Job Summary: 

• Review, research, and respond to regulatory examination requests in a timely manner
• Develop successful working relationships with Business and Operational contacts as well as Third Party Administrators to aid in the examination production and response process
• Identify examination request exposures/gaps and implement solutions to address areas of concern to produce the most comprehensive examination response
• Assist in developing policies and procedures and practice improvements
• Assist the Company in strengthening and building relationships with examination teams / regulators, the Sales organization, New Business, Legal & Compliance, Operations and other areas that work with the Compliance department
• Maintain a professional, balanced and fair approach in communications with internal business partners and Third party administrators
• Support the identification and development of response criteria to address examination requests
• Support Market Conduct Exam activity - data analysis, documentation preparation, organizing and preparing files for presentation and/or storage, etc.
• Keep up-to-date with current and future regulatory changes that affect the business and use this knowledge to proactively suggest improvements to compliance policies and procedures. 
• Investigation and actioning exception control reports aligned to regulatory and internal standards.
• Assisting with formation and administration of entities including preparation and drafting of entity organizational documents (such as formation certificates, operating agreements, and board resolutions) and setting up custody and bank accounts.
• Tracking, calendaring and maintaining deadline-driven documents.

Skills on Resume:

• Regulatory Compliance Management (Hard Skills)
• Policy and Procedure Development (Hard Skills)
• Data Analysis and Documentation (Hard Skills)
• Relationship Building (Soft Skills)
• Problem Solving (Soft Skills)
• Proactive Communication (Soft Skills)
• Project Management (Soft Skills)
• Deadline Management (Soft Skills)

Job Summary: 

• Conduct monitoring of existing applications to ensure that documentation is up to date.
• Support data-protection compliance.
• Complete Compliance administration (record training, keeping client records up-to-date) 
• Analyse payment and compliance data to identify trends and patterns.
• Review effectiveness of current monitoring rules and settings and provide feedback on ways to optimise.
• Continuously review current processes and suggest improvements to the process as well as systems used.
• Work cross-departmental to proactively identify and resolve operational compliance queries.
• Undertake assigned Compliance project work.
• Identification and reporting of suspicious activity to relevant global financial intelligence units.
• Proactively escalate urgent cases to the MLRO/DMLRO for further review.
• Coordinating legal closings of new private investment funds.
• Reviewing investor subscription documents for accuracy and consistency of responses.
• Assisting with investor side letter requests, including tracking, monitoring and maintenance of side letters.

Skills on Resume:

• Compliance Monitoring (Hard Skills)
• Data Protection Compliance (Hard Skills)
• Data Analysis (Hard Skills)
• Process Optimization (Hard Skills)
• Project Management (Hard Skills)
• Cross-departmental Collaboration (Soft Skills)
• Proactive Problem Solving (Soft Skills)
• Detailed Reporting and Documentation (Soft Skills)

Job Summary: 

• Assist with the onboarding of new entities in line with AML policy requirements
• Undertake sanctions, PEP, and adverse media screening and investigate potential hits
• Responsible for tracking all client correspondence
• Assist with the Compliance Monitoring Programme
• Provide assistance with ongoing projects and any ad hoc requests
• Maintenance of client files / records
• Keep up-to-date with current and future regulatory changes that affect the business and use this knowledge to proactively suggest improvements to compliance policies and procedures.
• Conduct sanction/PEP screening and investigate potential hits.
• Conduct a review of clients' applications at the point of onboarding. 
• Carry out enhanced customer due diligence (ECDD) and know-customer (KYC) on new clients. 
• Assisting with the preparation of board materials and agendas in advance of board meetings.    
• Assisting with specific and ad hoc projects as instructed from time to time.
• Maintenance of internal registers: gifts, PA dealing etc

Skills on Resume:

• AML Compliance (Hard Skills)
• Sanctions and PEP Screening (Hard Skills)
• Client Record Maintenance (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Regulatory Research and Application (Hard Skills)
• Project Management (Soft Skills)
• Proactive Problem Solving (Soft Skills)
• Detailed Documentation (Soft Skills)

