Job Summary:

• Working with the team to continually monitor the EU regulatory and legal environment and maintain business compliance with applicable legislative and regulatory frameworks
• Ensuring relevant legal and regulatory developments are communicated appropriately across the company
• Help identify and assess compliance risks
• Find solutions and demonstrate a positive approach to compliance matters
• Help shape key strategic projects, working with cross functional teams including Commercial, Technology, Product and Operations. 
• Leading applicable compliance development and review
• Constantly drive for improvement in efficiency and risk management
• Assist the EU Risk and Compliance Manager on data governance and privacy matters

Skills on Resume:

• Regulatory Monitoring (Hard Skills)
• Compliance Communication (Soft Skills)
• Risk Assessment (Hard Skills)
• Solution Finding (Soft Skills)
• Cross-functional Collaboration (Soft Skills)
• Compliance Leadership (Hard Skills)
• Efficiency Improvement (Soft Skills)
• Data Governance Support (Hard Skills)

Job Summary:

• Review daily CTR events report and compare to branch data for discrepancies
• Complete monitoring procedures and report findings and corrective action to management
• Research regulatory requirements and regulatory questions
• Review BSA/AML alerts to identify unusual or suspicious transaction activity
• Process daily legal requests per procedures and contact court representatives, clarify requests, and submit payments through general ledger accounts
• Coordinate legal requests with other departments and respond 
• Document standard operating procedures to ensure consistency, review for efficiency and effectiveness, and collaborate across departments to seek improvements
• Present any data and findings at monthly EAC meetings.
• Update Quality Assurance standard operating procedures 
• Perform Gap assessments of corporate standards and guidance documents 
• Participate in programs for process improvements 
• Provide Quality Assurance and Microbiological knowledge to facility improvement projects 

Skills on Resume:

• CTR Event Review (Hard Skills)
• Monitoring Reporting (Hard Skills)
• Regulatory Research (Hard Skills)
• Alert Review (Hard Skills)
• Legal Request Processing (Hard Skills)
• SOP Documentation (Hard Skills)
• Gap Assessments (Hard Skills)
• Process Improvement (Soft Skills)

Job Summary:

• Solve customer problems using Geotab products and platform
• Create and maintain reports and quality control and error checking
• Create and maintain systems integrations
• Documentation of processes and procedures
• Attend meetings (physical or over web) to address customer requests
• Customer phone and email support
• Address customer missing documents, violations and other issues
• Order, review and report on carrier profiles and driver abstracts/MVRs
• Office support, may include diagnosing computer issues
• Assist with the entity and individual gaming license applications
• Maintain repository of regulations, standards, and policies pertaining to regulatory, shipping, and technical compliance
• Assist with research and analyses of gaming regulations (regulatory, shipping, and technical)
• Assist with the preparation of monthly, quarterly, and annual regulatory reports
• General administrative support for the Compliance Department

Skills on Resume:

• Problem Solving (Hard Skills)
• Report Maintenance (Hard Skills)
• System Integration (Hard Skills)
• Process Documentation (Hard Skills)
• Customer Support (Soft Skills)
• Regulatory Research (Hard Skills)
• License Application Assistance (Hard Skills)
• Administrative Support (Soft Skills)

Job Summary:

• Draft and format rate, rule and form pages as needed, with direction
• Prepare support documentation required to file a product
• Work closely with the Filing Department, respond to state insurance department inquiries
• Coordinate with multiple functional areas to resolve state objections in a timely manner
• Monitor filing process, and disseminate information as needed to the appropriate departments
• Perform research and provide evaluations regarding new product filing requests
• Participate in research and project initiatives as directed
• Keeps current with market trends and demands
• Review and submit labels for Federal Compliance and State Registrations
• Review products for pre-import and set new items up in system
• Maintain current data regarding status of labels
• Prepare weekly, monthly and quarterly reporting
• Obtain relevant information from suppliers on new products
• Process monthly and quarterly reports
• Practice good punctuality and regular attendance
• Prepare and maintain state registration requirement binder

Skills on Resume:

• Document Drafting (Hard Skills)
• Regulatory Compliance (Hard Skills)
• Stakeholder Coordination (Soft Skills)
• Process Monitoring (Hard Skills)
• Research and Evaluation (Hard Skills)
• Data Management (Hard Skills)
• Report Preparation (Hard Skills)
• Product Setup (Hard Skills)

Job Summary:

• Track and monitor product testing process. 
• Provide communications between Quality, Testing Agencies, Vendors, and appropriate Division.
• Communicate Compliance Matters with Vendors. 
• Resolve or report vendor problems in a timely manner and evaluate and communicate test result accuracy.
• Establish and maintain Vendor testing and factory inspection history.
• Review product packaging to ensure it meets legal and regulatory requirements.
• Setup factory audits directly with labs or through online customer website. 
• Contribute to the creation of product standards, specifications, and testing protocols
• Lead problem solving and issue resolution on aspects of safety and product compliance for products categories owned.
• Prepare and distribute reports by collecting, analyzing, and summarizing data and trends.
• Contribute to new product development and provide guidance on product compliance and safety.
• Interpret regulatory guidelines
• Support the business with the implementation of those guidelines
• Research and document the legal and regulatory requirements applicable to the business
• Communicate requirements to the business and assist with development of processes to meet regulatory requirements as well as appropriate controls to verify compliance

