Job Summary: 

• Manage and rationalize the channels currently in use of Reporting of Improprieties (hotline)
• Conduct periodic risk assessments of business in Asia to identify potential areas of compliance vulnerability and risk
• Oversee implementation of company ethics and compliance policies and procedures in Asia operations
• Investigate alleged violations of laws, regulations and ethics and compliance policies independently or in conjunction with other business units
• Respond to compliance-related questions and issues independently or in collaboration with business units or other departments
• Recommend and support remedial action plans to address identified problems
• Recommend modifications to policies, procedures, or training materials to address identified problems
• Monitor laws, regulations, standards, and industry best practices and recommend modifications to policies and procedures consistent with changes or trends
• Monitor the performance of the compliance program, related activities and business transactions on a continuing basis to ensure business practices comply with policies and requirements. 
• Take appropriate steps to improve the effectiveness of the compliance program
• Contribute to and participate in due diligence reviews of third parties utilized by Costa Asia
• Develop Fiserv business and brand expertise in order to provide guidance and recommendations on digital compliance best practices, guidelines and standards to Fiserv marketers
• Coordinate with Fiserv digital development team to recommend enhancements to tools and templates
• Manage Fiserv web domain management and registrar vendor relationship
• Work with internal teams to implement compliance updates across all marketing and communications channels, leading cross-function and cross-business governance committees

Skills on Resume:

• Compliance Management (Hard Skills)
• Risk Assessment (Hard Skills)
• Policy Oversight (Hard Skills)
• Ethical Investigation (Hard Skills)
• Remediation Strategies (Hard Skills)
• Regulatory Monitoring (Hard Skills)
• Cross-Functional Leadership (Soft Skills)
• Digital Compliance Expertise (Hard Skills)

Job Summary: 

• Build effective working relationships across the business in order to maximise understanding of and compliance with regulatory requirements
• Confidently communicate with clients at a senior level, both internally and externally, in relation to regulation/rules/guidance and the impact on the clients’ portfolios, with supporting evidence.
• Organise self and team to effectively deal with FCA and wider regulatory compliance issues, managing demanding timelines and multiple stakeholder requirements.
• Act as the Target Compliance SME, with support from the Head of Compliance, assisting the business in raising operational and service standards through the identification and recommendation of best practices.
• Oversight of controlled sign-off of letters, manuals and training materials required within the business.
• Monitor regulatory fines and other market initiatives and complete business gap analysis to ensure Target practices and processes, and those of its clients, are not exposed to such weaknesses and are amended where required.
• Assist in the development, planning and implementation of Compliance strategies and frameworks for compliant systems, controls, policies procedures and reporting.
• Identify and investigate issues or trends which may adversely affect business compliance and propose any necessary action to promote business improvement.
• Maintain, and keep updated, Compliance frameworks, policies and procedures in line with regulatory change or clients’ requirements.
• Developing and implementing strategies to improve the company’s compliance position
• Continuously improve the company’s internal control framework. 
• Provide input into the business, product and technology roadmaps on compliance requirements.
• Act as the liaison between the company and industry regulators.
• Oversee the application and management of Anti Money Laundering/Counter-Terrorist Financing requirements. 
• Undertake compliance monitoring, testing and reporting on obligations under regulations and policies.

Skills on Resume: 

• Relationship Building (Soft Skills)
• Client Communication (Soft Skills)
• Regulatory Compliance (Hard Skills)
• Compliance Oversight (Hard Skills)
• Gap Analysis (Hard Skills)
• Policy Development (Hard Skills)
• Strategy Implementation (Hard Skills)
• Compliance Monitoring (Hard Skills)

Job Summary: 

• Management of audit compliance/ external audit process.
• Develop and maintain systems to establish standards relating to activities and products.
• Comply with ISO accreditation requirements.
• Prepare, update, and audit the standards for ISO9001, CIPP PAS and BACS accreditations.
• Adhere to company objectives in relation to the standards of ISO9001, CIPP PAS and BACS.
• Work closely with DPO to ensure compliance and follow company policies regarding data protection.
• Lead designated programs of internal audits against defined quality performance measures and standards ensuring that action points are followed up with appropriate managers.
• Liaise with managers and collaborate at departmental levels.
• Point of contact for internal AML/KYC queries and the overall responsibility for ensuring that checks are undertaken correctly.
• Oversee all product development procedures to identify deviations from quality standards.
• Facilitate proactive solutions by collecting and analysing quality data.
• Revising procedures and reports periodically to identify hidden risks or non-conformity issues.
• Evaluating the efficiency of controls and improving them continuously.
• Keep records of quality reports, statistical reviews, and relevant documentation.
• Establish and implement necessary communication strategies for the improvement and awareness of quality issues across all departments.

Skills on Resume: 

• Audit Management (Hard Skills)
• Standards Development (Hard Skills)
• ISO Compliance (Hard Skills)
• Data Protection Oversight (Hard Skills)
• Quality Assurance Leadership (Hard Skills)
• Cross-Departmental Collaboration (Soft Skills)
• Risk Analysis (Hard Skills)
• Communication Strategy (Soft Skills)

Job Summary: 

• Periodically conducts high-level audits and reviews to ensure execution of compliance standards
• Conduct Second line monitoring and audits of business units and deliver appropriate feedback
• Leading in the development and execution of a Compliance Monitoring Framework/ Plan for all business functions
• Oversee continuous embedding of ISO27001 Information Security Management Framework and adherence to the standard
• Oversee and maintain PCIDSS payment card compliance requirements
• Oversee the continuous development of Business Continuity and Disaster Recovery Plans, Business Impact Assessments and overall strategy
• Maintain contract library for key business contracts
• Conduct horizon scanning exercises on an ongoing basis, and where needed communicate and potential changes out to the senior management team
• Develop and implement a Compliance reporting pack to inform part of Key stakeholder meetings
• Involvement in the development of future products by way of product governance and ensure that are customer-focused and comply with regulatory obligations
• Examines and improve auditing processes to prevent compliance issues or resolve in a timely manner
• Conduct initial and ongoing due diligence on third party companies that work with the group
• Complete due diligence packs requested by appropriate third parties
• Ensure company’s policies and rules are in line with regulatory and ethical standards
• Escalate any high/ medium risks to appropriate individuals with relevant mitigation action

Skills on Resume: 

• Compliance Auditing (Hard Skills)
• Monitoring Framework Development (Hard Skills)
• ISO27001 Management (Hard Skills)
• PCIDSS Compliance (Hard Skills)
• Business Continuity Planning (Hard Skills)
• Stakeholder Communication (Soft Skills)
• Product Governance (Hard Skills)
• Risk Management (Hard Skills)

Job Summary: 

