COMPLIANCE JOB DESCRIPTION

Compliance Analyst Details:

• Support other departments in reaching their goals through analysis
• Develop business analysis and data recording systems for use throughout the department
• Accurately analyze and collect data for various types of business reports
• Analyze data reports regularly, identifying and resolving any mistakes
• Support database updates and maintain accuracy
• Assemble business reports that provide insight into key data points
• Convey the results of data analysis in written and verbal form to managers
• Identify changes in financial and business trends by monitoring data

Compliance Analyst Knowledge and Requirements:

• 1 to 3 years of experience as a financial or business analyst
• Analytical skills that can develop data-driven reports
• Excellent critical thinking skills to help solve business problems and make decisions
• Time management and prioritization skills to meet project deadlines
• Excellent verbal and written communication skills to effectively relate data to coworkers
• Detail oriented with a tendency to pay close attention to small details that could impact results
• General knowledge of business operations, objectives, strategies, process and information flow
• Knowledge of object-oriented programming and other data analysis programs
• Demonstrated ability to create pivot tables, graphs, and charts from data tools

Compliance Associate Functions:

• Stay abreast of all laws, rules and regulations applicable to the business of the Company and advise on key areas of compliance and risk management
• Play a key role in the oversight and management of third party vendors for compliance with applicable requirements
• Play a key role in the oversight and auditing of certain internal operations for compliance with applicable requirements
• Assist with review of marketing and creative materials used to advertise the products and services offered by the Company for compliance with applicable requirements
• Assist with review of scripts used by call center agents for sales and enrollment activities for compliance with applicable requirements
• Prepare responses to insurance carrier audits and other requests
• Assist in corporate compliance investigations
• Investigate consumer complaints related to the Compliance Program
• Assist in responding to consumer requests relating to privacy and non-solicitation
• Assist with corporate governance and entity management
• Participate in the creation and implementation of compliance policies & procedures
• Other tasks and responsibilities, which may vary from time to time

Compliance Associate Qualifications:

• Bachelor’s Degree from an accredited university
• 1-3 years of compliance-related experience
• The ideal candidate will have experience with CMS regulations relating to the marketing and sale of Medicare Advantage and Prescription Drug Plans, the NAIC Model Rules relating to the advertising of health and/or life insurance products and/or general advertising compliance laws and regulations
• Ability to independently drive complex projects with multiple stakeholders
• Excellent judgment and integrity with the ability to think strategically and give practical advice appropriately weighing compliance and business objectives
• Enthusiastic team player
• Committed to personal growth and development and willingness to actively seek feedback and respond with action
• Exceptional attention to detail
• Strong written, verbal and interpersonal skills

Compliance Auditor Duties:

• Conduct preliminary surveys of audit areas to define scope and analyze risk.
• Draft planning memos and engagement letters.
• Prepare opening and closing meeting presentations.
• Draft audit programs ensuring complete coverage and analysis of assigned areas.
• Execute audit testing and document workpapers in accordance with departmental guidelines.
• Draft audit reports and review findings with IAD management and the client.
• Develop knowledge in a critical subject matter area and/or knowledge of key business processes.
• Ensure that issues or problems are addressed and communicated appropriately in a timely manner.
• Communicate testing results to the project manager, process owner and management.
• Draft observations and recommendations to resolve or prevent errors and enhance controls within the audited entity.
• Perform special reviews and other related duties as assigned.
• Provide timely status reports to the project manager and Director.
• Develop value-added relationships with process owners and business unit management.
• Utilize data analytics in performing audit services.
• Successfully complete audit assignments in a timely and efficient manner with limited supervision.
• Improve and enhance technical proficiency by completing 40 credit hours of applicable training courses per year.
• Possess a professional certification or express willingness to obtain a certification during a specified period of time.
• Analysis: Identify and understand issues, problems, and opportunities, compare data from different sources to draw conclusions. Effectively identify and explain root causes.
• Judgement: Use effective and efficient approaches for choosing a course of action; take action that is consistent with available facts.
• Communication: Clearly convey information and ideas in a manner that helps the target audience to understand and retain information. All written narratives are presented in a logical, clear and grammatically correct manner. Employ active listening and respond effectively to directions.
• Planning and Organization: Support departmental goals by prioritizing work effectively and efficiently. Utilize resources to facilitate the timely and efficient completion of audits.
• Adaptability: Ability to either effectively lead an audit or work as a key contributor in an effort to accomplish the objectives for an area that is not your expertise. Adjust quickly and effectively to work with new processes, people and cultures.
• Teamwork: Actively volunteer for and participate in audits/projects and proactively contribute suggestions and solutions to resolve issues. In doing this, the associate should keep an open mind about the ideas and suggestions of fellow associates and adhere to the needs and goals of the team.