Skills on Resume:

• Testing Monitoring (Hard Skills)
• Interdepartmental Communication (Soft Skills)
• Compliance Communication (Soft Skills)
• Data Maintenance (Hard Skills)
• Regulatory Review (Hard Skills)
• Audit Coordination (Hard Skills)
• Standards Development (Hard Skills)
• Data Reporting (Hard Skills)

Job Summary:

• Analyze and report to management on loan level quality issues including ability-to-repay, regulatory, and compliance adherence
• Ensure QC audit review qualities are within acceptable risk parameters
• Investigate responses and rebuttals to resolve significant/insignificant issues
• Must be able to enter review into proprietary software (Encompass Loan Origination System)
• Perform Pre & Post Fund audit reviews 
• Assist in designing, developing, and testing new systems
• Conduct research on potential selling guide and investor's underwriting policy changes
• Deliver findings and recommendations to management
• May participate as a team member on projects
• Must stay current on all agency, state, and federal guidelines
• Review rebuttals, discuss with Team Lead/Manager for response and make corrections to original audit once final.
• Review internal audit results, discuss with team lead/manager for response.

Skills on Resume:

• Quality Analysis (Hard Skills)
• Risk Assessment (Hard Skills)
• Issue Resolution (Hard Skills)
• Software Proficiency (Hard Skills)
• Audit Reviews (Hard Skills)
• System Development (Hard Skills)
• Regulatory Research (Hard Skills)
• Recommendation Delivery (Soft Skills)

Job Summary:

• Develop standard practices for food safety and quality across the organization
• Collaborate with Quality and Food Safety team members to promote improvement projects
• Develop key performance indicators with Quality and manufacturing teams
• Assist site Quality teams with raw material defects, customer complaints and machine efficiencies related to quality and food safety
• Utilize continuous improvement tools to implement and sustain processes
• Train team members as needed on new processes, procedures, best practices, etc.
• Manage document coordinator activities for corporate documents and support the sites for site-specific documentation needs
• Facilitate and prepare for group meetings such as senior leadership, quality group collaborations, cross functional communications and trainings
• Support the Corporate Compliance group as needed for audits and product specs
• Participate in all compliance/certification audits (quality, food safety, forestry, product inspections as well as internal, customer and 3rd party audits)
• Manage third party programs (RizePoint, UL, ReposiTrak, NSF online, etc.) to process customer and audit data for the sites
• Follow and maintain all food safety, GMP and HACCP guidelines

Skills on Resume:

• Safety Standards Development (Hard Skills)
• Team Collaboration (Soft Skills)
• KPI Development (Hard Skills)
• Continuous Improvement (Hard Skills)
• Process Training (Soft Skills)
• Document Management (Hard Skills)
• Audit Support (Hard Skills)
• Regulatory Compliance (Hard Skills)

Job Summary:

• Coordinate the annual review and revisions of the compliance manual and procedures
• Update the compliance calendar insuring all projects are completed on time
• Assist in the filing of the SEC documents including ADV and ADV, Part 2
• Coordinate and document the annual compliance review
• Assist and coordinate SEC compliance audits and client-related meetings regarding topics related to compliance
• Assist in preparing educational presentations for employees at Pathway
• Become knowledgeable in all laws and regulations regarding investment advisory compliance practices
• Conducting periodic reviews as part of the Annual Compliance Monitoring Plan.
• Advising the business on compliance matters including contributing to projects.
• Proving Financial Crime support to the MLRO
• Ensuring key compliance reports are submitted internally and to the regulator.
• Reviewing and approving Financial Promotions.
• Analysing any forthcoming regulatory developments and their potential impact in the business.

Skills on Resume:

• Compliance Coordination (Hard Skills)
• Regulatory Filing (Hard Skills)
• Audit Assistance (Hard Skills)
• Educational Development (Hard Skills)
• Regulatory Knowledge (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Report Management (Hard Skills)
• Regulatory Analysis (Hard Skills)

Job Summary:

• Provides coaching and mentoring to CAPA owners to ensure CAPAs are compliant with regulations and internal procedures 
• Manages multiple priorities either independently or as part of a team in order to meet key department deadlines and communicate issues and progress. 
• Participates in the identification and implementation of process improvements in the Global CAPA system. 
• Completes quality assessment of CAPA records to ensure compliance with procedures 
• Supports the department manager in preparing and presenting data for internal and external audits
• Researches and prepares correspondence in response to external government agencies. 
• Reviews corrective action plans for internal and external audit responses, ensuring the responses satisfy company and regulatory requirements. 
• Performs audits and assessments against company and regulatory requirements.
• Engage others, promote, and participate in Environmental, Health, and Safety initiatives, focusing on continuous improvement.