• Manage relationships with third-party bank partners to ensure compliance with state and federal consumer protection and banking regulations, internal policies, and contractual expectations.
• Manage compliance risk management processes and controls, including monitoring, testing, auditing, and corrective action processes.
• Provide compliance guidance and oversight on products and services, new initiatives, resolution of customer complaints, and emerging compliance issues.
• Assist product team to ensure that new lending and other banking products and initiatives are developed in a compliant manner.
• Help draft and review, approve consumer marketing materials, customer-facing FAQs and related content, and customer communications for products and services provided or serviced by SeedFi and issued by SeedFi or its third-party partners.
• Develop and ensure the implementation of internal policies and procedures. 
• Help develop, revise, and implement training materials for employees, customer support centers, and other third parties.
• Assist in state licensing processes for legacy and new products and services.
• Help respond to potential regulatory examinations and inquiries.
• Monitor for and help businesses update compliance practices in response to regulatory changes and development of industry best practices.
• Partner with internal legal counsel to build SeedFi’s Legal and Compliance team.
• Consult with internal and external legal counsel and compliance consultants to address potential compliance issues.
• Align to priorities and take direction from the Director of Digital Channels as outlined in the duties below
• Work with various corporate groups to manage and maintain legal, privacy and security standards
• Work with channel managers to apply legal, privacy and security standards to all marketing channels
• Establish review and maintenance schedules for auditing and updating marketing and communications channels

Skills on Resume:

• Relationship Management (Soft Skills)
• Compliance Risk Management (Hard Skills)
• Product Compliance Oversight (Hard Skills)
• Content Review and Approval (Hard Skills)
• Policy Development (Hard Skills)
• Training Material Development (Hard Skills)
• Regulatory Monitoring (Hard Skills)
• Cross-Department Collaboration (Soft Skills)

Job Summary: 

• Provide assistance in reviewing and updating the Company’s policies and procedures.
• Assist with the compliance and KYC reviews during the customers’ onboarding process.
• Assist in the conduct of the necessary checks during the payout cycles.
• Liaison with the relevant counterparts and provide the necessary responses.
• Provide assistance in colleagues’ inquiries on the relevant subject.
• Assist in gathering the relevant statistics and reports 
• Monitor compliance systems to ensure effectiveness.
• Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
• Creating and managing compliance procedures for the entire company
• Writing compliance manual and leading training/workshops to ensure compliance is maintained throughout the organization
• Working closely with regulatory boards to ensure rules and regulations are kept in order
• Working with the Board of Directors to ensure goals
• Assist in the Maintenance and development of compliance policies and procedures as needed due to changing regulations, and continued enhancement of current processes.
• Conduct third-party manager reviews on an initial, quarterly and annual basis. 

Skills on Resume:

• Policy Review and Update (Hard Skills)
• KYC Compliance (Hard Skills)
• Regulatory Liaison (Soft Skills)
• Data Analysis (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Industry Research (Hard Skills)
• Procedure Development (Hard Skills)
• Compliance Training (Hard Skills)

Job Summary: 

• Administer the training for all security personnel and oversee all security training conducted by other qualified individuals
• Ensure the quality of the training program is maintained by proactively addressing issues and identifying and resolving training needs
• Administer (trains others, updates, and makes suggestions to improve) the training program
• Develop new portions of the training program as business needs change
• Develop, administer, and track scenario-based drills, which are used for ongoing/refresher training
• Develop and provide metrics for the training program to include the number of scenario-based drills conducted on Security Officers each month, including the pass/fail results
• Ensure that all applicable procedures are current and that Security Officers have been instructed on said procedures
• Ensure that all newly hired Security Officers have been properly trained and that associated training documents (exams, IQRs, and OJT sheets) 
• Completed with satisfactory results before a Trainee is permitted to stand post
• Oversee maintenance of schedules in Labor scheduling System
• Proactively communicate with operation team members and ensure proper scheduling posts, shifts and scheduled times
• Ensure master schedules are created and maintained in the LS system
• Work with field office management to address any overrides/ errors that need to be addressed
• Provide general Compliance support to all the compliance units
• Create monthly management reports for VP, Compliance, and Monthly Management report

Skills on Resume:

• Training Program Administration (Hard Skills)
• Training Needs Analysis (Hard Skills)
• Drill Development (Hard Skills)
• Performance Metrics Analysis (Hard Skills)
• Procedure Verification (Hard Skills)
• Scheduling Oversight (Hard Skills)
• Compliance Support (Hard Skills)
• Management Reporting (Hard Skills)

Job Summary: 

• Ensure quality of service and contract compliance by regularly inspecting security personnel and job performance when assigned to shift
• Scrutinize all documents, policies and practices to ensure conformance and compliance with client requirements
• Assist in the monitoring of compliance systems to ensure effectiveness
• Use analysis to determine the effectiveness of implemented requirements for training programs
• Review post orders and make recommendations to corporate security when updates should be considered; review daily log reports and provides pass downs
• Responsible for officers meeting company standards pertaining to quality of work performed on an ongoing basis, performing all work-related tasks in a manner that is in compliance with all company policies and procedures including worldwide business standards
• General Human Resources management including selection and placement, quarterly performance reviews, attendance management, conflict resolution
• Scheduling, and payroll, maintain a current copy of the contractor's organizational chart of individuals involved in the contract
• Review alarm system open/close reports, compile exception reports and forward to appropriate security manager/operations manager for review
• Provide monthly report to the facilities and corporate security organizations detailing all pertinent activities that have occurred in the previous month concerning any security and safety issues
• Develop corrective action plans and report progress to the client for guard performance deficiencies
• Administer G4S Safety Program, semi-annually review and revise the security Emergency Response plan
• Organize, schedule, coordinate, and monitor training activities
• Meet with the Client's Facility Security Manager on a weekly basis to discuss officer performance, training and operational issues
• Serve as the focal point for the development, implementation, and updating of all guard training materials and programs
• Participate in the formulation of training policies, the identification of training needs, priorities, and the evaluation of training activities

Skills on Resume:

• Service Quality Inspection (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Training Effectiveness Analysis (Hard Skills)
• Human Resources Management (Hard Skills)
• Performance Review Management (Soft Skills)
• Scheduling and Payroll Oversight (Hard Skills)
• Security Program Administration (Hard Skills)
• Training Program Development (Hard Skills)

Job Summary: 

• Participate in projects and activities which support the top and bottom line growth of the company through compliant improvement activities
• Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
• Conduct or direct the internal investigation of compliance issues.
• Assess product, compliance, or operational risks and develop risk management strategies.
• Disseminate written policies and procedures related to compliance activities.
• File appropriate compliance reports with regulatory agencies.
• Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
• Direct activities related to Document Control group
• Manage, monitor, track, and trend KPIs related to Quality Management systems such as Complaints, Non-conformances, CAPA’s, and Change Controls.
• Support and/or lead site regulatory and customer audits.
• Work with local, state, and federal agencies to request and obtain certificate of free sale.
• Establish and maintain the Supplier Qualification program.
• Maintain the Approved Supplier List including updating and reviewing performance of vendors
• Assist in the maintenance and implementation of the Quality System.
• Exercises judgment within defined parameters and policies, expected to propose practice and policy improvements.