Job Summary: 

• Profiling of internal and external data and the development of intelligence relating to Financial Crime Compliance.
• Provide support and AML subject matter expertise to investigations/operational staff to help understand AML requirements as relate to  function.
• Fulfilling SAR reporting obligations as a consequence of intelligence activity.
• Liaise with specialist law enforcement and government agencies
• Track record of delivering projects within scope, time and quality
• Assist the Compliance Manager in maintaining regulatory compliance oversight of Managing General Agents and Coverholders, including claims Third Party Administrators, at the onboarding stage and on an ongoing basis thereafter.
• Assist in implementing appropriate Compliance Monitoring Programs and developing effective compliance reporting systems.
• Assist in complaints management including liaising with the claims team, AIEL's Managing General Agents and Coverholders, and the Financial Ombudsman Service as appropriate.
• Assist with the preparation of regulatory returns.
• Undertake appropriate professional, technical and career development training (delivered internally and externally) to include attainment of relevant qualifications where required and to meet the requirements of the Insurance Distribution Directive.
• Analyze loans using servicing systems and documentation for compliance as defined by client policies/procedures and/or federal regulations like the DOJ standards.
• Assisting with the oversight of compliance policies and procedures, preparation of regulatory filings and other compliance related support.

Skills on Resume:

• Financial Crime Analysis (Hard Skills)
• AML Compliance Expertise (Hard Skills)
• SAR Reporting (Hard Skills)
• Compliance Monitoring Program Development (Hard Skills)
• Project Management (Hard Skills)
• Regulatory Liaison and Communication (Soft Skills)
• Professional Development (Soft Skills)
• Complaints Management (Soft Skills)

Job Summary: 

• Managing databases of contractual and regulatory obligations, incorporating updates, and building proficiency in requirements to serve as a compliance resource
• Innovating querying and reporting functions to meet turnaround times for cross-market guidance
• Providing research support for multi-market surveys
• Processing contracts and renewals, handling the Homes Division contracts management system, and working with attorneys for review
• Tracking regulatory and industry changes, and drafting and providing updates for partners
• Assisting in developing legal compliance educational programming
• Collaborating with attorneys, product teams, business teams, industry specialists, and leadership teams to achieve an outstanding in-house legal compliance program
• Being instrumental to the success of a rapidly-growing, innovative platform
• Assists in the development of procedures to ensure compliance with state, federal, and industry standards.
• Develops and maintains an organized, methodical documentation system for communicating, implementing, and managing new and existing regulatory requirements.
• Monitors regulatory changes and distributes necessary information to implement changes to various departments and internal policies.
• Review, investigate and prepare written responses to CFPB and other regulatory complaints, attorney demand letters and other customer correspondence of an escalated nature (“complaints”)
• Work with the Compliance Supervisor to identify trends to help facilitate the early identification of potential legal and compliance risk and remediation

Skills on Resume:

• Database Management (Hard Skills)
• Contract Processing and Management (Hard Skills)
• Regulatory Monitoring and Reporting (Hard Skills)
• Legal Research and Compliance (Hard Skills)
• Documentation System Development (Hard Skills)
• Collaborative Problem Solving (Soft Skills)
• Interdepartmental Communication (Soft Skills)
• Trend Analysis and Risk Assessment (Soft Skills)

Job Summary: 

• Monitor and test Loan Services and other Centralized Operations first line of defense internal controls and assist in performing risk monitoring activities.
• Utilize written and oral skills to discuss internal and external audit, SOX and regulatory compliance matters with appropriate management personal regarding Loan Services’ and other Centralized Operations’ first line of defense testing and self-identified internal control weaknesses.
• Effectively and professionally interact with Loan Services and other Centralized Operations management, internal audit staff, internal risk review personnel, and compliance peers.
• Assist in completing a Regulatory Risk Assessment of Loan Services and other Centralized Operations to determine the legal, compliance & reputational risk of the organization.
• Assess processes in an end-to-end manner to assist in risk identification and process weaknesses.
• Identify opportunities to strengthen internal controls and improve operational efficiencies within Centralized Operations.
• Assist in developing and delivering training to Loan Services and other Centralized Operations team members on regulatory matters, operational risk policies and procedures, current industry practices, and risk and control standards.
• Assist in providing feedback to Loan Services and other Centralized Operations business units on Risk & Control Self-Assessment Program and process improvement to drive consistency across business units and support functions
• Performs compliance reviews of various supported applications.
• Assist Money Center Compliance Officer in preparing for regulatory examination and audits.
• Identify and communicate to CSC managers and team leads potential coaching opportunities for customer service representatives
• Assist with regulatory exams to ensure timely and complete responses