Skills on Resume:

• Coaching and Mentoring (Soft Skills)
• Priority Management (Soft Skills)
• Process Improvement (Hard Skills)
• Quality Assessment (Hard Skills)
• Data Presentation (Hard Skills)
• Regulatory Correspondence (Hard Skills)
• Audit Response Review (Hard Skills)
• Compliance Auditing (Hard Skills)

Job Summary:

• Collaborate and coordinate with other Business Departments to support knowledge of and compliance with state and federal requirements across all states and markets.
• Analyzes and keeps up to date on current regulations and ethical standards applicable to Company’s healthcare related services, and assigned business partner processes to help advise and evaluate risk
• Provides support to Business Departments in assessing, interpreting, and incorporating new and revised regulatory and contract requirements
• Identifies potential areas of compliance vulnerability and risks, advises business in developing corrective action plan or mitigation plan
• Coordinates internal auditing of compliance requirements based upon risk and supports Business Departments in addressing issues.
• Establishes working relationships and builds creditability with the Business Departments to support a culture of compliance based on the Compliance Plan
• Collaborate cross functionally between the Compliance functions across all markets and plans, other assurance functions, and business partner areas to foster a culture of compliance
• Proactively use analytic skills to identify potential areas for issue management and recommend / escalate risks
• Stay informed about the latest developments in the compliance/regulatory industry, including new products and services, through relevant subject matter resources, professional associations, industry conferences, training seminars, and other information sources
• Interpret compliance and regulatory requirements to ensure overall CareSource processes are operationalized and in compliance with all applicable regulatory, accreditation, and contractual requirements inclusive of FDRs and/or delegated entities.
• Coordinate activities with all levels of staff and delegate staff, through clear and concise verbal and written communication
• Negotiate and resolve complex and sensitive project and team issues with diplomacy and persuasiveness
• Collaborate with internal business owners to ensure implementation of the health plan’s business and contractual requirements

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Risk Management (Hard Skills)
• Compliance Auditing (Hard Skills)
• Cross-Functional Collaboration (Soft Skills)
• Effective Communication (Soft Skills)
• Analytical Skills (Hard Skills)
• Relationship Building (Soft Skills)
• Strategic Implementation (Hard Skills)

Job Summary:

• Ensures business activities and operations follow applicable policies, procedures and/or regulatory requirements
• Companywide Complaint Management
• Provides summaries of investigations
• Determines appropriate course of action based on investigation findings
• Maintains and establishes internal controls related to Reputational Risk, Liquidity Risk, Counterparty Risk, Operational Risk, and Credit Risk
• Knowledge of Mortgage Compliance (TRID, CRA, HMDA, BSA, AML, OFAC, Fair lending Mortgage servicing, etc.)
• Assist Compliance Auditing with Fraud Audits, Lender Self-reporting, and Legal demands
• Deploy at businesses level the Global Corporate Compliance program and Compliance policies rollout
• Act as single key contact for compliance 
• Ensure business processes fully compliance with all legislation in relation to data protection
• Work closely with Compliance Manager and senior managers across the business to identify potential areas of compliance vulnerability and develop/implement corrective action plans
• Ensure healthcare compliance with business processes, including assessment and validation
• Compliance awareness, by delivering compliance trainings & communication and materials preparation

Skills on Resume:

• Policy Adherence (Hard Skills)
• Complaint Management (Soft Skills)
• Risk Control (Hard Skills)
• Mortgage Compliance (Hard Skills)
• Fraud Auditing (Hard Skills)
• Program Deployment (Hard Skills)
• Data Protection (Hard Skills)
• Compliance Training (Soft Skills)

Job Summary:

• Work with affiliate OEC in each country to create annual monitoring plans based on Compliance Activity Review (CAR) risk assessment files.
• Analyze CAR details across affiliates/divisions/activities to identify trends and potential misalignments in risk assessment criteria applied in different affiliates.
• Support/execute quarterly monitoring in multiple affiliates, including identification of transactions available for monitoring
• Select samples according to appropriate criteria
• Communicate with affiliate Finance and business teams to obtain supporting documentation for selected samples
• Analyze documents and complete monitoring tests and templates
• Recommend monitoring findings and incidents of non-compliance and proposed remediation.
• Support/execute distributor monitoring program
• Working with country OEC, prepare reports and slides based on monitoring results for Affiliate Compliance Committees and other business presentations
• Report APAC monitoring results to global OEC monitoring team, including entry of Incidents of Non-Compliance into global OEC tracking system
• Manage updates of APAC BPCS Gold and SAP Power BI databases by obtaining monthly or quarterly data files from Finance and/or BTS contacts and loading into existing Power BI files
• Support affiliate OEC in use of Power BI databases to identify transactions and trends of interest for monitoring or other follow-up/investigation
• Import data from regional OEC event approval system (ACAS) into Power BI and perform analytics
• Monitor ACAS event and HCP records for anomalies and perform system maintenance and cleanup 

Skills on Resume:

• Risk Assessment (Hard Skills)
• Data Analysis (Hard Skills)
• Monitoring Execution (Hard Skills)
• Sample Selection (Hard Skills)
• Documentation Acquisition (Soft Skills)
• Findings Recommendation (Soft Skills)
• Report Preparation (Hard Skills)
• Database Management (Hard Skills)

Job Summary:

• Execute defined Sustainable Supply Chain standard operating processes and keep them up to date
• Support processing, analysing and communicating social & labour rights factory assessments
• Coordinating licensor (Disney, Hasbro) labour rights requirements
• Support in connecting with the global Sustainability team, Sourcing, Corporate Communication, Suppliers and other internal and external stakeholders
• Research on social & labour rights aspects for risk analysis and potential actions
• Support process set-up and continuous improvement
• Manage data updates, ensure data integrity on all relevant platforms
• Support sustainability measurement and data analysis (e.g., regular and ad-hoc reports, input for Global Sustainability report)
• Ensure compliance with contract provisions with various agencies and applicable State and Federal laws
• Serve as compliance resource for day-to-day processes
• Analyze and determine the best course of action for each inquiry/problem
• Act as primary contact for initiating and coordinating compliance projects
• Develop and update plan policies and procedures to ensure compliance with federal and state requirements
• Conduct periodic assessments and audits to ensure compliance with contractual and regulatory requirements and timeliness of submission
• Oversee the day-to-day health plan policies and procedures to ensure federal and state regulatory compliance

Skills on Resume:

• Process Execution (Hard Skills)
• Data Analysis (Hard Skills)
• Stakeholder Coordination (Soft Skills)
• Risk Research (Hard Skills)
• Data Management (Hard Skills)
• Compliance Oversight (Hard Skills)
• Project Coordination (Soft Skills)
• Policy Development (Hard Skills)

Job Summary:

• Coordinate compliance program events such as global trainings, monthly team meetings, and other working groups
• Supports implementation of compliance initiatives, including drafting internal communications and tracking participation in global trainings
• Provide technical and customer support for internal web-based tools, such as conflicts of interest application, gift tracker app, risk register, and iShare (intranet) resources.
• Compile, edit, design, and publish communications highlighting compliance activities and initiatives for internal audiences, such as compliance newsletter, blog posts, and case studies.
• Manage the Legal and Compliance iShare (intranet) webpages, by keeping content updated, identifying areas of improvement, and designing new webpages 
• Organize and maintain databases and records for legal and compliance team, including Policy center library, Registrations database, Local Counsel database, and Internal Communications tracker.
• Assist in the preparation of charts and reports that document compliance program initiatives and results, including communicating with Local Compliance Officers and country offices to document results of country initiatives
• Develop and share reports with internal stakeholders.
• Provide administrative support to Chief Legal and Compliance Officer and Compliance team including scheduling activities, invoice processing, etc
• Support coordination of business registration applications for Pathfinder country offices
• Facilitate procurement of local legal counsel for Pathfinder country offices.
• Leads, manages, or participates in cross-functional project teams. 

Skills on Resume:

• Event Coordination (Soft Skills)
• Technical Support (Hard Skills)
• Content Management (Hard Skills)
• Data Organization (Hard Skills)
• Report Development (Hard Skills)
• Internal Communications (Soft Skills)
• Administrative Support (Soft Skills)
• Project Leadership (Soft Skills)

Job Summary:

• Working with internal stakeholders to develop compliant and technically accurate marketing and communication materials for various audiences (such as members, employers, and the public at large).
• Working with representatives of the Fund to deliver compliant and appropriate advice, education, and support directly to members and businesses.
• Reviewing documentation and programs across the Membership & Brand Group to ensure compliance with relevant legislation.
• Analysing, assessing, and summarising the impact of new legislation and regulatory guidance, as well as supporting the impacted business units with implementing and embedding the required changes.
• Delivering targeted education and training to stakeholders, in both small and large forums.
• Provide ad hoc technical support and subject matter expertise on a range of matters and projects across the Fund.
• Communicate any unresolved file and physical inspection issues to the Asset Manager following each review. 
• Update Cinnaire’s internal database system, MRI, in a timely manner following each file review and physical inspection.
• Send file review and physical inspection reports to property management and general partners within prescribed timelines after reviews.
• Maintain business relationships with investors, developers, management companies and site personnel and any other related parties.
• Participate in continuous process improvement efforts.