Skills on Resume:

• Compliance Auditing (Hard Skills)
• Risk Management (Hard Skills)
• Policy Dissemination (Hard Skills)
• Regulatory Reporting (Hard Skills)
• Confidential Communication (Soft Skills)
• Document Control (Hard Skills)
• Quality System Management (Hard Skills)
• Supplier Qualification (Hard Skills)

Job Summary: 

• Design and deliver a suitable Group Compliance Framework (GCF) to be delivered (including but not limited to policy, procedure, process, manuals, monitoring programmes and reporting), and to produce an annual assessment for review by the Group Audit Committees (GAC)
• Maintain independent oversight and management of the standard and performance of compliance resource provided to the group by external third party service providers
• Provide oversight and management of the implementation of all agreed recommendations arising and make recommendations for improvement to the GAC
• Provide consolidated compliance reports comprising regulatory updates and compliance issues seen across the group for the relevant GAC
• Implement, oversee and ensure the efficacy of the regulatory change process, ensuring that these are highlighted, assessed and escalated to relevant parties
• Ensure findings of any reviews undertaken by relevant regulatory bodies are brought to the attention of the relevant senior fora and to ensure that appropriate action is taken
• Manage regulatory change and act as an advisor to senior management on regulatory matters
• Define, scope and deliver the group-wide compliance monitoring plan
• Provide independent review of performance in relation to Treating Customers Fairly (TCF) and conduct risk
• Management of the Compliance department, and the relationship management of any outsourced service providers
• Recognised compliance, audit, or legal qualification preferable
• Operating at senior management level within an FCA or similarly authorised business

Skills on Resume:

• Framework Design (Hard Skills)
• Oversight Management (Hard Skills)
• Compliance Reporting (Hard Skills)
• Regulatory Updates (Hard Skills)
• Advisory Skills (Soft Skills)
• Change Management (Hard Skills)
• Performance Review (Hard Skills)
• Relationship Management (Soft Skills)

Job Summary: 

• Determine and implement the Group's strategy on compliance, direct and coordinate the compliance activities across the Group
• Create policies, regulations, procedures and similar documents and instructions at this level required for the compliance of the Group with internal and external legislation/regulations, to ensure the implementation of the established rules
• Establish monitoring and reporting systems required for timely and effective fulfillment of regulatory and contractual obligations
• Identify and report compliance risks to senior management and systematically follow them up across the Group, to monitor and report action plans
• Provide assurance to the Board of Directors and senior management in line with the determined risk appetite for compliance with internal and external legislations and regulations
• Organize ethics, integrity and compliance trainings in the Company
• Follow the legal legislation in the countries where the Group operates in order to proactively determine any compliance issues and to make the necessary escalations and provide guidance
• Inform the relevant units in cases where the internal policies/procedures within the Group need to be developed or updated
• Evaluate the compliance actions, related non-compliance / delays and results, to report them to the Audit / Early Detection of Risk Committees, to ensure that are included in the Executive Committee (EC) agenda when necessary
• Evaluate and fulfill the requests of business units to create or revise internal legislative documents in accordance with legal regulations or internal requirements, to standardize internal legislative documents through quality controls, to publish and announce these documents following the necessary review, consultation, and approval stages
• Effectively partner with outside legal counsel as needed to leverage subject matter expertise and manage state-specific compliance issues.
• Assist various departments in managing appropriate evidence of compliance. 
• Periodically review documentation and evidence to assure accuracy and completeness. 
• Review existing and create new procedures and processes with controls to ensure compliance performance.
• Collaborate with legal and regulatory to understand changing laws and regulations with a strong interest in understanding how regulatory and legal changes impact business.

Skills on Resume:

• Strategy Implementation (Hard Skills)
• Policy Development (Hard Skills)
• Monitoring Systems (Hard Skills)
• Risk Reporting (Hard Skills)
• Compliance Training (Hard Skills)
• Legal Guidance (Hard Skills)
• Regulatory Collaboration (Hard Skills)
• Procedural Review (Hard Skills)

Job Summary: 

• Track and implement technical regulations for sports betting in states where PointsBet is operating a sportsbook or will operate a sportsbook
• Monitor potential impact of upcoming changes to PointsBet products on regulatory compliance and partner with internal technology team to appropriately address any necessary responses
• Build documentation by state of technical regulations and differences for easy access and distribution to key individuals
• Develop, implement, and maintain testing protocol for the effectiveness of relevant policies, procedures and processes
• Maintain record retention processes for effective and compliant record retention
• Responsible for all regulatory IT compliance tasks by state including regulator monitoring, security assessment, app compliance
• Oversee client due diligence with third party providers from a compliance perspective
• Communication of changes to federal, state, and tribal laws and gaming regulations affecting the management, operations, and product offerings of the sportsbook to the technology team
• Characterized as a person of immense integrity and sound judgment
• Relevant regulatory compliance, IT audit, IT risk management experience, preferably in the gaming or finance industries
• Manages the remediation of relevant corrective actions and best practices
• arising out of annual risk assessment.
• Implements privacy by design principles and conducts privacy impact assessments.
• Responds to requests from data subjects or supervisory authorities.
• Drafts, reviews, and implements program policies and procedures.
• Implements and manages changes in accordance with company policies and procedures.

Skills on Resume:

• Compliance Management (Hard Skills)
• IT Auditing (Hard Skills)
• Documentation Management (Hard Skills)
• Protocol Testing (Hard Skills)
• Privacy Assessment (Hard Skills)
• Policy Development (Hard Skills)
• Integrity (Soft Skills)
• Communication Skills (Soft Skills)

Job Summary: 

• Update policies, procedures and training to ensure regulatory environment and changes
• Develop appropriate policies, procedures and training to ensure commercial compliance readiness
• Identify and implement process improvements and enhancements to the Compliance program
• Develop appropriate compliance training courses for employees and related third parties
• Perform compliance training at onboarding, annually, and periodically through live, remote, and electronic means
• Respond to day-to-day compliance questions from the management of field-based employees in a timely fashion
• Oversee the day-to-day compliance needs of the field-based employees
• Oversee the federal and state aggregate spend filings
• Perform investigations related to compliance-related matters
• Manage third-party compliance vendor agreement renewals and purchase orders
• Participate in screening process for healthcare related agreements and third-party entities
• Ensure interactions with healthcare professionals, key opinion leaders, researchers, and patients are conducted in an ethical manner
• Perform and/or participate in regular and ad hoc audits
• Assist VP, Compliance, with annual audit plan
• Assist VP, Compliance, on system implementations and changes

Skills on Resume:

• Policy Development (Hard Skills)
• Compliance Training (Hard Skills)
• Regulatory Analysis (Hard Skills)
• Process Improvement (Hard Skills)
• Vendor Management (Hard Skills)
• Ethical Oversight (Soft Skills)
• Communication (Soft Skills)
• Audit Execution (Hard Skills)

Job Summary: 

• Coordination and implementation of overarching company projects with compliance relevance
• Development of preventive measures to avert risk potentials
• Evaluate business processes, identify potential risks relevant to law requirements and develop appropriate, preventive measures Being the contact person for all departments and consultants on all compliance-relevant issues in the company
• Verify compliance with the relevant legal, customer and company requirements and conduct regular compliance training for employees
• Create regular reports for the management or investors on current state of compliance
• Answer customer questionnaires and manage the corresponding internal process
• Continuously develop compliance as a business topic, create relevant specifications and documentation and optimize existing processes, concepts, guidelines and policies
• Responsibility for the creation and ongoing adaptation of internal and external documentation
• Act as interface between Management, Customer Success, Legal and Information Security
• Collaboration and support of the Information Security Team in context of the ISMS
• Partner with internal stakeholders and act as Assurance lead during business ethics investigations in the Region
• Act as liaison for 3rd party consultants during investigations 
• Prepare internal investigation reports and presentations that clearly and sufficiently describe results.
• Provide the regulatory hard-lines for Curve’s Policy Management Framework
• Preparing, updating and or contributing to the content of regulatory Compliance policies.