Skills on Resume:

• Risk Assessment and Management (Hard Skills)
• Compliance Testing and Monitoring (Hard Skills)
• Internal Controls Evaluation (Hard Skills)
• Regulatory Compliance Communication (Hard Skills)
• Training Program Development (Hard Skills)
• Professional Interaction (Soft Skills)
• Team Collaboration (Soft Skills)
• Process Improvement Identification (Soft Skills)

Job Summary: 

• Provide support on internal and external audit, SOX and regulatory compliance requirements including responding 
• Regulatory changes, assessing the impact on Loan Services and other Centralized Operations business units, and assisting in responses
• External and internal audit, regulatory compliance examinations and investor reviews.
• Monitor Loan Services and other Centralized Operations remediation activities and re-test findings from internal audits, regulatory examinations and compliance reviews
• Ensure remediation activities are completed as designed and internal controls are operating effectively prior to re-testing by CAS (Internal Audit), Risk and Compliance Department teams, external audit or regulatory examiners.
• Provide support to Loan Services and other Centralized Operations management in preparation for CAS (Internal Audit), Risk and Compliance Department reviews, external audit or regulatory examinations 
• Determining the audit/ examination/ compliance needs and obtaining required documentation.
• Provide support to Loan Services and other Centralized Operations management for internal and external audit account confirmation follow-up, including alternative procedures documentation, issue remediation and exception analysis.
• Provide guidance and support to Loan Services and other Centralized Operations management regarding documentation and implementation of proactive controls to meet regulatory, compliance and SOX requirements.
• Support Loan Services and other Centralized Operations operational risk and control matters by developing/maintaining strong positive working relationships with business unit staff, peers, other risk partners and management and by participating in business unit meetings
• Assist with projects as assigned by supervisor or compliance managers, including testing, monitoring, issue tracking and change management
• Developing, updating and maintaining compliance policies and procedures

Skills on Resume:

• Audit and Compliance Management (Hard Skills)
• SOX Compliance (Hard Skills)
• Remediation Activity Monitoring (Hard Skills)
• Regulatory Impact Assessment (Hard Skills)
• Documentation Management (Hard Skills)
• Problem Solving (Soft Skills)
• Cross-functional Collaboration (Soft Skills)
• Project Management (Soft Skills)

Job Summary: 

• Preparation and review of policies and procedures
• Implementation of compliance programs/control frameworks relevant to regulatory risks and requirements around alternatives investing
• Execution of periodic testing and oversight of investment team activities
• Providing support and back-up for broader Advisory Compliance related initiatives and tasks
• Analyzing and implementing existing and new regulations
• Assists in the development of policies and procedures.
• Promotes system-wide understanding of compliance, performs training and education 
• Drafting, updating and monitoring and foreign regulatory filings
• Performs day to day compliance activities which include periodic screening of clients, investigations, documentation, and reporting.
• Analyzes customer level compliance with various rules, regulations, standards and best practices.
• Assisting with regulatory examinations
• Assisting in the production and completion of the annual CCO report
• Assisting with marketing and advertising reviews and responses to due diligence questionnaires
• Forensic testing of compliance policies and procedures, managing conflicts of interest policies, staff member training

Skills on Resume:

• Policy Development and Review (Hard Skills)
• Compliance Program Management (Hard Skills)
• Regulatory Filings and Reporting (Hard Skills)
• Forensic Testing (Hard Skills)
• Regulation Analysis and Implementation (Hard Skills)
• Training and Education Delivery (Soft Skills)
• Problem Solving (Soft Skills)
• Cross-functional Support (Soft Skills)