Skills on Resume:

• Material Development (Hard Skills)
• Compliance Advising (Hard Skills)
• Documentation Review (Hard Skills)
• Legislative Analysis (Hard Skills)
• Educational Delivery (Soft Skills)
• Technical Support (Hard Skills)
• Database Management (Hard Skills)
• Relationship Maintenance (Soft Skills)

Job Summary:

• Deep understanding and evaluating business activities to assess compliance risk, and propose mitigates
• Deep understanding of applicable regulations and industry practices, and ensuring compliance
• Collaborate and address internal and external stakeholders’ concerns or questions on industry compliance
• Create sound internal controls and monitor adherence to them
• Lead and manage critical Compliance activities that are integral to the development, implementation and execution of Ecolab’s compliance program in line with Global Compliance Strategy
• Provide and assist with online and in-person compliance training on Ecolab Code of Conduct and key policies and procedures
• Conduct an ethics risk assessment, review the code or policies, establish systems or processes, launching communication campaigns, facilitating ethics workshops
• Lead investigations of Code matters reported.
• Work with TCC team to implement employee training and education programs and resources, including identifying audiences and testing elearning courses.
• Develop in-depth understanding of company’s learning management systems for launch of training programs and the OEC’s website for resource deployment.
• Solve problems related to learner access, assignments and other technical issues that arise.
• Build strong relationship with internal customers, fellow team members and other stakeholders.
• Act as a positive and professional resource for teammates and business partners.

Skills on Resume:

• Compliance Risk Assessment (Hard Skills)
• Regulatory Knowledge (Hard Skills)
• Stakeholder Collaboration (Soft Skills)
• Internal Controls Management (Hard Skills)
• Compliance Training (Hard Skills)
• Ethics Assessment (Hard Skills)
• Investigation Leadership (Soft Skills)
• Learning System Management (Hard Skills)

Job Summary:

• Support sales teams in the review, negotiating and revision of government procurement contracts (FARs, DFARs, EARs) and non-disclosure agreements.
• Responsible for developing, implementing and maintaining a contracts database for Samuel’s government contracting businesses 
• Coordinates the timely and accurate preparation and completion of regulatory and compliance documents.
• Support and respond to legal and compliance inquiries from the business units, including customer questionnaires and government/regulatory requests for information.
• Responsible for collecting, organizing and preparing, on a timely basis, regulatory filings relating to Samuel’s government and defense contracts, census questionnaires and other regulatory filings.
• Support sales teams in the completion and filing of compliance certifications and similar attestation documents.
• Maintain up-to-date knowledge on changes in applicable law and regulations for government and defense contractors and assist in providing updates to the business units.
• Assist in drafting compliance training materials, including Samuel’s Code of Conduct.
• Monitor intake of legal documents served upon the Company and its affiliates.
• Provide administrative support, including compilation of reports, regarding the Company’s Ethics Hotline.
• Acts as the local compliance specialist of the research center, develops compliance guidelines and objectives
• Leads the compliance work to support the development of the compliance system, providing guidance on compliance procedures, including supporting HR with GDPR
• Monitors the implementation of the strategic objectives of the research center, and tracks and measures key tasks and KPIs
• Monitors project quality and business layout.

Skills on Resume:

• Contract Negotiation (Hard Skills)
• Database Management (Hard Skills)
• Regulatory Documentation (Hard Skills)
• Legal Compliance (Hard Skills)
• Knowledge Updating (Hard Skills)
• Compliance Training Development (Hard Skills)
• Document Monitoring (Hard Skills)
• Administrative Support (Soft Skills)

Job Summary:

• Conducts project work as required by the Director of Global Compliance to complete team activities and achieve team objectives. 
• Support the Management Team in the assure of Company operations compliance with all applicable laws, regulations and standards, good business practices and company documented procedures
• Works with teams to develop field corrective action and recall plans. 
• Assists with execution and reconciliation of field corrective actions and recalls. 
• Assists with developing and preparing correspondence to external government agencies and external customers. 
• Works with the Global Compliance Manager to ensure Global Field Action program health by providing metrics and reporting. 
• Works with the Global Compliance Manager to identify and implement process improvements in the Global Field Action program.
• Works with the Global CAPA Manager to assist in the strategic oversight of CAPA programs at each Smiths Medical site, ensuring Global CAPA program health by providing metrics and reporting to Smiths Medical leaders and identifying and implementing process improvements in the Global CAPA system. 
• Supports functional teams to perform CAPA investigations, including use of industry recognized root cause analysis tools. 

Skills on Resume:

• Project Management (Hard Skills)
• Operational Compliance (Hard Skills)
• Action Plan Development (Hard Skills)
• Government Correspondence (Hard Skills)
• Metrics Reporting (Hard Skills)
• Process Improvement (Hard Skills)
• CAPA Management (Hard Skills)
• Investigative Support (Hard Skills)

Job Summary:

• Ensures Contracts & Purchasing system integrity and compliance.
• Develops contract flowdown requirements through purchase order addendums, or other similar documents, in collaboration with the Contract Administrators and their managers.
• Reviews new and/or revised government regulation and provides a summary of the requirements to ensure GA processes and procedure continue to be compliant, and make recommendations for any necessary process improvements.
• Supports the development and maintenance of the Contracts Standard Operating Procedures, including changes to Contracts documentation referenced within the procedures.
• Supports post award reviews of Contracts on a periodic basis, generates any required reports, and provides results to contracts management, contract administrators and other personnel.
• Collects and analyzes Contracts data to identify trends and recommend areas for process improvements.
• Ensures protection of the company’s contractual strategies, satisfaction of contract specifications and requirements, identification of risk factors, and adherence to company policy, state and local laws, and federal regulations.
• Supports external and internal audit requests, including researching, gathering, and analyzing the data that will be provided to auditors.
• Acts as the point of contact to escort and monitor activities of visiting (non-GA) auditors.
• Provides training to Contracts staff on Compliance related topics, and makes other presentations
• Works under pressure to meet tight schedules, manages priorities, and multitasks
• Maintains strict confidentiality of sensitive information.
• Utilizes MS Office Suite to include extensive use of excel to perform audit activities, SAP and other applications.