Skills on Resume:

• Project Coordination (Hard Skills)
• Risk Assessment (Hard Skills)
• Compliance Training (Hard Skills)
• Reporting and Communication (Hard Skills)
• Process Development (Hard Skills)
• Policy Management (Hard Skills)
• Stakeholder Collaboration (Soft Skills)
• Investigation Leadership (Hard Skills)

Job Summary: 

• Act as a primary lead on business ethics and compliance related matters in the Region
• Develop and implement compliance program and initiatives locally
• Manage anti-bribery and corruption, competition/anti-trust compliance programs in the Region
• Monitor regulatory developments and ensure that the Company policies and procedures are inline with applicable laws and regulations.
• Lead compliance risk reviews on the topics of corruption, competition/anti-trust, ESG, fraud, local regulations, and other business ethics and compliance areas
• Participate in task force to identify solutions to gaps identified during assessments
• Recommend practical, appropriate, and cost-effective methods to reduce identified risk exposures and increase the strength of the overall compliance environment
• Determine if Management action items for resolution are followed to completion
• Perform testing to validate that Company activities adhere to guidelines established by the government or agencies that regulate them.
• Develop and deliver compliance training and awareness activities
• Continually promote the importance of strong business ethics and compliance controls
• Participate in projects/committees/initiatives as assigned to support assurance objectives and to provide proactive Ethics and Compliance risk guidance to business
• Act as a primary lead on annual Ethics and Compliance Training related matters in the Region.
• Support jurisdictional and permissions expansion and authorisation projects

Skills on Resume:

• Compliance Program Development (Hard Skills)
• Regulatory Monitoring (Hard Skills)
• Risk Management (Hard Skills)
• Compliance Training (Hard Skills)
• Ethical Leadership (Soft Skills)
• Problem-Solving Task Forces (Soft Skills)
• Compliance Testing (Hard Skills)
• Project Leadership (Soft Skills)

Job Summary: 

• Following established standards, present clear and documented evidence of testing and analysis performed, as well as an accurate assessment of the results.
• Provide clear, concise and accurate communication of any issues found to business management.
• Perform risk research and analysis, and formulate recommendations to make processes more efficient as well as identify trends and/or symptoms of process control breakdowns
• Clearly document testing procedures to evaluate control effectiveness, and identify control gaps and communicate emerging risks
• Perform independent validation/testing procedures to assess control design and effectiveness
• Support documentation of validation/testing results in the system of record and partner with BURM testing staff and business divisions on any remediation activities, including documentation of action plans
• Ensure the success of remediation activities through effective process monitoring
• Participate in ad hoc working groups to address and resolve new areas of risk within the business scope as requested by BURM
• Support the Compliance Officer to ensure Compliance in the regulatory processes of new and existing markets, and delivery of the risk monitoring program.
• Follow regulations and regulation updates, implementing in the company’s procedures.
• Administration of licensing application & maintenance.
• Liaising with relevant teams and internal operations on all Compliance matters.
• Review audit results ensuring that failures are acted upon by relevant parties and remedial action is taken.

Skills on Resume:

• Testing Reporting (Hard Skills)
• Risk Management (Hard Skills)
• Effective Communication (Hard Skills)
• Control Testing (Hard Skills)
• Remediation Monitoring (Hard Skills)
• Compliance Oversight (Hard Skills)
• Licensing Management (Hard Skills)
• Team Collaboration (Soft Skills)

Job Summary: 

• Lead and manage the Listings Compliance Review & Investigations team including monitoring workflows and matter selection and management.
• Provide legal advice to Participants Compliance on potential Operating Rule breaches by participants and the action that should be taken in relation to them.
• Review recommendations from Participants Compliance to initiate enforcement action against participants for contraventions of the Operating Rules and determining the appropriate course of action.
• Draft and settle submission notices, alleged minor infringement notices and enforcement notices for enforcement proceedings against participants.
• Proactively identify potential material breaches of the Listing Rules.
• Providing objective compliance advice and oversight, strengthening and advancing the organizations Quality Management System (QMS) and improving processes through identifying and completing appropriate CAPAs
• Supporting RCA and effectiveness verification activities of CAPAs.
• Collating and verifying objective evidence for inspection and audit-driven CAPAs.
• Assessing and managing quality and accuracy of data in R&D CAPA System and providing related compliance reporting and metrics.
• Supporting GCP/GLP inspection readiness and management.
• Ensuring compliance in areas such as Responsible Gambling, AML/CTF, Information Security, GDPR, PCI DSS, and Advertising.
• Ensure that all required reports are generated and provided to senior management 
• Escalate any compliance/non-compliance issues to the Compliance Officer and any other stakeholder.
• Collect, analyze and summarize information and prepare reports accordingly.

Skills on Resume:

• Compliance Team Management (Hard Skills)
• Legal Advisory (Hard Skills)
• Enforcement Actions Oversight (Hard Skills)
• Regulatory Compliance Monitoring (Hard Skills)
• Quality Management System Oversight (Hard Skills)
• CAPA Management (Hard Skills)
• Inspection and Audit Readiness (Hard Skills)
• Compliance Reporting and Analysis (Hard Skills)

Job Summary: 

• Implement compliance program, CA and other Latin American countries eventually assigned, including company’s Ombuds Program, trainings, communications, etc
• Implement and enforce compliance policies and ensure full compliance with all applicable laws and regulations, CA, as well as other Latin American countries eventually 
• Participate in the development and performance of compliance trainings not only for employees but also for third parties, with primarily focus on ABAC - anti-bribery/anti-corruption (FCPA, Act, and Anti-Money Laundering)
• Identify potential areas of compliance vulnerability/risk, development/implementation of corrective action plans, provision of general guidance as to how to avoid similar problems in the future
• Review and eventually approve requests related to site acquisition projects, monitor such projects
• Serve as a reporting channel for concerns to be eventually raised
• Prepare and lead compliance meetings with local business leaders, including deep-dive reviews
• Support the implementation of corrective actions agreed upon as a result of audit/ABAC reviews
• Support (and eventually lead) internal investigations, lead disciplinary committees, track/monitor implementation of disciplinary actions agreed, eventually implement such disciplinary actions
• Participate in periodic project meetings, prepare and present periodic compliance reports, as well as be prepared to respond to any questions related to activities
• Supporting GCP/GLP Compliance on governance bodies in the clinical development area.
• Supporting functional activities including deviation management, inspection readiness and administration of compliance committee.
• Maintaining knowledge of current regulatory, CAPA and compliance practices/issues.