Job Summary: 

• Monitor compliance programs to ensure adequacy, update the policy/procedure manual as necessary and provide appropriate annual compliance training to staff
• Provide oversight, risk management and policy implementation guidance for operational regulatory responsibilities
• Supervise sales activities through review and approval of advertising/correspondence, email and internal client signed sales documentation
• Identify, assess, and communicate new or changing regulatory requirements and proactively aid in the development of policies and procedures to address
• Provide support for any regulatory examinations or annual audits
• Collaborate with relevant staff/vendors to ensure than new systems, products and processes comply with SEC and other regulations
• Serve as subject matter expert on all compliance matters for advisors and staff. 
• Maintain proficient knowledge of ever-changing regulatory landscape and keep leadership team informed of any new developments
• Conduct periodic reviews to ensure compliance with various regulatory requirements
• Prepare compliance reports by collecting, analyzing, and summarizing information in order to deliver accurate and reliable information for decision-making.
• Review servicing practices for loans in Bankruptcy to ensure compliance with federal, state and local regulations as well as servicing standards set by the Department of Justice (DOJ).
• Review court filings for compliance with federal, state and local regulations as well as servicing standards set by the Department of Justice (DOJ).

Skills on Resume:

• Regulatory Compliance Oversight (Hard Skills)
• Policy Development and Implementation (Hard Skills)
• Risk Management (Hard Skills)
• Compliance Reporting (Hard Skills)
• Regulatory Updates Proficiency (Hard Skills)
• Training Program Delivery (Hard Skills)
• Problem Solving (Soft Skills)
• Cross-functional Collaboration (Soft Skills)

Job Summary: 

• Under the direction of the Compliance Sr. Manager/Manager, assist with the maintenance and continued improvement of the CLIENT's Compliance Program.
• Promote compliance awareness across the organization by establishing and maintaining relationships with key business line and functional stakeholders.
• Maintain a thorough understanding of state and federal laws and regulations related to regulatory consumer protection compliance.
• Escalate any compliance concerns to the Compliance Manager for possible corrective action.
• Review marketing collateral and member communications to ensure compliance with applicable regulations.
• Assist with monitoring, tracking, and reporting changes to state and federal laws, regulations, rules, and providing guidance to business owners, compliance management, and senior managers.
• Discusses findings with appropriate management and physicians.
• Initiates change and process improvement by working with various departments and staff members. 
• Assists management with various coding/billing issues at any Lancaster General entity.
• Assures that policies and procedures are in place with respect to coding, billing and other areas of compliance and determines whether are followed.
• Work closely with the Quality Control team and immediately apply feedback received to ensure the department goals are achieved and that client expectations are satisfied.
• Identify compliance issues, document and present findings via Appian to communicate to the Client.

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Policy Review and Implementation (Hard Skills)
• Data Monitoring and Reporting (Hard Skills)
• Relationship Building (Soft Skills)
• Problem Solving (Soft Skills)
• Effective Communication (Soft Skills)
• Process Improvement (Soft Skills)
• Team Collaboration (Soft Skills)

Job Summary: 

• Prepare and manage export authorizations, including ITAR and EAR licenses, agreements and exemptions
• Provide day-to-day transactional support related to shipments, foreign visitors and international travel
• Classify products in accordance with the Department of State's Munitions List and the Department of Commerce's Export Commodity Classification Numbers
• Perform regular audits of export authorizations and AES filings
• Interface with internal/external customers to ensure compliance with export regulations and Company policies and procedures
• Supports the development and implementation of business processes, procedures and tools 
• Ensure compliance with Government export/import regulations and company policies
• Demonstrated proficiency with SAP (or similar ERP software)
• Participate in continuous improvement projects (Kaizen events, 5S, etc.)