Skills on Resume:

• System Integrity Management (Hard Skills)
• Contract Development (Hard Skills)
• Regulatory Compliance (Hard Skills)
• Procedure Maintenance (Hard Skills)
• Data Analysis (Hard Skills)
• Audit Support (Hard Skills)
• Training Delivery (Soft Skills)
• Confidentiality Maintenance (Soft Skills)

Job Summary:

• Research and respond to internal and external compliance-related inquiries
• Draft and review compliance-related responses to RFPs and marketing materials
• Prepare documentation for due diligence meetings, compliance meetings and regulatory examinations
• Assist with the administration of the Code of Ethics and related processes
• Assist with annual compliance testing and surveillances, including the use of the Firm’s trade surveillance tool
• Process all new hire Electronic Boarding documents for all divisions field employees
• Contact previous employers to verify employment history and title of all field employees.
• Ensure that every field employee has completed all FAA, government and company required forms in their pre-employment paperwork package
• Ensure that every field employee has a complete background check and permanent bar check in compliance with FAA regulations
• Complete and fax response to all requests for employment verification and drug and alcohol verifications on current and former field employees
• Serve as a resource for education, training and problem-solving information for internal staff as well as clients and customers 
• Ensure the highest quality standards of compliance in all aspects of Federal aviation regulations in providing services

Skills on Resume:

• Compliance Research (Hard Skills)
• Document Preparation (Hard Skills)
• Ethics Administration (Hard Skills)
• Compliance Surveillance (Hard Skills)
• Onboarding Processing (Hard Skills)
• Employment Verification (Hard Skills)
• Educational Support (Soft Skills)
• Regulatory Compliance (Hard Skills)

Job Summary:

• Assist in maintaining Tenant, Vendor and Property compliance records. 
• Assist in distributing reports to respective teams and senior management
• Assist in reporting for Tenant and Vendor Certificate of Insurance. 
• Reach out to appropriate team members for follow up on non-compliance issues.
• Assist in approving exception approvals in Certificate of Insurance Compliance for both Tenant and Vendor, work with Compliance Manager or appropriate Revantage legal team members
• Act as liaison contact for internal and external property managers for day to day questions related to Tenant or Vendor document compliance
• Act as liaison contact for third-party Tenant Insurance certificate compliance and Vendor certificate compliance company
• Contact appropriate teams to reach out to Tenants or Vendors for necessary documents that are not consistently being provided
• Assist in maintaining current Tenant data for Docutrax. 
• Compile Tenant lists on a weekly basis for Docutrax for new Tenants, disposition Tenants and/or Move/Move Tenants.
• Assist in reporting and monitoring expiration dates and compliance for Tenant HVAC documentation compliance, Tenant Fire Life Safety, Stormwater Detention Permits and Tenant Financial compliance
• Monitor and track Tenant Business Licenses
• Assist in monitor Property Environmental issues, and contact appropriate party to determine follow up action, future action or closure
• Assist with disposition diligence team to provide documentation to prospective buyers
• Understand compliance data to ensure proper standards are being met
• Assist in monitoring and responding to emails shared email boxes
• Assist with special projects as needed by the Compliance Manager or Property Management group

Skills on Resume:

• Record Maintenance (Hard Skills)
• Report Distribution (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Liaison Coordination (Soft Skills)
• Document Compliance (Hard Skills)
• Data Compilation (Hard Skills)
• Issue Tracking (Hard Skills)
• Project Assistance (Soft Skills)

Job Summary:

• Research, review and analysis of state and federal laws that affect mortgage lending on a nationwide or a statewide basis.
• Communicate legal and regulatory changes through policies and training.
• Manage forms library including research and modification to mortgage documents 
• Prepare state and agency reports on a weekly, monthly, quarterly and annual basis
• Prepare state and agency examination responses including preparing documentation request packages and preparing data reports from various internal systems.
• Maintain Pulte Mortgage LLC lending licenses for the entity, branches and individuals.
• Maintain educational programs for new licenses and renewals.
• Research and respond to Consumer Complaints from borrowers and regulatory agencies.
• Review Trust Agreement documentation for verification of company and agency requirements.
• Handle special research projects as assigned by VP, Compliance or SVP, Compliance.
• Ability to serve as a back-up in other team members absence.
• Delegates work according to employee's abilities and skills.
• Provides input to employee's performance evaluations.
• Assists in the identification of internal and external training opportunities.
• Provides continuous coaching with regard to functional and leadership standards (technical skills and behaviors).