Skills on Resume:

• Compliance Program Implementation (Hard Skills)
• Anti-Bribery and Anti-Corruption Training (Hard Skills)
• Risk Identification and Management (Hard Skills)
• Project Monitoring (Hard Skills)
• Compliance Reporting (Hard Skills)
• Audit and Investigation Support (Hard Skills)
• Regulatory Knowledge Maintenance (Hard Skills)
• Stakeholder Engagement (Soft Skills)

Job Summary: 

• Ensure products continuously comply with Amazon’s quality, performance, reliability, as well as industry safety and regulatory requirements worldwide
• Planning and executing complex projects across multiple organizations and stakeholders to enable the launch of projects and processes at scale
• Driving buy-in for the safety and compliance strategy with key internal stakeholders
• Making data-driven recommendations to senior management on prioritization of controls for product safety and compliance
• Earning trust of business partners by understanding business plans and constraints, anticipating safety and compliance challenges and proactively communicating win-win solutions
• Developing periodic business reviews by creating and monitoring business metrics to track process effectiveness
• Collect and aggregate global Compliance data, perform quantitative and qualitative data analyses, identify trends, and generate key metrics and reports for AIG’s GCG.
• Assist in the creation of quarterly Compliance reports utilizing global and business level Compliance data in support of board and executive level presentations and briefings by the AIG Global Chief Compliance Officer and other members of the GCG Leadership Team.
• Communicate Compliance technology/automation needs to AIG IT system owners and developers. 
• Assist with the rollout and implementation of technology-based solutions in support of AIG’s compliance with laws, regulations, and AIG policies.
• Assist with the implementation and execution of controls related to Global Compliance programs and key risk areas.
• Assist with management of Compliance initiatives and participate in special projects

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Project Management (Hard Skills)
• Stakeholder Management (Soft Skills)
• Data Analysis and Reporting (Hard Skills)
• Business Metrics Development (Hard Skills)
• Compliance Data Management (Hard Skills)
• Technology Implementation (Hard Skills)
• Risk and Controls Management (Hard Skills)

Job Summary: 

• Drive structured implementation of initiatives end-to-end, including carrying out scoping and planning.
• Identify and build global compliance processes.
• Assist in building a compliance culture across 
• Support on cross-divisional alignment of implementation of compliance initiatives in the business.
• Own the global approach to governance, monitoring and framework within the Compliance team.
• Coordinate initiatives with global stakeholders in all business areas.
• Collaborate with the Global Compliance team in the periodic revision of the global regulatory compliance risk framework.
• Assess the merit of compliance software or digital tools as potential global solutions for regulatory compliance matters.
• Build a culture of process excellence for compliance.
• Ensure progress and execution of the strategic initiatives through collaboration with the other Compliance managers and specialists

Skills on Resume:

• Project Implementation (Hard Skills)
• Global Process Development (Hard Skills)
• Compliance Culture Development (Soft Skills)
• Cross-Divisional Coordination (Soft Skills)
• Governance and Monitoring (Hard Skills)
• Stakeholder Engagement (Soft Skills)
• Regulatory Framework Revision (Hard Skills)
• Compliance Technology Assessment (Hard Skills)

Job Summary: 

• Maintaining a thorough understanding of and keeping abreast of developments in Finnish and Swedish healthcare laws, regulations and industry codes (PIF Code of Ethics in Finland and LIF Code of Ethics in Sweden), as well as Roche internal rules and guidelines, to inform local healthcare compliance policies and initiatives
• Promoting a culture of compliance and integrity by fostering an environment of open and honest communication with all employees of all levels reinforcing the importance of conducting oneself in an ethical manner and in the best interests of the company
• Drafting, revising/updating and implementing healthcare policies and initiatives in Finland and Sweden and monitoring performance to evaluate regularly the impact, taking into account Roche’s agile ways of working
• Developing and driving the implementation of a proactive, strategic and modern training program throughout the organization aimed at impacting behavior and driving ownership of healthcare compliance by all associates in Finland and Sweden.
• Collaborating and proactive engaging with local stakeholders in order to reflect the affiliates’ commitment to ethical and legal business conduct as well as compliance with the letter and spirit of the law and global policies
• Networking and interacting with stakeholders in the global Roche network and external industry associations (PIF in Finland and LIF in Sweden) to share experiences and ensure awareness of latest developments in healthcare compliance
• Continuously assessing and mitigating risks related to healthcare compliance, including cooperating with local Compliance Officers in making and monitoring compliance risk assessments
• Ensuring that the Finnish and Swedish affiliates meet their transparency reporting obligations
• Acting as local point of contact and super user for processes and IT systems related to healthcare compliance
• Work within Product Compliance team, with key responsibilities in the following areas
• Assess requirements for new and existing electronic consumer products
• Audit supporting product documentation and compliance reports
• Track EU Directives, Regulations and Standards to ensure that required product changes are implemented in a timely manner

Skills on Resume:

• Regulatory Knowledge (Hard Skills)
• Compliance Culture Promotion (Soft Skills)
• Policy Development and Monitoring (Hard Skills)
• Training Program Development (Hard Skills)
• Stakeholder Engagement (Soft Skills)
• Networking and Collaboration (Soft Skills)
• Risk Assessment and Mitigation (Hard Skills)
• Transparency Reporting (Hard Skills)

Job Summary: 

• Research, identify and document the local regulatory requirements for proposed products and feed these requirements into the C&A process
• Maintain a close understanding of the market regulatory landscape to identify potential changes, threats & opportunities coming from the regulatory environment
• Maintain a good understanding of the potential technology direction of Dyson in order to understand threats & opportunities within the regulations
• Maintain local documentation & records to ensure ongoing compliance
• Host any regulatory audit activities and lead any post-audit activity
• Develop and maintain excellent working relationships with the key players in the local regulatory landscape, including: regulatory bodies, certification bodies, and others involved in the regulatory process
• Engage, where appropriate, with the local industry bodies and standardization committees to understand local trends and influence where possible
• Collaborate with other Dyson teams to continuously improve the effectiveness of the regulatory processes
• Support technical retailer onboarding of product SKU’s
• Ensure no hold-ups to either new product launch or existing production
• Drive continuous improvement of Sky's product compliance process
• Effectively communicate process requirements to product teams 

Skills on Resume:

• Regulatory Research (Hard Skills)
• Market Analysis (Hard Skills)
• Compliance Documentation (Hard Skills)
• Audit Management (Hard Skills)
• Relationship Building (Soft Skills)
• Industry Engagement (Soft Skills)
• Cross-Functional Collaboration (Soft Skills)
• Process Communication (Soft Skills)

Job Summary: 

• Develop and supervise corporate compliance programs to ensure the Company businesses are aligned laws, specific regulations of the State Bank of as well as global standards on finance services, including those on anti-money laundering and anti-corruption
• Establish compliance procedures, guidelines, checklists and toolkits for implementation of the Company’s compliance policies
• Liaise with business units to conduct training on compliance for the Company’s employees and maintain the training records
• Conduct internal audits to assess the level of compliance enforcement by business units and other departments in the Company
• Advise the management on compliance risks arising from the Company’s daily operations and appropriate measure to control these risks
• Monitor regulatory developments to update the Company’s compliance policies and advise the management and relevant units accordingly
• Conduct other incidental works and projects as instructed by Head of Legal and Corporate Affairs.
• Review marketing materials and financial promotions to be distributed and ensure adherence to relevant local regulatory requirements and industry best practices
• Prepare and compile regulatory compliance reports to regulators, auditors and/or clients
• Implement local compliance monitoring programs for business activities in a timely and efficient manner
• Analyze and report forensic testing results
• Liaise with regulators such as Securities Regulatory Commission and Asset Management Association 
• Provide compliance advice for the products to be launched

Skills on Resume:

• Compliance Program Development (Hard Skills)
• Training and Education Coordination (Hard Skills)
• Internal Auditing (Hard Skills)
• Risk Management Advising (Hard Skills)
• Regulatory Monitoring (Hard Skills)
• Marketing Compliance Review (Hard Skills)
• Compliance Reporting (Hard Skills)
• Regulatory Liaison (Hard Skills)

