based on changing departmental needs, with oversight from management
  • Complete tactical deliverables in line with needs, strategy, and objectives
Qualifications for policy compliance
  • Bachelors Degree in Business, Information Systems, Health Care Administration or related field or equivalent years of related experience required
  • Prior paralegal or equivalent experience is not required, but would be a plus
  • Prior compliance experience or working knowledge of AML or Financial Crime Compliance is not required, but would be a plus
  • Able to view computer terminal/screen, sit, stand or walk for long periods of time
  • Ability to operate office machines including telephone, photocopier, fax machine, calculator, laptop, mobile phone
  • Ability to reach, grasp and move items

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