Specialist, Compliance Job Description
Specialist, compliance
provides core compliance services including non-discrimination testing, operational reviews and government filings, including determination letter and corrections applications.
Specialist, Compliance Duties & Responsibilities
To write an effective specialist, compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included specialist, compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Interface with colleagues in other departments to gather Open Payments reporting business requirements and related transparency information
Provide quality support to ensure compliance with policies and SOPs related to AE/PQC reporting
Monitor AE/PQC reconciliation documentation progress by vendors
Monitor timely completion of program closure
Take appropriate remedial action for non-compliance
Communicate and coordinate with internal and external partners
Maintaining key records for purposes of Compliance review, QA/QC, and/or regulatory inquiry
Assist with data and information gathering for compliance audits and regulatory examinations
Follow up to ensure exceptions noted in internal and external compliance reviews, audits and exams are cleared timely and properly
Participate in meetings dealing with aspects of regulatory compliance
Specialist, Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Specialist, Compliance
List any licenses or certifications required by the position: CIPP, CAMS, CISSP, JD, COS, CHC, SEBI, SHRM, CHSP, CHFM
Education for Specialist, Compliance
Typically a job would require a certain level of education.
Employers hiring for the specialist, compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Education, Business, Accounting, Finance, Business/Administration, Technical, Business Operations, Science, Engineering, Law
Skills for Specialist, Compliance
Desired skills for specialist, compliance include:
Compliance techniques for the financial services industry
Financial instruments
Experience with Windows applications and Microsoft Office
Repair and engineering
Child development
Excel
PowerPoint
Early childhood education
Form 5500 and non-discrimination testing
AA Tech Ops policies and procedures
Desired experience for specialist, compliance includes:
Have acquired a level of education/certification in an audit or compliance discipline
Proven experience in responsibility for the end-to-end security of the business process, managing, assessing and initiating implementation of all information security controls
Knowledge of relevant standards (ISO / ITIL)
4/5 years of previous experience in auditing/consulting firms or within the Compliance Department of big and structured Multinational Companies
Good knowledge of Italian Legislative Decree 231/01
Familiar with Process analysis, risk & control system evaluation and auditing methodology
Specialist, Compliance Examples
1
Specialist, Compliance Job Description
Job Description Example
Our company is searching for experienced candidates for the position of specialist, 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 specialist, compliance
- Participates in and leads audits
- Will be assigned compliance opinions
- Participate as a GMPC representative in team meetings
- Analyzes data and situations, and develops solutions to complex problems
- Represent the organization as a consultant to management and external spokesperson for the organization
- Support the Sn Director Compliance EMEA to monitor the external environment to ensure the implementation of external best practices to respond to future business, ethics and compliance developments
- Design, monitors, and as necessary, coordinates privacy and compliance activities of the business areas to reassure adherence to regulatory and compliance rules and to identify potential areas of compliance vulnerability and risk
- Provide on location inspection and investigation tasks at construction sites
- Assists with the coordination, content and distribution of the delegation oversight quarterly newsletter
- Assists with the coordination, tracking and review of quarterly monitoring and validation activities
Qualifications for specialist, compliance
- Helpful but not mandatory for Individual to have some knowledge of applicable laws, rules and regulations in regards to Research (i.e., Global Research Settlement
- Professional qualification (ACOI, MIIA, ACA, ACCA or other relevant discipline) would be preferable
- Ability to conduct research and provide initial recommendations on regulatory risk issues
- Compliance monitoring and testing experience preferred but not required
- Ability to work independently under direction
- Bachelor's degree in relevant scientific discipline (e.g., environmental science, soil science, agriculture, geology or any scientific related field)
2
Specialist, Compliance Job Description
Job Description Example
Our company is searching for experienced candidates for the position of specialist, 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 specialist, compliance
- Provides administrative and organizational support to the Licensing & Registration Manager
- Other projects and duties may be assigned
- Preparation of exception reports and maintenance of exception logs
- Collects and reports the daily operations metrics to provide Operations management with the status on potential service issues
- Participates in operations weekly calls to share information, seek help with issue resolution, and share best practices
- Responds to employee questions on work and personal issues to ensure employee needs are met
- Escalates any operational / employee issues for resolution as required to the supervisor
- Serves as point of contact for customer requests to efficiently meet customer needs
- Coordinates the efforts to implement plans to correct potential service failures in the operation
- Supports the implementation of training programs and materials to train RA and internal clients on SOPs, work instructions, and regulatory topics