Job Summary: 

• Act as compliance representative on key business and regulatory projects and initiatives
• Oversee the approval of financial promotions at the Groups subsidiary company, providing advice and support 
• Be a professional source of knowledge in the regulatory and conduct environment to be able to provide members of the Group with support and advice on wider FCA-related regulatory themes.
• Write and present compliance reports including summaries of appropriate papers issued by the regulator identifying the potential impact on the Business
• Contribute to the development and maintenance of the regulatory and conduct risk frameworks, Compliance Universe, policies and procedures and ensure that consistent standards are applied across the Group through effective communication and advice
• Support the development of the compliance culture across the organisation whilst ensuring second line challenge is provided and good customer outcomes are promoted.
• Program-manage compliance initiatives, including ISO 27001, SOC2 and NIST 800-53 
• Work with external auditors and internal stakeholders to achieve compliance within agreed timeframes 
• Update local compliance manuals, policies, and procedures 
• Support regional compliance risk assessments
• Participate in compliance projects and initiatives, other business projects to support business partners

Skills on Resume:

• Regulatory Project Management (Hard Skills)
• Financial Promotions Oversight (Hard Skills)
• Regulatory Advisory (Hard Skills)
• Compliance Reporting (Hard Skills)
• Risk Framework Development (Hard Skills)
• Compliance Culture Support (Soft Skills)
• Audit Collaboration (Hard Skills)
• Policy and Procedure Updates (Hard Skills)

Job Summary: 

• Oversee and manage a policy exception program including security and health & safety policy exceptions.
• Drive business critical exceptions through quality control, subject matter experts, risk assessment, and approvals.
• Implement program and tooling improvements and work with engineering teams to develop / implement solutions.
• Partner to define the strategy, approach, scope, and roadmap for the organization’s controls monitoring program.
• Drive the development, writing, and implementation of compliance controls that mitigate risk.
• Create testing scripts for validation that compliance controls are designed and operating effectively.
• Partner to onboard compliance controls and integrate new programs into existing controls monitoring framework.
• Evaluate effectiveness of and propose improvements to controls and documentation 
• Develop and update information security policies and procedures and assist with the exceptions process 
• Maintain an up to date library of governance and compliance documentation and assist with the development and maintenance of an annual approval cycle for these documents
• Assist in the preparation of regulatory submissions 
• Attend market / regulatory seminars and feedback relevant information to the Chief Legal and Compliance Officer

Skills on Resume:

• Policy Management (Hard Skills)
• Quality Control Oversight (Hard Skills)
• Program Implementation (Hard Skills)
• Risk Assessment (Hard Skills)
• Compliance Testing (Hard Skills)
• Documentation Management (Hard Skills)
• Regulatory Compliance (Hard Skills)
• Strategic Partnerships (Soft Skills)

Job Summary: 

• Responsible for communicating organization-wide performance objectives and implementing
• Develop the team in order to meet those objectives; track progress of performance and execute on tactical strategies for goal attainment
• Supervise the team's day-to-day operation which may include assigning and reviewing work items, while also providing feedback and completing performance evaluations of staff members
• Manage large scale projects and coordinate across global investigative regions
• Lead and develop innovative and proactive initiatives to challenge the status quo
• Drive process improvements, including controls and proactively address stress points and pursue necessary solutions in an effort to improve the current process
• Leverage strong money laundering and terrorist financing typology knowledge and business acumen to quickly and effectively identify high risk activity and escalate
• Design, create, and deliver work summaries, metrics reporting and presentations appropriate for the intended audience which can include senior AML management and senior representatives from the lines of business
• Conduct staff meetings to communicate procedural updates and technological enhancements, while also facilitate one-on-one meetings for individual coaching purposes
• Provide ongoing feedback, which includes providing updates within the performance management system and delivering year-end performance reviews
• Review and approve final work products including Significant Suspicious Activity Reports project slide decks and closure documents
• Establish collaborative working relationships with AML Investigations team members on a global scale
• Build relationships with the Review and QA groups; act as a liaison between groups for dispute resolution when escalated
• Make independent decisions and discuss more complex regulatory issues including the line of business impact with senior AML management

Skills on Resume:

• Performance Management (Hard Skills)
• Project Management (Hard Skills)
• Leadership and Development (Soft Skills)
• Process Improvement (Hard Skills)
• Risk Identification (Hard Skills)
• Reporting and Metrics Analysis (Hard Skills)
• Communication and Coaching (Soft Skills)
• Relationship Building (Soft Skills)

Job Summary: 

• Provide guidance to staff on legislative and regulatory developments
• Provide advice and assistance to staff with the development, implementation and maintenance of compliant policies and procedures
• Carry out the assessment of the level of compliance with legislation, regulatory requirements and Codes of Practice
• Identify potential gaps and weaknesses and develop preventative and remedial measures
• Assist in the development, implementation and maintenance of compliance monitoring programs
• Assist in the adoption of best practice and procedures within the regulations of the Data Protection Act (DPA) including GDPR and AML/CTF
• Ongoing monitoring of AML and DPA activities within the business and reporting the findings for inclusion in the annual MLRO and DPO Report
• Active management of the complaints process ensuring complaints are handled in line with the agreed Complaints Procedure that appropriate follow-up actions are completed and that data is reported monthly
• Reply to DPA subject access requests within legislative timescales
• Liaise with the Head of HR to ensure mandatory regulatory training is provided at induction and ongoing as required for all staff 
• Assist with the development, implementation and maintenance of systems and procedures to ensure compliance with the FCA’s principles of Treating Customers Fairly
• Assist in the review of new legislation, regulatory requirements and Codes of Practice and assess the impact of such changes on the business
• Assist in the maintenance and documentation of the Compliance Manual and other relevant manuals

Skills on Resume:

• Regulatory Guidance (Hard Skills)
• Policy Development (Hard Skills)
• Compliance Assessment (Hard Skills)
• Remedial Measures Design (Hard Skills)
• Monitoring and Reporting (Hard Skills)
• Complaints Management (Hard Skills)
• Training Coordination (Soft Skills)
• Legislative Compliance (Hard Skills)

Job Summary: 

• Provide sound second line AML advice on the implementation of new propositions encompassing store valued products. 
• Significantly contribute to enhanced compliance risk monitoring by identifying and developing appropriate/relevant metrics that examines the adequacy of payments compliance systems and controls
• Leading regulatory mapping enhancement opportunities by identifying gaps, recommending clear requirements to First-line teams and tracking resolution.
• Provide second line AML advice on KYC, AML and Sanction Screening requirements in line with applicable LUX and EU obligations
• Review Key Risk Indicators for KYC, Screening and Suspicious Activity Programs on an ongoing basis and escalate as appropriate to the MLRO and/ or Compliance Officer on edge findings or red flags
• Monitor Financial Crime oversight and Consumer Protection metrics and maintain the preparation of regular reports to the MLRO and/ or Compliance Officer
• Act as a first point of contact for the first line of defense in cases requiring compliance requirements and/or opinion and escalate to the MLRO and/ or Compliance Officer when warranted
• Review complex suspicious activity investigations to assess whether grounds for reporting suspicion of money laundering or terrorist financing exist
• Review complex KYC investigations to assess whether proper controls exist and/or are being followed as per policies and procedures
• Maintain up-to-date knowledge of relevant regulations and have a solid understanding of regulatory environment for e-money firms
• Significantly contribute to the creation and maintenance of Compliance procedures and translating policy requirements into operational activities
• Assist in the development, implementation, and execution of compliance testing, continuous key controls testing, and reporting in accordance with the approved Compliance Monitoring Plan
• Participate in the planning, execution, and reporting of compliance testing and lead issue validation activities with stakeholders
• Lead and deliver on the creation and maintenance of the MLRO Team’s standard operating procedures, translating MLRO policy requirements for APE into operational activities.