Skills on Resume:

• Export Compliance Management (Hard Skills)
• ITAR and EAR Licensing (Hard Skills)
• Product Classification (Hard Skills)
• Audit Execution (Hard Skills)
• SAP Proficiency (Hard Skills)
• Regulatory Adherence (Hard Skills)
• Process Development (Soft Skills)
• Continuous Improvement Participation (Soft Skills)

Job Summary: 

• Support the Company's Ethics and Compliance program by serving as the primary contact for questions and requests
• Manage the Company's Ethics Helpline, assist with triaging reports, creating awareness, planning and conduct investigations
• Conduct due diligence activities in accordance with the Company's Anti-Corruption program
• Assist with employee training (i.e. development, roll-out and monitoring of completion rates)
• Support the Company's policy database, including collecting and assembling corporate policies and procedures
• Must have strong command of the English language, in both oral and written communications
• Proficiency with Microsoft Office applications, and database skills
• Complete all necessary training as required by assigned department and position
• Participate in and follow all company initiatives and procedures
• Participate in continuous improvement projects (Kaizen events, 5S, etc.)

Skills on Resume:

• Ethics and Compliance Management (Hard Skills)
• Due Diligence (Hard Skills)
• Training Program Development (Hard Skills)
• Database Management (Hard Skills)
• Microsoft Office Proficiency (Hard Skills)
• Effective Communication (Soft Skills)
• Problem Solving (Soft Skills)
• Continuous Improvement Participation (Soft Skills)

Job Summary: 

• Assists the Compliance Manager in monitoring federal, state, and other regulations and guidelines, trade publications, code changes, and determines potential risk areas and if and how they apply within Lancaster General Health.
• Implements compliance department initiatives such as the annual Conflict of Interest Disclosure project and Sanction Checking.
• Identifies risk area or areas of vulnerability within the organization, determines the root cause(s), and suggests solutions by requesting reports, analyzing data, and performing risk assessments. 
• Raises issues of concern to the Compliance Manager or other appropriate resource in order to validate and remediate problems.
• Summarizes regulations, coding and billing changes and communicates both in writing and verbally, as applicable, to the compliance department, physicians and others.
• Performs research and presents findings in a timely, well-organized fashion.
• Following Compliance Department protocols and annual work plan, performs audits and reviews on regulatory issues, and performs inpatient and outpatient coding and billing audits.
• Pursues problems or potential problems until full resolution, requesting assistance and direction from the Compliance Manager or designee.
• Prepares audit reports for management according to Compliance Department protocols, highlighting deficiencies and recommending corrective action. 
• Evaluates responses to audit report findings and recommendations to determine reasonableness and suggests follow-up actions. 
• Understand the default process, as well as conducting quality control audits of affidavits and documents.
• Review foreclosure documents, including affidavits of indebtedness for accuracy of information.

Skills on Resume:

• Regulatory Monitoring (Hard Skills)
• Risk Assessment (Hard Skills)
• Data Analysis (Hard Skills)
• Audit Execution (Hard Skills)
• Compliance Reporting (Hard Skills)
• Problem Solving (Soft Skills)
• Effective Communication (Soft Skills)
• Persistent Follow-up (Soft Skills)

Job Summary: 

• Support the Compliance Director by assisting in day-to-day Compliance Program management
• Investigate KYC/AML screening results, including researching public records and drafting due diligence reports
• Conduct customer due diligence (CDD) investigations for new and existing credit card account holders, as well as for critical vendors, brand partners, and other entities
• Monitor and conduct ongoing CDD in a risk-sensitive manner keeping in mind Guild’s product and service offering
• Assist in developing new-hire and employee training in areas such as AML/OFAC, Truth in Lending Act, Equal Credit Opportunity Act, and red flags.
• Review ad-hoc escalations from strategic partners as well as internal teams and determine next steps
• Provides support in exam coordination and collects any requested information on a timely basis.
• Completes applicable mandatory compliance training each year in a timely manner including business unit specific compliance training, as directed.
• Works collaboratively with other compliance department employees to support the overall objectives of the department.
• Collaborate with Marketing on how to best share Calendly Security, Privacy, and Compliance policies externally
• Participate and represent Calendly in Security and Compliance related inquiries from prospective customers and vendors
• Work with Engineering on developing a processes for DPIA, privacy, and compliance assessments

