WHAT DOES A COMPLIANCE COORDINATOR DO?

Published: September 23, 2024 - The Compliance Coordinator ensures strict adherence to import and export compliance and trade procedures across various divisions. This role involves coordinating division-wide export control activities and synchronizing terms and conditions to enhance trade regulation processes and contract designs. Additionally, the Compliance Coordinator supports global production and sales companies with product classifications, legal, insurance, and tax-related issues, ensuring seamless operations and adherence to international standards.

A Review of Professional Skills and Functions for Compliance Coordinator

1. Compliance Coordinator Duties

  • Permit Coordination: Responsible for managing business licenses and health permits, as well as communicating with all locations and assisting in obtaining/renewing required permits/licenses.
  • Permit Acquisition: Assist with obtaining all necessary business licenses and permits for new locations.
  • Proposal Support: Assist the Proposal Development Team with licensing and permitting issues.
  • RFP Compliance: Obtain issuance of all necessary licenses and permits required for RFPs.
  • Regulatory Communication: Communicate with regulatory government agencies to determine the correct licenses and permits required for each jurisdiction.
  • Regulatory Research: Research, review, and distribute information regarding regulatory changes to local and state license and permit registrations.
  • Financial Reporting Assistance: Assist with preparation of gross receipts information for business licenses and permits.
  • Database Management: Assist with maintenance of business licenses and permits and related electronic databases.
  • Database Administration: Manage the database of business licenses and permits.
  • Administrative Support: Assist in other departmental administrative tasks as needed for matters related to business licenses and permits.
  • Audit Support: Assist accounting manager with the organization of sales tax audit requests.

2. Compliance Coordinator Details

  • Form Accuracy Assurance: Ensures that all 4473 forms are correct and complete in accordance with all local, state, and federal laws.
  • File Management: Ensures that all stores have the proper files in place for denied 4473 forms that include the previous month’s 4473 forms.
  • Electronic Record Matching: Ensures that all stores' electronic bound book matches the 4473 forms on file in each respective store.
  • Multi-Sale Form Management: Ensures that all multi-sale forms have been completed and then sent to the appropriate law enforcement agencies.
  • Inventory Compliance: Ensures that all stores are accurately completing required Firearms Inventory.
  • Error Resolution: Ensure that all error correction sheets have been acted upon and all forms are properly archived.
  • Regulatory Compliance: Responsible for ensuring staff is in compliance with local, state, and federal guidelines, rules, and regulations.
  • Staff Training: Conduct one-on-one training and counseling sessions with staff members.
  • Risk Assessment: Identifying and assessing areas of significant compliance risk.
  • Compliance Management: Managing and reporting compliance breaches and exposures.
  • Compliance Training: Training employees on industry compliance requirements.
  • Compliance Communication: Maintaining communication with the compliance supervisor and following up.
  • Regulation Monitoring: Keeping up with compliance requirements and regulations.

3. Compliance Coordinator Responsibilities

  • Administrative Support: Perform a broad range of administrative duties to support the Compliance Officer and the Compliance team, demonstrating initiative and sound judgment in handling confidential information.
  • Discretionary Tasks: Exercise independent judgment and discretion in tasks and responsibilities, including but not limited to scheduling appointments, receiving and screening visitors and telephone calls.
  • Goal-Oriented Planning: Rely on experience and judgment to plan and accomplish goals.
  • Office Management: Responsible for departmental office administration, including word processing and other computerized applications, record management, and general overall office management.
  • Meeting Coordination: Coordinate and schedule meetings.
  • Meeting Preparation: Prepare sign-in sheets, agendas, reserve meeting rooms, meeting minutes (as needed), handouts, meeting records/documentation, and conference room setup/cleanup.
  • Inventory Management: Maintain department inventory including placing office supply orders.
  • Order Accuracy: Ensure orders are complete and accurate, including verifying materials received and reconciling discrepancies.
  • Schedule Management: Maintain appointment schedule, distribute all directed correspondence, and establish priorities with the Compliance Officer on a daily basis.
  • Calendar Management: Manage calendar, scheduling, meetings, and appointments for the Compliance Officer and management team.
  • Form Handling: Document and submit all forms, including business card forms, cell phone request forms, hardware software request forms, and name tag forms.

4. Compliance Coordinator Job Summary

  • Review Coordination: Coordinate Introductory and Annual Employee Review Process for the Director, management team, and Team Members.
  • Onboarding Management: Responsible for the Team Member on-boarding process including ensuring necessary system access is obtained.
  • Orientation Planning: Create new Team Member binders, and coordinate any orientation activities as necessary, including the assignment and tracking of training programs.
  • Travel Arrangements: Prepare and coordinate travel arrangements including travel requests, itineraries, expenditures, and reimbursement requests.
  • Travel Support: Ensure that the Compliance Officer and management team are fully supported and prepared for travel.
  • Liaison Duties: Act as department liaison to Facilities, Mailroom, and Helpdesk to coordinate and assist with support requests.
  • Attendance Tracking: Maintain department attendance calendar and report attendance information as a daily operation.
  • Subscription Management: Maintain Department subscriptions to newsletters and bulletins, association memberships, and healthcare certifications.
  • Inquiry Response: Responsible for ensuring that there is a response to Compliance Department distribution group inquiries in a timely manner.
  • Discretionary Relations: Exercise considerable discretion and finesse in dealing with contacts to effectively carry out internal and external relationships.