Skills on Resume:

• AML Advisory (Hard Skills)
• Compliance Risk Monitoring (Hard Skills)
• Regulatory Gap Analysis (Hard Skills)
• KYC and Sanctions Expertise (Hard Skills)
• Financial Crime Oversight (Hard Skills)
• Compliance Procedure Development (Hard Skills)
• Compliance Testing and Reporting (Hard Skills)
• Stakeholder Engagement (Soft Skills)

Job Summary: 

• Manage the licensing process for Impala working closely with Group
• Ensure compliance with licensing objectives
• Understand compliance in new and existing markets where Impala Digital will enter.
• Understand and implement Group Global Safer Gambling and Regulatory requirements that are relevant to the market in an accurate and timely manner
• Provide weekly reports to Director of International Compliance & Licensing
• Maintain a risk register including Regulatory, local markets, finance, anti-bribery and anti-money laundering risks.
• Identify, create and maintain the company's framework of policies and procedures to ensure all stakeholders are compliant with the regulations and directives.
• Prepare reports for Entain Group Governance Committee and ensure all participants are full briefed prior to these meetings.
• Implement the actions and findings of the Entain group Committee
• Conduct information security assessments of third party vendors 
• Manage responses to customer security questionnaires 
• Work to constantly improve compliance status and overall security posture 

Skills on Resume:

• Licensing Management (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Market Analysis (Hard Skills)
• Regulatory Reporting (Hard Skills)
• Risk Management (Hard Skills)
• Policy Development (Hard Skills)
• Stakeholder Communication (Soft Skills)
• Security Assessments (Hard Skills)

Job Summary: 

• Assist in the development and implementation of compliance policies, procedures, and internal controls
• Analyzing the customer KYC and operational transaction risk to ensure that the company is compliant with global best practices of Anti-Money Laundering (AML) and Combating Financing of Terrorism (CFT)
• Providing recommendations on risk mitigations to the Risk Committee
• Liaising with customers for completing the KYC requirements, regulators and internally with Department Heads
• Reporting of suspicious activities to executive management and subsequently if required to the relevant authorities
• Maintaining up to date documentation both physically and electronically
• Taking the lead when the company is preparing for and undergoing a compliance audit
• Initially full training will be provided and thereon you will provide training to company employees on an ongoing basis
• Report generation on compliance and risk matters for Executive Management and Risk Committee as and 
• Taking part in planning, organizing and directing the work of direct reports and others
• Outlining procedures and instructions on work received for the team
• Preparing time estimations on new tasks received, check accuracy / quality of content creation / data population done by others
• Ensuring records are maintained accurately
• Onboarding, mentoring and training new team members

Skills on Resume:

• Compliance Policy Development (Hard Skills)
• Risk Analysis (Hard Skills)
• KYC Compliance (Hard Skills)
• Stakeholder Communication (Soft Skills)
• Compliance Reporting (Hard Skills)
• Documentation Management (Hard Skills)
• Audit Preparation and Leadership (Hard Skills)
• Team Training and Mentoring (Soft Skills)

Job Summary: 

• Responsibility for instituting and maintaining the Company's Anti-Money Laundering Program 
• Establishing and updating internal policies, procedures, and controls for the completion, review, submission, and retention of all reports and records required under the Bank Secrecy Act of 1970, the Patriot Act of 2001, and any other law signed into effect by the President of the United States including any Geographical Targeting Orders signed by the President in an effort to combat terrorism.
• Responsible for the organization and design of training materials, plus the initial and ongoing employee training program for the Company's Anti-Money Laundering Program.
• Responds to Banking and Government officials (including IRS and Office of the Commissioner of Banks) on compliance matters (audits) 
• Work with Corporate management implement to implement policies, procedures, and internal controls to correct compliance deficiencies, enhance compliance performance, and/or adapt to regulatory changes.
• Develops effective lines of communication with all stores which are governed by federal, state, and local regulations, policies and procedures, and contractual obligations.
• Monitors store compliance with federal, state, and local regulations, policies and procedures, and contractual obligations.
• Conducts periodic risk assessment and response plans.
• Responds promptly to detected deficiencies, develops corrective action, and reports any deficiencies through established channels.
• Investigates reported violations and ensures proper reporting of violations to duly authorized enforcement agencies
• Responsible for compliance with Money Service Businesses (Western Union).
• Liaison between the stores, RAS, States, and the third-party processor in regards to Debit/ Credit and EBT.
• Liaison for the courier activity of the stores and office.
• Responsible for the NC Education Lottery, SC Education Lottery and GA Lottery.

Skills on Resume:

• AML Compliance (Hard Skills)
• Policy Development (Hard Skills)
• Training Design (Hard Skills)
• Regulatory Liaison (Hard Skills)
• Risk Management (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Cross-Functional Coordination (Soft Skills)
• Investigation Oversight (Hard Skills)

Job Summary: 

• Review and interpret written regulations at State and Municipal levels, and apply them to real time company policies, procedures and training.  
• Serve as the on site subject matter expert for staff regarding any change in regulations and company policies or procedures.  
• Design and conduct regular and random internal audits to identify non-compliant company activities and work with relevant department heads to correct fails.  
• Host inspections with State and Municipal Regulatory and Law Enforcement agencies and track any corrective actions through to completion. 
• Draft official communications and assist with responses to government agencies and other regulatory bodies
• Manage and file all required operational and training logs from all departments (Distribution, Delivery, Manufacturing, HR) to ensure compliance. 
• Manage and file all required documentation related to Labor Compliance including but not limited to: Employee Onboarding documents, EDD documents, DFEH documents, Cal/OSHA and Worker’s Compensation. 
• Working closely with executives to ensure best practices are adopted, encouraged, and implemented across the organization.
• Conducting investigations and communicating findings

Skills on Resume:

• Regulatory Interpretation (Hard Skills)
• Audit Design and Implementation (Hard Skills)
• Policy Development and Enforcement (Hard Skills)
• Compliance Documentation Management (Hard Skills)
• Stakeholder Communication (Soft Skills)
• Labor Compliance Management (Hard Skills)
• Executive Collaboration (Soft Skills)
• Investigative and Reporting Skills (Hard Skills)

Job Summary: 