Skills on Resume:

• KYC/AML Compliance (Hard Skills)
• Due Diligence (Hard Skills)
• Risk Management (Hard Skills)
• Training Development (Hard Skills)
• Regulatory Understanding (Hard Skills)
• Problem Solving (Soft Skills)
• Cross-functional Collaboration (Soft Skills)
• Strategic Communication (Soft Skills)

Job Summary: 

• Possess a general understanding of the risks and controls required to ensure compliance with applicable regulations.
• Respond to compliance needs of operational personnel regarding implementation of procedures in accordance with all Federal and State laws and regulations and compliance with rules that governs the Bank’s operations, products and services.
• Review disclosures, advertising and publications for compliances, making recommendations for appropriate changes 
• Review bank wide policies and procedures to determine whether adequately address and satisfy related compliance requirements, making recommendations for changes when do not.
• Perform reviews to test compliance with established law, regulations, company policies and procedures, participating in the development of corrective action plans where appropriate and where identified. 
• Escalates any risk, issue, or concern to the Compliance Manager.
• Track timely corrective action and remediation efforts of all identified compliance risks areas. 
• Validate completion of corrective action and remediation by requiring evidence from the responsible departmental unit/individual.
• Ensure all testing work papers remain organized and complete to contribute to successful compliance program/governance audits.
• Prepares formal reports of audit results for distribution to Bank management and the Directors Audit Committee.
• Remains abreast of regulatory changes, industry standards and best practices, and updates to company policies and procedures in order to identify and address gaps in controls.
• Develop and roll out practical, effective internal training programs around Security, Privacy, and Compliance across the company
• Collaborate with Marketing on how to best share Calendly Security, Privacy, and Compliance policies externally

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Policy Review and Development (Hard Skills)
• Risk Assessment (Hard Skills)
• Audit Preparation and Reporting (Hard Skills)
• Training Program Development (Hard Skills)
• Problem Solving (Soft Skills)
• Cross-functional Collaboration (Soft Skills)
• Strategic Communication (Soft Skills)

Job Summary: 

• Stay ahead of the global threat, compliance, and privacy landscape and the technologies used to defend Calendly's corporate assets
• Track the latest technical security, compliance, and privacy innovations and stay up to date with the latest cyber security and compliance technologies
• Drive change projects and build new capabilities that support a secure and compliant environment
• Effectively communicate and educate Calendly employees from all functions on the purpose and vision of security, compliance, and privacy strategies
• Work with leaders across all departments to help navigate through security control compliance standards and privacy by design (such as SOC2, GDPR, and CCPA)
• Respond to and help build efficient processes around security, legal, and privacy related requests, data subject requests, contracts, and questionnaires from existing customers and prospects
• Create and implement a strategy for the development of compliance and privacy technologies, policies, and practices to secure protected and sensitive data while ensuring information security and compliance with applicable regulations
• Write and test internal Security, Privacy, and Compliance related whitepapers, policies, and procedures
• Advise senior leadership by identifying critical privacy and Compliance issues and recommending risk-reduction solutions
• Liaise with outside parties during third party audits, privacy risk assessments, and DPIAs.
• Analyze and assess formal and informal policies and procedures related to processes and controls to mitigate risk exposure
• Conduct independent testing, in accordance with FINRA Rules 3120 and 3130
• Ensure operational risks and compliance requirements are adhered 

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Risk Assessment (Hard Skills)
• Policy Development (Hard Skills)
• Cybersecurity Technologies (Hard Skills)
• Data Privacy (Hard Skills)
• Cross-functional Communication (Soft Skills)
• Strategic Planning (Soft Skills)
• Leadership Advisory (Soft Skills)

Job Summary: 