Qualifications for specialist, compliance
- Able and willing to obtain a Transportation Worker's identification card
- Able and willing to work in refining or chemical processing plant sites
- Must be able to work independently to work effectively as part of local and national groups
- Candidate must possess at least a Bachelor’s Degree, Audit / Finance / Business or equivalent
- Proficiency in English (written & spoken) and local language
- At least 5 years relevant experience in General Business, Audit, Finance, Accountancy or in major regulated industry
3
Specialist, Compliance Job Description
Job Description Example
Our growing company is looking for a specialist, 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 specialist, compliance
- Identify, propose and execute CAPAs and procedural changes to reduce deviations
- Act as assistant to the compliance officer for various accreditation and implementation activities
- Research, review and respond promptly to external complaints in coordination with Compliance Officer
- Assist Compliance officer in obtaining, copying and submitting medical records as requested for audits and complaints
- Assemble audit materials, support and participate in internal and external audits
- Provide Administrative support with faxing, scanning and copying for Compliance Department
- Any other assigned tasks as related to quality and compliance
- Conducts follow-up monitoring procedures to validate remediation of Corrective Action Plans and promote ongoing compliance
- Assists with responding to pharmacy inquiries related to training clarifications and status
- Assists with the tracking of the vendor related trainings
Qualifications for specialist, compliance
- Understanding of KYC/AML risks and ability to handle procedural and control aspects to manage risks
- Service focus with a passion to deliver to high standards
- Time management and ability to work under pressue
- Minimum of four years of experience as a compliance professional, specifically in the area of advertising, marketing and other communication reviews
- Solid understanding of the requirements pertaining to advertising under the Investment Advisers Act of 1940 and Securities and Exchange Commission’s interpretations of them (e.g., No-Action Letters)
- Solid understanding of the requirements under Rule 482 of the Securities Act of 1933
4
Specialist, Compliance Job Description
Job Description Example
Our company is growing rapidly and is hiring for a specialist, compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for specialist, compliance
- Assists in responsibility of preparing and/or monitoring all documentation required for export shipments
- Coordinates Committee meetings
- Gathers information and background material in response to inquiries
- Attends workshops or conferences relevant to assigned duties
- Coordinate with cross functional IOPS Compliance resources to support Procurement and Quality Auditing needs for acceptable closure of audit findings and to secure evidence that substantiates supplier commitments
- Spearhead and support the Compliance Coordinator’s efforts by assisting with escalations, escalated complaints, other duties assigned to Coordinators
- Worked with multiple stakeholders and management, who are across multiple regions and time zones
- Partner with business stakeholders as a compliance generalist to implement and enhance compliant standard business processes, procedures, forms, tools and practices to advance the Compliance Program and reduce corporate risk
- Assist the Associate Director, Clinical Billing Integrity, in executing an effective auditing and monitoring plan by conducting compliance audits and investigations
- Receive and respond to inquiries, requests for consultation, and complaints
Qualifications for specialist, compliance
- Independent Judgment (Authority to make decisions
- Experience with internal proprietary systems (iManage, Coke Channel)
- Bachelor’s degree,in a science field (2 years of experience for each year of college can be substituted for the degree) plus
- 3 years of Quality Control Microbiology or Quality Assurance in a cGMP Manufacturing environment
- Basic Microbiology knowledge
- Aseptic Technique and Aseptic Gowning Experience
5
Specialist, Compliance Job Description
Job Description Example
Our growing company is searching for experienced candidates for the position of specialist, compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for specialist, compliance
- Performing the test steps in accordance with the set guidelines
- Reviewing the work of Specialist
- Monitoring audit calender and highligting delays to ensure audits are completed on time
- Co-ordinate with other VCA counterparts to ensure smooth completion
- Provide data and reports for periodic management reporting
- Training other resources in VCA areas
- Researching on industry best practices, benchmarking, upcoming laws and other external resources to keep update with operational changes
- The person will also be responsible for performing Internal Audits including testing transaction and drafting initial report
- Ensure that our internal control framework of finance processes, control governance set-up and segregation of duties are continuously satisfactory implemented
- Furthermore, you will handle process and control evaluation, design, development, set requirements and ensure business alignment
Qualifications for specialist, compliance
- In-depth knowledge and understanding of applicable pharmaceutical industry laws, regulations and guidelines, including privacy, anti-corruption, transparency, customer/patient interactions
- Ability to interpret information security policies
- Technical proficiency in network security-related infrastructure
- Ability to analyze and identify information security problems quickly and efficiently
- Ability to collaborate with other SRC team members and other associates across the division to achieve greater team or divisional results
- Have good typing speed