• Lead and oversee all aspects of development, implementation, standardization, and management of the Company’s compliance program, as it relates to the company’s hazardous and non-hazardous business activities. 
• Communicate company’s regulatory agenda and compliance activities to company leadership and employee teams
• Drive execution of regulatory initiatives through strategic planning, employee communications, and initiatives. Provide support to continuously improve EHS metrics.
• Maintain knowledge of all applicable corporate, local, state, and federal regulatory requirements, including the following: Environmental Protection Agency (EPA), Federal Railroad Administration (FRA), Department of Transportation (DOT), Occupational Safety and Health Administration (OSHA), Mine Safety and Health, Administration (MSHA), American Petroleum Institute( API) Guidelines, Clean Water Act, Clean Air Act, Toxic, Substance Control Act (TSCA)
• Develop, maintain and implement programs and procedures to ensure compliance
• Keep senior leaders and management team informed of new and developing regulations
• Serve as point of contact for local, state, and federal regulatory agencies in area of responsibility
• Prepare permit applications/renewals and other regulatory filings
• Provide employee training and information on compliance and EHS topics
• Lead a growing team of safety and compliance professionals
• Coordinate work with outside consultants and attorneys for permit matters and regulatory issues
• Serve as knowledge expert for company operations regarding workplace compliance

Skills on Resume:

• Compliance Program Management (Hard Skills)
• Regulatory Communication (Soft Skills)
• Strategic Planning (Hard Skills)
• Regulatory Knowledge (Hard Skills)
• Stakeholder Engagement (Soft Skills)
• Permit and Regulatory Filings (Hard Skills)
• Employee Training and Development (Hard Skills)
• Leadership and Team Management (Soft Skills)

Job Summary: 

• Identify, review and monitor compliance issues and opportunities for enhancing organizational compliance.
• Develop and maintain a system for identifying and reporting compliance issues, complaints, concerns, questions, resolution, and follow-up.
• Manage and investigate Compliance Hotline incidents.
• Coordinate responses to identified compliance questions, concerns or federal/state inquiries or investigations.
• Draft, update, and implement Compliance Program policies.
• Represent the Office of Compliance and Privacy at meeting and committees.
• Coordinate with the Chief Compliance Officer and Corporate Compliance Committee the on-going enhancement of the Compliance Plan and Code of Conduct to improve effectiveness or in response
• Changing organizational needs or new/revised regulation, policies and guidelines.
• Maintain Compliance Program dashboards. 
• Prepare reports for the Chief Compliance Officer and Corporate Compliance Committee on the effectiveness of CHLA’s Compliance Program.
• Provide focused in-service education and training to various departments upon request.
• Tracking regulatory changes and proactively communicating to ensure risks are identified and mitigated.
• Pursuing ongoing professional development in order to maintain current knowledge and best practices.

Skills on Resume:

• Compliance Monitoring (Hard Skills)
• Policy Development and Implementation (Hard Skills)
• Incident Management (Hard Skills)
• Regulatory Compliance (Hard Skills)
• Reporting and Analytics (Hard Skills)
• Stakeholder Engagement (Soft Skills)
• Training and Education (Hard Skills)
• Continuous Professional Development (Soft Skills)

Job Summary: 

• Managing continued implementation and adherence to consumer-focused compliance policies and standards at the Company.
• Coordinating the review of and updates to existing policies and procedures, and managing ongoing review of materials and communication tools to ensure departments meet compliance requirements.
• Supporting initiatives to acquire licenses in new jurisdictions and maintaining current licenses, bonds, and registrations.
• Ensuring compliance with regulatory reporting requirements and timely submissions of required filings.
• Supporting internal monitoring and assessment of compliance program, managing external compliance audit, interpret audit and compliance requirements for various departments, and ensuring any findings are appropriately remediated.
• Supporting compliance training initiatives, including preparation of materials.
• Reviewing laws, rules and regulations to identify potential gaps and implement remediation.
• Managing and keeping an updated risk register.
• Engaging in, designing and supporting compliance-related initiatives across the Company.
• Managing day-to-day duediligence review of third-party vendors and sales partners, collaborating with internal teams and external vendors to ensure adherence to policies and procedures, and providing recommendations to Compliance Committee and executives 
• Ensuring compliance with data privacy requirements.
• Reviewing and assisting with regulatory and compliance-related sections of commercial contracts, and tracking requirements to ensure adherence by the organization.
• Creating and reviewing regulatory compliance documentation, and continuously improve controls at the Company.

Skills on Resume:

• Compliance Policy Management (Hard Skills)
• Regulatory Reporting (Hard Skills)
• Audit Management (Hard Skills)
• License Acquisition and Maintenance (Hard Skills)
• Compliance Training Development (Hard Skills)
• Risk Management (Hard Skills)
• Cross-Functional Collaboration (Soft Skills)
• Vendor Due Diligence (Hard Skills)

Job Summary: 

• Deliver business goals for processes handled
• People Management (leadership role, team management & development, floor control and retention)
• Attract talent and makes right hiring decisions, On-boarding and continuous development of team and maintain a high delivery bar
• Formulate, Implement, Track career path & Individual Development Plans of each member of the team
• Metrics Management (Executes and makes plans to deliver business metrics)
• Mentor and guide Quality lead/Process Expert to manage quality, improve process efficiency and minimize variation, conceptualize, design and deliver training to the team
• Owns weekly/monthly metrics and process reviews with internal and external stakeholders
• Participates and provides adequate support in business reviews with mid-level and senior stakeholders.
• Manage a team of 15+ associates and specialists in driving Operational goals for respective business functions measured under Cycle Time/Productivity/Quality/Cost metrics
• Manage global classification/rule writing programs that will result in duty savings and ultimately benefit the programs
• Make right hiring decisions, continuously develop team, set goals and holds team members accountable for performance
• Drive process improvements and enforce quality processes
• Scale up team by proper budgeting and planning
• Work with Amazon’s internal technology teams to develop creative and best-in-class product compliance business processes that can scale up
• Work with various internal teams (e.g. supply chain, retail teams, system teams, program teams) to help drive tools, best practices and process improvements that affect classification speed of the program

Skills on Resume:

• People Management (Soft Skills)
• Hiring and Onboarding (Hard Skills)
• Metrics Management (Hard Skills)
• Quality Assurance (Hard Skills)
• Stakeholder Engagement (Soft Skills)
• Team Leadership (Soft Skills)
• Process Improvement (Hard Skills)
• Cross-Functional Collaboration (Soft Skills)

Job Summary: 

• Own and manage a compliance program to ensure the Delivery organization operates according to policy and procedure
• Lead process improvement initiatives at every level of the Delivery organization
• Lead internal audits throughout Delivery to ensure compliance with SOPs and Work Instructions and written, non-GxP ways of working
• Identify areas of non-compliance and coordinate with management and staff to develop improvement remediation plans
• Determine compliance metrics and establish a system for tracking 
• Research emerging issues and identify root cause sand corrective actions in a timely manner
• Maintain up-to-date written documentation and policies related to the organization's business activities
• Manage the Body of Knowledge for process and guidance for the Delivery organization
• Develop risk management strategies and lead their implementation
• Design and advise on ongoing training programs based on compliance trends and change management activities
• Liaise with other department heads to ensure that all Delivery operations are in line with business policies
• Liaise with Client Directors to ensure client-specific ways of working are adhered to
• Provide a weekly report on delivery compliance

Skills on Resume:

• Compliance Program Management (Hard Skills)
• Process Improvement Leadership (Hard Skills)
• Internal Auditing (Hard Skills)
• Corrective Action Planning (Hard Skills)
• Compliance Metrics Analysis (Hard Skills)
• Policy Development (Hard Skills)
• Risk Management (Hard Skills)
• Cross-Departmental Coordination (Soft Skills)