• Gain a working knowledge of the company’s life and annuity administrative processes to assist with compliance controls and procedures to ensure adherence to mandated regulations.
• Perform compliance testing(s) of established controls and other regulatory compliance initiatives.
• Analyze new business applications and work items.
• Assist in the development, implementation, maintenance, and monitoring of regulatory policies and procedures.
• Review, research, and draft complaint responses and identify potential complaint activity trends and communicates.
• Coordinate testing schedules, explain controls, and assist with department reviews and contract research.
• Participate in cross-functional workgroups that are focused on identifying compliance risks and providing effective and efficient solutions.
• Complete general compliance duties and assist with special projects
• Work with potential sellers and buyers on EquityZen’s marketplace to efficiently obtain required documentation and answer questions
• Review & analyze shareholder ownership documents, including options paperwork, to confirm ownership and transfer restrictions
• Prepare detailed reports to communicate findings of identified areas of weakness, recommendations for improvements, and additional training opportunities needed to mitigate risk exposure
• Evaluate controls in place to ensure compliance with FINRA and SEC regulations. 

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Policy Implementation (Hard Skills)
• Compliance Testing (Hard Skills)
• Risk Analysis (Hard Skills)
• Documentation Review (Hard Skills)
• Cross-functional Collaboration (Soft Skills)
• Problem Solving (Soft Skills)
• Communication Skills (Soft Skills)

Job Summary: 

• Assist with development and implementation of policies and procedures to ensure compliance with state, federal, SEC, FINRA, and other applicable regulatory agencies
• Assist with marketing and advertising review for investment and banking products
• Assist with FINRA and SEC required correspondence review
• Assist in conducting reviews and audits of the internal compliance policies and procedures
• Provide support and training to FINRA and SEC registered customer service staff
• Assist with FINRA, SEC, and BSA related regulatory filings and reporting
• Track legal and regulatory developments impacting Albert’s products and services
• Assist with responding to customer complaints
• Assist with ad-hoc legal, operational, and regulatory projects
• Escalate to senior staff where non-compliances are identified
• Serve as a consultant when general compliance guidance is required to improve current protocols
• Complete assigned compliance and operational risk testing activity in accordance with established timelines and high standards of quality

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Policy Development (Hard Skills)
• Audit and Review Procedures (Hard Skills)
• Training Development (Hard Skills)
• Legal and Regulatory Tracking (Hard Skills)
• Risk Assessment (Hard Skills)
• Problem Solving (Soft Skills)
• Consultative Guidance (Soft Skills)

Job Summary: 

• Perform high volume advertising reviews and results - maintain log of all results and related reporting. 
• Reviews will include Websites, Mailers, Invitations, Seminars, Presentations / PowerPoint, Sales Literature, Newsletters, E-mails, Correspondence, Radio Appearance
• Manage submissions of appropriate materials with the FINRA Advertising Regulations Department and related record retention
• Strongly supports registered reps in a timely and professional customer service-oriented capacity
• Collaborates on varying compliance projects within department
• Assists in the maintenance of a variety of logs and spreadsheets for department
• Provide support, as needed, for Compliance Department with regard to branch office audits, including travel to perform on-site branch office audits, pre-audit prep, and follow up
• Performs internal audits and other OSJ surveillance functions
• Monitoring of client’s transactions and reporting
• Alerts handling in internal Compliance systems (GAITS, Cadence, etc)
• Follow-up with customers on required KYC (know-customer) information, including diligence on legal entities, trusts and individuals
• Assure implementation of governing state-specific laws, regulations and rules in nationwide business, documenting for software engineering group, for internal policies and procedures and for all forms of borrower interactions, in writing, on the telephone and through the website
• Assist the Compliance department in monitoring compliance information services for industry, anticipate regulatory issues, and proactively alert affected stakeholders to compliance challenges and recommended solutions

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Audit Management (Hard Skills)
• Advertising Review (Hard Skills)
• Data Management (Hard Skills)
• Customer Service (Soft Skills)
• Problem Solving (Soft Skills)
• Collaboration (Soft Skills)
• Proactive Communication (Soft Skills)

Job Summary: 

