• Monitor, assess, and implement improvement of Compliance and Ethics programs as well as Compliance Management System
• Establish the localized compliance standard
• Provide consultation to all business units in terms of compliance, ethics, and integrity topics
• Implement appropriate compliance training and communication methods to deepen the compliance awareness of employees
• Business Partner Check on potential and existing business partners
• Lead/work on special projects related to compliance management
• Provide compliance-risk-oriented advice
• Steering personal data protection issue
• Training or knowledge in the area of business partner due to diligence check

Skills: Compliance Management, Ethics Consultation, Standards Development, Training Implementation, Partner Due Diligence, Risk Advisory, Data Protection, Project Leadership

• Collaborate with Compliance Director & Associate Directors to coordinate, manage, & drive compliance projects & initiatives
• Review, monitor and report on pharmacy oversight activities as performed by others, monitor progress of corrective action plans and resolution activities
• Evaluate and resolve compliance concerns internally discovered / raised regarding pharmacy operations. 
• Establish and execute compliance oversight of pharmacy operations and related sales activities. 
• Create reports and metrics and collaborate with pharmacy leadership on expected performance and remediation when standards are not met
• Assist in the evaluation of Board of Pharmacy and other regulator complaints / inquiries received to ensure response occurs timely and addressing underlying concerns. 
• Evaluate trends across all pharmacies and develop formal correcting actions as needed more broadly to prevent future similar occurrences
• Collaborate with various teams & individuals across the pharmacy space in the planning of a systematic approach to continuous regulatory readiness
• Act as an advisor for Compliance issues that require coordination and collaboration with other departments
• Act as a compliance expert for Compliance Investigators as requested by the Director of Compliance
• Perform follow-up to assist the business in completing Corrective Action Plans and ensure remediations are complete

Skills: Compliance Coordination, Pharmacy Oversight, Issue Resolution, Compliance Reporting, Regulatory Evaluation, Trend Analysis, Advisory Collaboration, Corrective Action Plans

• Respond to alleged violations of rules, regulations, policies, procedures, and Code of Conduct by evaluating, recommending the initiation of, or acting as a compliance consultant
• Assist in designing metrics that assist in ensuring the business’s nursing compliance priorities and monitor for ongoing compliance
• Analyze results and trend of monitoring processes and audits to identify potential risks and communicate with the Director of Compliance & business leaders 
• Analyze data from internal and external audits, reports metrics, monitors trends to create follow-up and proactive risk mitigation
• Assist in the oversight of monitoring and auditing of pharmacy sites
• Collaborate with teams & individuals to create and manage effective action plans and remediations in response to audit discoveries and compliance violations
• Demonstrate knowledge of the pharmacy / manufacturing industry and associated processes and procedures
• Monitor laws, rules and regulations, industry trends, & best practices
• Collaborate with Optum Compliance Data team to develop critical audits or metrics to evaluate and measure risk areas for OIP
• Collaborate with other Optum Corporate Services groups and functions such as, but not limited to Legal, Quality, Pharmacy Practice, and Accreditation
• Provide Compliance services to the business at the request of the Director of Compliance
• Prepare various reports and presentations regarding compliance, including recommendations for improvement based on audit and investigative findings, legal and regulatory updates at the request of the Director of Compliance or Compliance leadership

Skills: Compliance Consulting, Metrics Design, Risk Analysis, Audit Oversight, Action Plan Management, Industry Knowledge, Regulatory Monitoring, Report Preparation

• Assisting Compliance Director to manage clients who desired to be regulated by MAS and assist in applications including licensing and registration
• Assist in the implementation of check and balance processes and corporate governance standards as per the client type, strategy, mission, and goals of the regulated entity
• Assist in providing day-to-day support in the development, implementation, and maintenance of client’s compliance programs
• Assist in development and implementation of compliance policies and procedures 
• Ensure compliance policies and procedures are effectively communicated to the client, in accordance with the Firm’s regulatory requirements
• Assist in continuously monitor relevant regulatory changes and assist clients in developing internal controls
• Assist to communicate and liaise with MAS and other regulatory body
• Assist in conducting annual compliance reviews
• Assist in preparing and submitting annual and quarterly regulatory filings
• Proactively provide practical, business-friendly solutions for esoteric regulatory issues.