5. Utilities Compliance Coordinator Accountabilities

  • Equipment Inspection: Perform required annual equipment inspections as indicated by IIAR and create corrective work orders for deficiencies.
  • Contractor Supervision: Work with contractors on equipment inspections and repairs to ensure they meet PSM/RMP requirements and gather updated Process Safety Information.
  • Safety Audits: Audit contractors to ensure they are meeting Bolthouse Safety requirements.
  • Safety Equipment Calibration: Perform inspections and calibrations on ammonia safety equipment including e-stops, ventilation, ammonia monitors, etc.
  • PSI Collection: Gather Process Safety Information (PSI) which includes equipment nameplate information, equipment model and serial numbers, equipment motor information, and relief valve nameplate data.
  • SOP Verification: Ensure Standard Operating Procedures (SOPs) and P&IDs are accurate by performing field verifications.
  • Labeling Compliance: Ensure equipment is properly labeled to meet IIAR standards by performing visual inspections.
  • PSM Training Support: Participate and assist with PSM Training on new Mechanical Integrity and Operating Procedures.
  • MOC Development: Participate in the development of gathering MOC documentation, Employee Training, SOP Development and verifications, Mechanical Integrity Program development and implementation.
  • Compliance Documentation: Assist with documentation of all Refrigeration Department Compliance Audit, PHA, and Mechanical Integrity recommendations.

6. Regulatory Compliance Coordinator Functions

  • IRB Submission Coordination: Coordinates and/or prepares materials for timely submission to the IRB for the research office.
  • Document Retrieval: Retrieves protocol documents from each research base, either electronic or paper.
  • Protocol Review: Reviews new protocol submissions and makes necessary modifications required by the local IRBs.
  • Form Completion: Accurately completes required IRB forms prior to IRB submission, summarizes protocol revisions.
  • Signature Collection: Requests required PI signatures.
  • Document Submission: Submits documents to IRB Administrators.
  • Stakeholder Coordination: Communicates and coordinates with research bases and pharmaceutical companies to ensure proper materials are submitted and filed.
  • File Organization: Organizes and maintains protocol files, including central office, physician offices, radiation oncology, pharmacy, and DMH oncology department, and disseminates protocol documents to appropriate staff in a timely manner.
  • Record Keeping: Keeps accurate records of protocol activities and IRB submissions.
  • Database Management: Enters protocol information into the research database.
  • Protocol Tracking: Tracks protocols to ensure timely submissions for annual reviews.
  • Annual Review Preparation: Gathers information needed to complete annual review.
  • Review Process Facilitation: Forwards necessary information/completed forms to appropriate staff for review and finalization of annual reviews.

7. Retail Compliance Coordinator Job Description

  • BTQ Visit Planning: Plan BTQ visits (physical and virtual) and evaluate the level of standards to ensure that processes and procedures are compliant and standardized.
  • Documentation Management: Create & update documentation, processes, and procedures for the boutiques.
  • Retail Compliance: Ensure all retail operations policies and procedures are up to date with compliance standards.
  • Training Development: Develop and deliver training to boutiques.
  • Compliance Reporting: Deliver monthly compliance scorecards and compliance assessments, coordinate and track action plans with RBM's/BM's.
  • Practice Standardization: Simplify and standardize practices across the boutique network.
  • Best Practice Escalation: Escalate to TQM best practices & opportunities for improvement of current practices to evolve current standards & routines.
  • Digital Compliance Tools: Evolve current inspections and compliance check towards digital solutions (paperless approach).
  • Security Adherence Driving: Drive adherence across the network to security in retail guidelines.
  • BCP Leadership: Drive adherence to BCP process across the network. Lead post-mortem of major BCP events to identify and drive initiatives to prevent and reduce operational impact on reoccurring disruptive events.
  • Legal Compliance Assessment: Assess adherence to law 101 for all boutique processes/routines of Quebec province.
  • Audit Collaboration: Collaborate with Internal Control for boutique on-going audits.
  • Audit Follow-Up: Follow-up with RBM's/BM's on Internal Control recommendations after all audits / monthly check-ups and follow-ups with all boutiques for action steps and key risk items.