Compliance Auditor Qualifications:

• 4+ years experience, preferable in Big 4 Public or National Accounting firm, or comparable business experience.
• Bachelor's degree in Accounting, Business, Finance or Economics required.
• Preference will be given to candidates who have the following:
• CPA, MBA, CIA, requisite designation or comparable business experience preferred.
• Ability to work independently and proactively to execute critical tasks, including participation in the planning, execution, administration, reporting and review of all phases of operational and compliance audits, business risk identification, audit program development and execution, audit observation discussion and development, and interaction with key management associates.
• Demonstrate leadership characteristics (i.e.., diplomacy, decisiveness, assertiveness, cooperativeness).
• Rapidly assimilate and apply new knowledge in areas such as: general business, transaction processing industry, financial accounting, business writing and presentations, business risk and mitigation techniques, and ADP businesses and practices.
• Advanced ability in analyzing risk and designing efficient control practices to minimize risk.
• Excellent written and verbal communication skills.
• Facilitate teamwork by contributing to team efforts, sharing responsibility for team results and exhibiting a positive attitude.
• Moderate out of town and local travel, estimated at 35% per year.

Compliance Consultant Roles:

• Use technical customs knowledge to assign classification codes and country of origin, review customs data and provide insights to the business and operational and functional stakeholders.
• Support research and provide written and verbal advice to the company and businesses.
• Develop guidelines, tools, templates and instructions to govern the compliance of sensitive customs data.
• Support external queries, rulings and audits related to data classification and origin determinations.
• Administer and monitor customs and trade compliance related systems as a super user for troubleshooting, training and data quality purposes.
• Support analysis and documentation of customs processes and implementation of customs data projects and regulatory requirements.
• Compile, analyze and report on metrics and data following established procedures.
• Independently solve moderately complex issues with minimal supervision, while escalating more complex issues to appropriate staff.
• Other duties as assigned.

Compliance Consultant Experience and Requirements:

• Bachelor’s degree in a related field or equivalent experience.
• Technical knowledge of classification and origin determination.
• Minimum of two years of related work experience.
• Intermediate – Advanced English level.
• Advanced proficiency with spreadsheet application (Excel).
• Detail-oriented person.
• Minimum of three years of customs experience.
• Hands-on experience with related programs and applications.
• Experience working on customs compliance matters, preferably with a large accounting firm, government, major law firm or multinational company.
• Project management.

Compliance Coordinator Roles:

• Following up behind cleaners to make sure the home is ready for guest check-in
• Checking and replacing inventory
• Make sure garbage is put out on schedule in between guest check-in and out
• Handling calendars and assigning cleaners and handymen for repairs
• Responding to guest inquiries during bookings and also during stays
• Setting up automatic responses for guest
• Adding new properties to various platforms
• Responding to owners' inquiries
• Marketing on social media platforms
• Setting up guest codes and cleaners codes for access for check-in and deleting for checkouts
• Meeting photographers for new pictures to launch new properties
• Reporting any damages or repairs and scheduling