Skills on Resume:

• Legal Research (Hard Skills)
• Regulatory Communication (Soft Skills)
• Document Management (Hard Skills)
• Report Preparation (Hard Skills)
• License Maintenance (Hard Skills)
• Educational Program Management (Hard Skills)
• Complaint Handling (Soft Skills)
• Team Leadership (Soft Skills)

Job Summary:

• Develop compliance plans by conducting research on applicable regulatory requirements and translating them into engineering design guidelines for product development
• Create timetables and cost estimates using equipment and test laboratory resources in order to label user instruction and marketing collateral
• Coordinate internal pre-compliance testing and prepare laboratory test reports as well as other detailed application and technical documentation for regulatory submissions.
• Initialize and coordinate global PPE certification activities with regulatory agencies and third-party test laboratories.
• Procure and prepare test samples for third-party lab testing and certification.
• Develop a working knowledge of the requirements for global regulatory certification for Bullard products including international PPE performance standards and regulatory age
• Performs regular research on policies, government programs, laws and regulations to ensure Company maintains up to date compliance.
• Assists the Senior Director of Internal Audit and Compliance with the creation of Company policies and procedures relating to internal audit and compliance.
• Demonstrate a solid working knowledge of Company’s policies and procedures and how they compare to industry standards.
• Supports Compliance department in routine audits and documentation of findings.

Skills on Resume:

• Regulatory Research (Hard Skills)
• Project Coordination (Soft Skills)
• Documentation Preparation (Hard Skills)
• Certification Management (Hard Skills)
• Sample Procurement (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Policy Development (Hard Skills)
• Audit Support (Hard Skills)

Job Summary:

• Implement, review and update compliance process & policies for the APAC
• Implementing and managing risk and compliance monitoring program in line with local and international standards
• Responsible for internal compliance policy review, including ongoing assessments, assisting with compliance review of operational teams, internal audit reviews and ongoing or ad hoc reviews
• Produce accurate and timely audit reports for both regular scheduled audits and ad hoc audits
• Communicate findings of the audits in a concise and comprehensive manner to non-lawyers in order to enable understanding of risks.
• Provide regulatory advice on case by case basis to client relationship teams
• Ensure relevant business documents are maintained, updated in line with regulatory changes
• Responsible for assisting in updating the regulatory risk & maintaining an issues log in order to review issues and work with the management team to recommend routes for improvement.
• Work closely with the senior management and business / functional stakeholders to ensure compliance and regulatory risks are effectively identified, assessed and managed
• Assist the Senior Legal & Compliance Counsel in the day to day activities
• Oversight of the Funds UCITS and Prospectus Limits, dealing efficiently with the Depositary, the Investment Managers and the system provider
• Dealing efficiently with the Investment Managers, the Administrators, and the Depositary Banks, in relation to Fund Limits investigation breaches, and directing the application of policies and verifying the appropriate execution of the target operating model
• Assisting the Compliance Team in the execution of the Annual Compliance Plan
• Providing support to the CCO and in certain circumstances advise and guide staff in relation to compliance matters
• Assist in the review of upstream regulatory changes and analysis of impact on the businesses

Skills on Resume:

• Compliance Implementation (Hard Skills)
• Risk Management (Hard Skills)
• Audit Reporting (Hard Skills)
• Regulatory Communication (Soft Skills)
• Regulatory Advice (Hard Skills)
• Document Management (Hard Skills)
• Stakeholder Engagement (Soft Skills)
• Compliance Support (Soft Skills)

Job Summary:

• Responsibility for management and ongoing evolution of Vemo’s Compliance Management Program 
• Oversee and execute compliance risk management activities in accordance with compliance standards, processes, and policies.
• Assist in assessing the business’s ventures to identify and mitigate possible compliance risks.
• Assisting with the development, maintenance, and documentation of policies, procedures, process workflows and standard operating procedures to achieve efficiency, quality output and to comply with ever-evolving industry regulations.
• Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control.
• Evaluate the efficiency of controls and improve them continuously.
• Coordinate and respond to regulatory requests as needed and ensure the execution 
• Provide one-on-one education and group trainings on compliance regulations, policies, procedures, and industry best practices relating to compliance.
• Prepare reports for senior management and external regulatory bodies 

Skills on Resume:

• Compliance Risk Management (Hard Skills)
• Regulatory Expertise (Hard Skills)
• Policy Development (Hard Skills)
• Process Optimization (Hard Skills)
• Risk Assessment (Hard Skills)
• Regulatory Reporting (Hard Skills)
• Compliance Training (Soft Skills)
• Analytical Communication (Soft Skills)

Job Summary:

• Conduct compliance review of all the securities and advisory transactions conducted by financial advisors.
• Maintain required compliance documentation and records.
• Be a resource for advisors to provide compliance advice/guidance and resolve issues regarding BD securities accounts.
• Develop, coordinate or contribute to advisor training sessions regarding compliance, procedures, best practices, or industry topics.
• Create, initiate, maintain, and revise policies and procedures for the general operation of the Compliance Program.
• Coordinate and review advisor annual compliance disclosures and certifications.
• Provide reports on a regular basis.
• Identify potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues.
• Develop processes and assemble resources necessary to continuously identify and remain current with all compliance requirements of the organization.
• Conduct periodic branch office reviews.