Skills: Licensing Support, Governance Implementation, Program Development, Policy Development, Regulatory Liaison, Regulatory Monitoring, Compliance Reviews, Filing Preparation

• Reviews client files for conformance with applicable AML policies, procedures and regulatory requirements.
• Provides support and functional knowledge as it relates to compliance with applicable AML laws, rules and standards.
• Advises business partners, including senior management, on Compliance programs and applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their area.
• Participates in developing Compliance programs and acts as a contact point within the company for Compliance inquiries from partners.
• Participates in establishing written guidance on the appropriate implementation of AML Compliance programs and laws, regulations, rules and standards, through policies, procedures and other AML-related documents.
• Provides support as requested by Global AML Management to resolve compliance issues, including actions in response to Regulatory exam and Audit findings.
• Identifies, measures, and documents Compliance risk to enhance Compliance risk assessments and assess the appropriateness of the company's Compliance procedures and guidelines.
• Identifies situations which may pose significant Compliance risk and guides management in developing policies and/or procedures that minimize risk.
• Interacts with business partners, regulators, and internal and external auditors on regulatory topics.
• Operates independently, has in-depth knowledge of AML Compliance risk avoidance.
• Serves as a subject matter expert or other resource within a group for AML regulatory Compliance matters.

Skills: File Review, AML Compliance Support, Advisory Services, Compliance Program Development, Policy Implementation, Issue Resolution, Risk Assessment, Regulatory Interaction

• Be responsible for providing well-thought-through and accurate compliance advice and challenges related to business projects and legal and regulatory change. 
• Support the management of conduct risks through working effectively with the relevant business functions, risk management, and compliance assurance. 
• Produce succinct, effective and accurate reporting to relevant Senior Management team. 
• Effectively influence and challenge business decisions and provide effective solutions and advice to all business areas
• Ensuring conduct risks are considered and managed in accordance with risk appetite. 
• Maintain an excellent understanding of compliance policies and guidance and keep abreast of legislation changes.   
• Collect information and data through internal/external research
• Leverage a variety of tools to complete qualitative and quantitative data analyses
• Compile information visually and in writing to translate to client needs
• Assist in preparing data analysis to provide recommended actions that meet client needs

Skills: Compliance Advisory, Risk Management, Reporting Expertise, Decision Influence, Policy Understanding, Data Collection, Data Analysis, Client Solutions

• Perform first line of defense compliance activities including providing guidance and advice on compliance-related inquiries, effective challenge, documentation, reporting, and addressing action items to enable IC Operations
• Assess the adequacy of, adherence to, and effectiveness of day-to-day compliance procedures/controls
• Provide reports to Operations leaders and second line compliance on all potential or actual compliance issues, ensuring that they are investigated and remediated appropriately.
• Communicate with Operations, including senior leaders, and second line of defense compliance partners to defend positions.
• Work collaboratively with project teams to ensure operational compliance controls exist and to ensure all relevant regulations and requirements are incorporated into administrative policies and processes.
• Engage with other stakeholders outside of Operations to confirm a full scope of understanding and strong implementation of regulatory compliance changes.
• Participate in regulatory update reviews and research legislation to provide constructive input into emerging rules and regulations and to provide appropriate guidance to the business on potential impacts. 
• Reviews of the monthly legislative update summary before it is circulated to Operations.
• Build partnerships within Operations to facilitate an effective compliance culture within the Individual Customer organization.
• Be a participant in the rotation as workflow coordinator, to deliver compliance queries and privacy/complaint reporting requests to the rest of the team in a timely and organized manner.

Skills: Compliance Guidance, Risk Assessment, Issue Reporting, Cross-Team Communication, Operational Controls, Regulatory Research, Partnership Building, Workflow Coordination

• Experience in health care compliance, health care operations (quality, risk, etc.), audit, finance, regulatory or public policy development, investigations, information security, or insurance/health plan governance or a directly related field. 
• Experience in privacy and security compliance.
• Experience in health plan compliance.
• Experience working in a clinical setting (e.g., hospital, medical center).
• Pharmacy experience to include pharmacy compliance, practice assessment, or regulatory affairs.
• Experience working cross-functionally across departments, functions, or business lines.
• Experience working on fraud or white collar investigations.
• Experience in law, risk management, audit, and compliance, or similar areas within an international industrial company, law firm/attorney’s office, or audit company
• Very good knowledge and expert ‘know-how’ of relevant international and national laws
• Persistence, assertiveness, and organizational skill
• Strong communication, negotiation, and facilitation skills

Qualifications: BA in Law with 6 years of Experience

• Experience in providing Line 2 compliance advice with either knowledge of or a keen interest in technology and payments regulation
• Ability to build collaborative relationships across the business to Senior Manager level
• Good knowledge and understanding of regulatory framework of UK financial services, industry trends and best practice
• Good understanding of the financial services industry, the political and economic environment
• Able to apply commerciality and judgement from a regulatory perspective to internal and market information
• Ability to prioritise and manage a varied workload
• Strong communication, negotiation, and facilitation skills
• Integrity and value-driven working style, compliant with rules and regulations.
• Remain accountable when a mistake happens and able to speak up if something goes wrong.