• Building an understanding of the laboratory’s information systems, uses, and how the Compliance Department can utilize the information for ongoing risk assessment, continuous monitoring of key controls and data analysis.
• Provides administrative support by implementing systems, procedures, and policies, completes projects in support of compliance department initiatives, develops reports, and presentations, coordinates meetings, produces agendas and minutes, and tracks follow-up and completion of action items.
• Maintains confidentiality of information (e.g., protected health information, personnel/management information, business information) obtained in the course of carrying out duties and responsibilities.
• Enhances compliance department and organization reputation by accepting ownership for accomplishing new and different requests, explores opportunities to add value.
• Maintains working knowledge of release of information laws and regulations, Medicare regulations, laboratory and pathology billing rules, and fraud and abuse laws, regulations, and industry guidance as applicable.
• Assess and optimize sanctions screening vendor configuration
• Assist with transition to new sanctions screening vendor
• Create and validate test cases, scenarios and system functionality
• Create tailored business rules to reduce hit rate, prepare tuning data, reviewing hit reduction strategies.
• Produce meaningful reports from output of Sanctions screening for reporting to senior management
• Assist Compliance Counsel with resolving individual loan, borrower, vendor, and real estate servicing issues
• Interface with state examiners
• Manage and participate in cross-functional projects to implement changes to operations involving borrower communications and borrower transactions, including work with development team to automate the borrower servicing environment

Skills on Resume:

• Data Analysis (Hard Skills)
• Regulatory Knowledge (Hard Skills)
• Project Management (Hard Skills)
• System Implementation (Hard Skills)
• Report Generation (Hard Skills)
• Confidentiality Management (Soft Skills)
• Problem Solving (Soft Skills)
• Cross-functional Collaboration (Soft Skills)

Job Summary: 

• Coordinates or conducts routine reviews of laboratory processes and documentation to ensure compliant billing
• Prepares and presents reports of findings to internal stakeholders
• Coordinates the implementation and maintenance of compliance monitoring logs and reports.
• Reviews laboratory CPT codes recommended by testing departments and reference laboratories, including but not limited to procedure codes associated with general laboratory, toxicology, pathology, molecular diagnostics, and genetics
• Maintains knowledge of and consults industry and payor reference materials and guidance, escalates to consultants 
• Responds to requests for patient health information (such as third party requests, subpoenas, court orders and warrants), scrutinizing for compliance, coordinating compilation of records for complex requests and litigation packets, and keeping accurate records of all release of information transactions for ease of retrieval in response to requests for accounting of disclosures.
• Monitors and reports on completion of compliance and related education courses and sign-off of policies and procedures
• Follows up with staff and escalates noncompliance to management.
• Participates in the development, maintenance and revision of and recommends changes to organizational and departmental policies, procedures, practices and education materials.
• Manages data, data analytics and information systems for the Compliance Department. 
• Assist Quality Control staff and servicing managers with creating corrective action plans and tracking them through to full implementation
• Create and deliver in-house training for current and new employees across all servicing departments as needed on the full range of regulatory requirements

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Data Analytics (Hard Skills)
• Process Review (Hard Skills)
• CPT Coding (Hard Skills)
• Policy Development (Hard Skills)
• Report Preparation (Hard Skills)
• Problem Solving (Soft Skills)
• Communication Skills (Soft Skills)

Job Summary: 

• Assist with FINRA CRD filings, registrations, and updates
• Assist with preparing and presenting compliance trainings, such as new hire orientation and annual compliance meetings.
• Monitor, investigate, and respond to specific compliance issues
• Review marketing and public communications
• Conduct due diligence review on potential and existing vendors
• Monitor and review trading activity of employees and the firm
• Partner with employees to identify potential compliance issues and assist in finding a solution.
• To support Business in terms of KYC process
• Perform testing activities the due diligence on new Clients, requesting the KYC information and documentation and making an analytical risk assessment for new accounts
• Regularly evaluate existing accounts according to established policies and procedures
• Make an analysis of key Management Information to identify any trends arising and making recommendations as to any follow-up work 
• Organize and maintain compliance records. 

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Training Development (Hard Skills)
• Risk Assessment (Hard Skills)
• Data Analysis (Hard Skills)
• Problem Solving (Soft Skills)
• Communication Skills (Soft Skills)
• Attention to Detail (Soft Skills)
• Team Collaboration (Soft Skills)