Skills on Resume:

• Securities Review (Hard Skills)
• Record Maintenance (Hard Skills)
• Advisor Support (Soft Skills)
• Training Development (Soft Skills)
• Policy Revision (Hard Skills)
• Disclosure Management (Hard Skills)
• Report Preparation (Hard Skills)
• Risk Mitigation (Hard Skills)

Job Summary:

• Draft responses to e-mails which support the spirit of the Policies, the Company’s values, the legal environment and a consistent approach.
• Answer incoming phone calls from Consultants and Preferred Customers regarding compliance issues
• Educate Consultants and Preferred Customers 
• Maintain written and voice records.
• Conduct investigations of compliance issues and grievance reports in consultation with the Compliance Manager and/or the General Counsel, as appropriate.
• Thoroughly research each aspect of any grievance, ensuring information is accurate and relevant.
• Respond to compliance issues and escalate as appropriate to Compliance Manager or General Counsel.
• Store and track compliance issues for reporting purposes.
• Conduct monthly audit on Consultant spending and assist in the implementation and improvement of approved and appropriate processes and responses.
• Support the Japanese Compliance team 
• Monitor the internet for products on auction sites and non-compliant social networking profiles.
• Assist Compliance Manager and General Counsel with drafting and/or editing and implementation of policies, procedures, training and periodic communications related to Consultant compliance issues.

Skills on Resume:

• Email Drafting (Soft Skills)
• Call Handling (Soft Skills)
• Compliance Education (Soft Skills)
• Record Maintenance (Hard Skills)
• Issue Investigation (Hard Skills)
• Grievance Research (Hard Skills)
• Audit Assistance (Hard Skills)
• Policy Support (Hard Skills)

Job Summary:

• Manage the compliance programs for various frameworks and leading interactions with external auditors
• Performing IT and operational testing to evaluate control effectiveness
• Conducting readiness assessments against NIST CSF/GDPR, and collaborating with cross-functional teams to implement controls, policies, and procedures 
• Collaborating with cross-functional teams to monitor and remediate control deficiencies against established deliverables and timelines
• Create detailed documentation to track the company’s compliance current and desired posture
• Build credibility with various stakeholders, through prompt responsiveness, collaborative and innovative thinking
• Evaluating and communicating control results, best practices, and risks to stakeholders
• Assisting with delivering information security, privacy, and risk training to applicable teams
• Assisting with reviewing customer sales agreements pertaining to Hootsuite’s security and privacy practices, and responding to customer and vendor questionnaires
• Monitoring compliance with current and emerging laws, regulations, and standard

Skills on Resume:

• Compliance Project Management (Hard Skills)
• Control Testing (Hard Skills)
• Readiness Assessment (Hard Skills)
• Deficiency Remediation (Hard Skills)
• Compliance Documentation (Hard Skills)
• Stakeholder Collaboration (Soft Skills)
• Risk Communication (Soft Skills)
• Security & Privacy Training (Soft Skills)

Job Summary:

• Independently perform Quality Assurance walkthroughs of classified manufacturing areas to observe and evaluate production activities, aseptic processes, and the proper execution of Batch Production steps.
• Identify any deficiencies and provide proper notification to area management.
• Prepare Quality Assurance walkthrough summary reports detailing the walkthrough findings and identify any follow-up items that require escalation to Area Management.
• Perform trending of all environmental monitoring and process utility data.
• Review the trends and escalate any issues to Senior Management.
• Calculate Contamination Recovery Rates (CRRs) for all Graded Manufacturing areas and personnel and recommend CAPAs for continual improvement.
• Prepare and present quarterly environmental and process utility trend report.
• Participate in the Environmental Action Committee (EAC) and routine EAC meetings.
• Review environmental monitoring and process utility data and trend reports, CAPA remediation for effectiveness, project plans, walkthrough findings, and other issues related to environmental control systems.
• Escalate critical issues and adverse trends to Senior Management and recommend CAPAs.
• Lead the Aseptic Process Simulation (Media Fill) observation program. 
• Ensure the program continues to comply with corporate and regulatory requirements.
• Maintain and manage a team for media fill observations. 
• Lead the Alarm Reconciliation Program ensuring all facility Critical alarms generated are accounted for and proper root cause, corrective action, and event assessment are complete and accurate.

Skills on Resume:

• QA Walkthroughs (Hard Skills)
• Deficiency Reporting (Hard Skills)
• Report Writing (Hard Skills)
• Data Trending (Hard Skills)
• CRR Calculation (Hard Skills)
• CAPA Planning (Hard Skills)
• Environmental Review (Hard Skills)
• Process Simulation (Soft Skills)