Qualifications: BA in Public Policy with 4 years of Experience

• In-depth conceptual and practical knowledge in securities, rules & regulations, and basic knowledge of related job disciplines
• Solves complex problems
• Has strong communication skills, listening, speaking and writing
• Works independently, receives minimal guidance
• Acts as a resource for colleagues with less experience
• Ability to utilize keyboard, mouse and computer for up to 8 hours per day
• Ability to utilize telephone or video conferencing for up to 8 hours per day
• Ability to meet the physical demands of travel 
• Ability to operate a motor vehicle as well as an ability to utilize air travel
• Ability to be mobile periodically throughout entire workday

Qualifications: BA in Political Science with 5 years of Experience

• Experience dealing with the MAS regulations, in particular, the Securities and Futures Act
• Experience with building policies and procedures around specific business models
• Good understanding of the financial services industry, in particular, the asset management industry
• Team player, Self-motivated and meticulous
• Experience in consumer regulatory compliance experience from either working in a credit union or bank and/or as a federal or state regulator or consultant.
• Working knowledge of Microsoft PC products with emphasis on Microsoft Word and Excel.
• Excellent written and verbal communication skills.
• Strong analytical, time management, and organizational skills with the ability to prioritize tasks and projects, and to multi-task and operate under deadlines.
• Proficiency in solving problems of substantial variety and complexity, as well as the ability to undertake tasks broad in nature.
• Strong sense of integrity, including irreproachable business ethics and the ability to maintain and protect highly confidential information.
• Great customer service skills.
• Exceptional interpersonal skills along with the ability to work effectively with all levels of employees throughout the organization and clients.

Qualifications: BA in Criminology with 3 years of Experience

• Experience with a broad knowledge of financial institution compliance issues, business, finance, and financial institution operations.
• Ability to work effectively in Microsoft Office, including Word, Excel, PowerPoint, and Outlook.
• Superior oral and written communication skills.
• Ability to work effectively with all levels of the organization and credit union staff.
• Must be able to work independently, take initiative, be flexible with change, and make sound decisions, sometimes under strict deadlines.
• Understand and follow a wide range of practices and complex instructions.
• Knowledge and understanding of history, development, and philosophy of credit union movement.
• Extensive travel possible, mainly within Florida, Georgia and Alabama.
• Experience working with technical development and project management methodologies
• Experience performing due diligence on conflict mineral and practicing responsible sourcing
• Experience in leading compliance and assessments at a Company in a Manager role

Qualifications: BA in International Relations with 5 years of Experience

• Work experience or equivalent combination of transferable experience and education
• Compliance or regulatory experience (e.g. training, auditing, monitoring, investigations, issue resolution, risk management, and development and monitoring of corrective actions)
• Professional certification as a Certified Internal Auditor, Certified Fraud Examiner, Certified Public or Management Accountant, Certified Compliance and Ethics Professional, or Certified Information Privacy Professional
• In depth knowledge of applicable state and federal regulations and experience with the design and implementation of program safeguards to ensure organizational compliance
• Comprehensive knowledge of Medicare healthcare insurance products and the associated sales, service, claims, and enrollment and billing processes
• Experience working with leaders at all levels in the organization
• Demonstrated organization, facilitation, communication and presentation skills
• Proficient in Word, Excel and PowerPoint
• Advanced analytical skills demonstrating trends or cause and effect relationships (root cause analysis)
• Strong MS Excel skills such as using pivot tables, vlookup, and data analysis techniques
• Written and verbal communication experience for audiences from employees to directors

Qualifications: BA in Ethics and Compliance with 7 years of Experience

• Experience with SAP, Workiva, Navex Global or other Compliance tools
• Solid communication skills in both verbal and written
• Strong critical thinking and negotiation skills
• Intermediate experience with MS Word and PowerPoint
• Experience working with regulatory agencies
• Experience working with health insurance processing systems (RBMS, Siebel, Diamond, Jiva, etc.)
• Prior knowledge of CMS and/or NCQA requirements for Medicare
• General knowledge of Pharmaceutical processes and deep knowledge of Finished Dosage Forms manufacturing practices (e.g. Oral Solid, Liquid, Sterile, Biotech)
• Knowledge of Validation (i.e. Cleaning, Process) - Knowledge of Risk Assessment (e.g. Process, Cross-Contamination)
• Knowledge of Quality tasks (e.g. PQR, Auditing, Change Control, Complaints, Deviations, CAPAs, OOS, Batch Record review, Documentation management, Training, Supplier Management)

Qualifications: BS in Business Administration with 8 years of Experience