Compliance Coordinator Requirements:

• Multi-tasking will be an important skill to have in this role
• The ability to communicate effectively will be important for our guests and a very friendly and positive attitude
• Effective communication is extremely important
• Computer skills and marketing skills will also be helpful
• Creating a five-star experience for each of our guests, and making sure each home is always guest-ready
• Attending to guest inquiries in a timely manner and addressing guest concerns immediately
• Our business survives on 5-star ratings. It is important that each guest is treated with top priority

Lead Compliance Investigator Functions:

• Leading Compliance investigations across HERE´s business globally
• Conducting investigations independently or together with another member of HERE´s Ethics and Compliance Committee
• Conducting and supporting investigations relating to compliance with applicable laws and regulations, examining allegations of criminal behavior and other misconduct and breaches of HERE´s Code of Conduct, internal policies and procedures or our core values
• Conducting interviews, reviewing business transactions, contracts, communication, invoices and payment details, etc. as necessary
• Recommending sound remedial actions where necessary and communicating them to the relevant internal stakeholders, including C-level executives
• Documenting cases, interviews, findings, recommendations and decisions accurately throughout the investigation process and preparing a final report
• Following up on any findings and supporting mitigating measures to effectively reduce HERE´s risk exposure
• Working collaboratively with other members of HERE´s Ethics and Compliance Committee, the Privacy, Security, Legal, HR, Internal Audit and other HERE functions and ensuring that investigations are being treated with the necessary sense of urgency
• Training other members of HERE`s Ethics and Compliance Committee on conducting internal investigations
• Supporting the Compliance reporting requirements towards HERE´s Management Board, Audit Committee and Shareholders
• Management and continuous improvement of HERE´s Whistleblower Program, including different intake channels (e.g. Convercent´s whistleblower and case management solution), policies, procedures, checklists and templates
• Trusted legal advice on arising issues, risk assessments and execution of controls
• Taking over other Compliance tasks to help further evolve HERE´s Compliance Program and to support other Compliance staff (conducting Compliance trainings, risk assessments and audits, creating and maintaining Compliance policies and procedures, developing and refining Compliance controls)

Lead Compliance Investigator Qualifications:

• You have a university degree in Law and are admitted to the bar
• Minimum of 8 years of experience practicing Compliance either in-house and/or at a reputable law firm
• Deep and demonstrable hands-on experience conducting Compliance investigations globally and across all levels of an organization
• Your are able to professionally perform and document interviews and to conduct investigations on sensitive topics
• You have strong analytical skills and don´t lose focus while handling large quantities of information
• You have excellent communication and presentation skills; ability to communicate sensitive matters and to help non-experts understand applicable regulations and requirements, and to translate legal advice into actionable risk mitigations in a clear and comprehensible way
• You possess organizational skills to ensure accurate and complete documentation of a conducted investigation and the related recommendations
• You have the capacity to think strategically to identify issues and develop long-term solutions
• You have demonstrated project management skills
• You are curious, have a can-do attitude, are willing to go outside the box, to brainstorm solutions and create impactful risk mitigation strategies
• You are a self-starter, demonstrate ownership and show highest level of commitment and integrity

Compliance Manager Roles:

• Handles all internal and external inspections/regulatory visits
• Leads audit preparation activities- accompanies inspector- and completes vital reports and posting
• Performs follow up activities to non-conformances found and provides responses as appropriate
• Trains Site on accurate inspection procedure practices
• Assist in ensuring the facility is inspection ready at all times
• Plans- defines- and- advises the Site auditing control program to ensure compliance to all procedures and policies to ensure compliance to regulatory- federal- and local laws
• This includes identification of facility Quality objectives- corrective/preventive action and continuous improvement initiatives
• Trains and mentors site Auditors to ensure program goals are met
• Leads execution of site Food Safety Quality Program (QRMP) and HACCP programs
• Acts as the Site QCMS/ISO coordinator
• Monitors and maintains plant QCMS program by staying in sync with current Kraft Heinz and ISO Standards
• Ensures all internal procedures- processes are accurate and performing to expectations
• Works with internal auditor(s)- and- document coordinators(s) to ensure compliance and system improvements
• Provides Quality/Sanitation support for major project commercialization’s from a regulatory- and- Kraft Heinz procedural perspective
• Periodically audits to ensure appropriate steps- forms- and approvals are completed
• Manages Quality systems associated with eQCMS- and- Plant Quality team sites to provide access to corporate links easily
• Supports the updating of Quality refresher training (eg
• GMP’s- allergens- hold/release- Special Situations) as needed
• Bridge between Plant and Corporate Manufacturing Quality- Sector Quality- Regulatory
• Ensures Quality policies are understood and communicated to Site employees

Compliance Manager Requirements:

• 3 plus years of experience in Quality Assurance- Food Compliance and Auditing role
• Preferably within a Food Manufacturing- or other technical environment
• Bachelor's Degree is required; preferably in Food Science
• Must be able to work shifts- weekends- and all required overtime
• Timely and regular attendance
• Walk- sit- stand- climb- work near moving equipment- occasionally lift up to 25lbs- operate a computer- keyboard/typing- communicate in-person and via telephone- complete paperwork responsibilities
• Strong leadership- technical- communication and organizational skills required along with attention to detail
• Advanced knowledge of quality systems- procedures- & policies
• Prioritise multiple assignments- develop work plans- & prioritize
• Knowledge of statistical processes
• Effective interpersonal skills (oral written and verbal)
• Planning and organizing skills
• Successful candidates must possess a positive focus toward solutions with emphasis on preventative pro-active measures and team-building
• Demonstrate ability to work with cross-functional groups

Compliance Officer Duties:

• Perform risk assessments to understand risk level, significance and scope
• Keep up to date with, and understand, relevant laws and regulations
• Develop and implement a compliance program to ensure the organization operates in accordance with laws and regulations
• Maintain up to date written documentation and policies related to the organization's business activities
• Report back to business functions on current risk and compliance performance
• Highlight or escalate areas of concern
• Perform various general administrative duties (such as file creation and maintenance of ongoing administrative projects)
• Assist in the gathering of internal information in response to regulatory requests
• Collaborate with other departments to create a culture of compliance.

Compliance Officer Experience and Qualifications:

• 5+ years prior experience in risk management or compliance roles
• Superior attention to detail in order to identify and correct risky practices
• Strong communicator and capable of expressing oneself clearly both in speaking and writing
• Possess a collaborative personality and be open to suggestions from team members
• Exemplify strong knowledge of industry protocols and best practices
• Excellent analytical skills and ability to accurately interpret complex documents and policies
• Strong time management and organizational skills and able to meet deadlines
• Strong moral code and sense of ethics

Quality and Product Compliance Specialist Responsibilities:

• Lead gate check before first delivery and perform audits according to quality standards
• Perform spot checks to support the business team to verify that new products comply with documentation requirements.
• Based on audit result, support the business teams and suppliers in implementing the containment and corrective actions.
• Lead global/local projects related to quality.
• Lead and facilitate trainings for Business teams and business partners to develop competence about IKEA product requirements and quality standard
• Coach and support the business teams in evaluating potential new suppliers and mitigating risks connected to product safety and chemical/microbiological compliance
• Map critical chemical substances/materials and processes and perform risk assessments.
• Participate in the development of new IKEA of Sweden specifications and other product requirements

Quality and Product Compliance Specialist Requirements:

• University degree in quality management, chemistry or chemical/biotech/food engineering, or similar, significant experience working with food Quality/compliance management or chemical issues
• Previous work experience in handling food product quality, chemical, microbiological, or similar compliance requirements, acquired at suppliers or other manufacturers, laboratories, consultancy companies or at governmental authorities
• Knowledge about quality management, production, and operation processes
• Knowledge of consumer product legislation concerning health and safety, chemical/microbiological product safety legislation
• Very good knowledge and experience to lead audits and having auditing skills
• Specific Food related competence for individuals working in this area:
• Good understanding and experience in Food production processes and quality assurance in the value chain
• Good understanding of Food Safety management systems and risks associated with Food
• Very good knowledge of HACCP

Trade Compliance Specialist Duties:

• Perform trade sanctions/ restricted party screening of entities via the use of third-party screening tool
• Conduct export compliance audits on weekly & monthly basis as directed by GTC team
• Test internal controls to ensure that stakeholders are complying with restricted party screening program & other trade sanctions
• Train key personnel in support of import/export compliance program
• Resolve customs clearance/documentation issues for import/export shipments as necessary
• Support implementation and audit of C-TPAT/AEO Supply Chain Security Programs for SBD’s Asia Supply Base – with specific focus on Vietnam
• Support Global Trade Compliance team in all other initiatives to achieve Corporate and departmental goals and objectives.

Trade Compliance Specialist Requirements:

• College degree in International Trade, Business or Computer Science
• Language: TOEIC 700 or other certificate of English test.
• Experience with Vietnam customs regulations is required. Certificate of customs broker is preferred.
• Must have strong knowledge of and understanding of International business or related field.
• Strong knowledge of Excel & Word.
• Self-motivated and possess ability to handle multiple tasks.
• Must be able to work independently.
• Must have good organizational and follow up skills.
• Must be a team player and Goal Oriented.
• Must be able to respond to changing environment.

Compliance Testing Officer Roles:

• Maintain a current knowledge of applicable laws, regulations and issues.
• Obtain an understanding of the regulatory requirement(s), including any changes or updates to the requirements, and business processes to be tested.
• Work with the Testing Manager and/or other Subject Matter Experts to review, adjust or develop compliance testing steps to accomplish the objective of the planned test and complete scoping document.
• Review and approve scope documents completed by Testing Officers, as needed.
• Create information request lists and review, update or develop any spreadsheets/worksheets/reports (supporting electronic workpapers) required to complete the testing.
• Assist Compliance Testing Officers with planning activities outlined above, as needed.
• Perform compliance testing steps, which may include transactional testing on a statistical sampling basis up to full reviews of the compliance control environment.
• Complete second review of testing officer workpapers and worksheets, as assigned.
• Maintain on-going communication with the Compliance Testing Manager and line of business prior to, during and after testing.
• Work with Testing Officers to identify and confirm potential compliance issues, the root causes and recommend any corrective actions.
• Document findings/exceptions, root cause and corrective action/recommendations in written report.
• Participate in and/or lead formal exit meetings with management, as directed.
• Obtain line of business management’s response to findings/exceptions identified in report.
• Complete and/or review all checklists, job aids, spreadsheets, etc. and save in electronic workpapers.
• Assist the Compliance Testing Manager in updating findings management tracking logs.

Compliance Testing Officer Requirements:

• Bachelor's Degree in Business, Finance, Accounting, Law or related field
• 5+ years experience in banking combined with operations, compliance, lending, audit or relevant business experience. Experience with compliance testing or internal audit experience preferred.
• CRCM preferred, but not required.
• Attention to detail, strong time management skills, works well under deadlines.
• Excellent communication, presentation and interpersonal skills.
• Thorough understanding of auditing/examination techniques. General knowledge of applicable state and federal banking laws and regulations and of bank services, policies, and procedures.
• Ability to read, analyze and interpret governmental laws, regulations and regulatory guidance.
• Ability to work independently and/or in a team.
• Advanced problem-solving skills with the ability to define problems, analyze the variables and propose solutions.
• Required competency with Microsoft Office Suite, particularly Excel and Word.
• Ability to learn and understand technology, banking systems and reporting functions.