8. Trade Compliance Coordinator Overview

  • Trade Compliance Enforcement: Enforce import and export compliance and trade procedures.
  • Export Control Coordination: Coordinate and synchronize division-wide export control activities with local managers and the business area.
  • Classification Advisory: Advise and support global production and sales companies on product classification and execution.
  • Product Classification: Perform product classifications and investigate the use of components of all product divisions in cooperation with local product owners.
  • Trade Process Review: Division-wide process reviews and improvements of trade regulations as well as contract design.
  • Terms Harmonization: Division-wide synchronization and harmonization of terms and conditions.
  • Contract Review: Review contract proposals and general terms and conditions and make recommendations to client teams.
  • Legal Support: Support sales and project management on legal and insurance issues as well as contract terms and conditions.
  • Tax Coordination: Coordinate tax issues with external support.

9. Compliance Coordinator Details and Accountabilities

  • Capacity Monitoring: Support the Sourcing and Ethical trade teams by monitoring and mapping supplier production capacity.
  • Supplier Collaboration: Work with all UK based suppliers in audit remediation, support the workers in training and education, rights awareness, and general well-being.
  • Welfare Follow-Up: Document and follow-up on any individual worker welfare query and work with NGOs and Community associations.
  • Efficiency Maintenance: Work with the Sourcing team in maintaining supplier production efficiencies index.
  • Compliance Coordination: Support Leicester compliance teams in scheduling internal audits and capacity building/remediation training sessions.
  • Remediation Engagement: Engage with Leicester suppliers in reviewing their corrective action plans and remediation.
  • Audit Implementation: Engage with suppliers to implement Fast Forward UK audit methodology and approach.
  • Risk Reporting: Work with Head office coordinators and compliance admin to deliver regular audit/risk reports, dashboards, and scorecards.
  • Administrative Support: Administration support to Leicester-based Ethical trade team.
  • Record Maintenance: Keep supply chain records up to date.

10. Compliance Coordinator Tasks

  • Technical Support: Support the Technical Manager and Technical team in their role as a point of contact for the 3rd party technical file providers for all queries and concerns with the system, files, or suppliers.
  • Data Collation: Collate management information for stakeholders that support the delivery of departmental KPIs.
  • Compliance Assistance: Support internal and external parties with the completion of the compliance data and identifies where this is not being met and, as appropriate, escalates to the Technical Compliance Manager.
  • Operational Training: Provide operational training to product Technologists and wider business functions involved in product compliance activities.
  • System Liaison: Key point of contact for other departments having system data interfaces with Technical & Ethical Department.
  • Administrative Support: Provide operational support in conducting, both critical and general administrative tasks/processes to ensure systems are fully operational and delivery of tasks on time.
  • Technical Service Support: Effectively support the Technical Compliance Lead, delivering great service to the team and key stakeholders.
  • Regulatory Research: Responsible for researching individual state requirements for authorization of Fielding’s programs and for ensuring that compliance issues and concerns are being appropriately evaluated, investigated, and resolved.
  • Policy Development: Work with University leaders to write policies and procedures to ensure alignment with applicable federal and state regulations.
  • Regulatory Monitoring: Keep apprised of all laws, regulations, statutes, rules, and policies affecting Fielding for each program within the university’s course catalogue.

11. Compliance Coordinator Roles

  • Audit Execution: Conduct internal audits to review coded and abstracted data for accuracy and quality in order to ensure coding compliance for the KPN.
  • Audit Reporting: Prepare written reports of audit findings and recommendations to minimize risk.
  • Targeted Auditing: Performs general and targeted audits.
  • Claim Analysis: Identifies rejected claims due to coding and billing errors.
  • Compliance Planning: Assists in the development of Coding Compliance Action Plans in response to audit findings and makes recommendations.
  • Compliance Training: Provides compliance education and training.
  • Integrity Planning: Assists in the development of the Corporate Integrity Annual Work Plan.
  • Collaborative Improvement: Collaborates with appropriate colleagues and KPN leaders in the development of improved capabilities in the areas of documentation, coding, and compliance.
  • Coding Consultation: Responds to questions regarding documentation and coding issues.
  • Claims Participation: Participates in the claims review processes.
  • Contract Review: Assists in the review of contracts for compliance issues.
  • Regulatory Knowledge: Maintain in-depth understanding of federal and state laws and regulations pertaining to billing and coding compliance within KPN.

12. Compliance Coordinator Additional Details

  • Problem Resolution: Resolve problems that require the use of basic scientific, mathematical, or technical principles.
  • Effective Communication: Communicate effectively both orally and in writing.
  • Decision Making: Make decisions in the absence of formal guidance or guidelines, and/or interpret guidelines for proper application.
  • Customer Contact: Contact customers to collect missing trip record documents.
  • Tax Education: Contact customers and conduct fuel tax education.
  • Report Analysis: Research and analyze reports to identify customers with missing documents.
  • Report Creation: Create Customer and BU reports (excel spreadsheets) and handle special requests for customers.
  • Compliance Training: Develop and provide team member training on compliance policies, practices, and reporting systems for site requirements.
  • Audit Communication: Ensure complete, accurate, and timely audit information is communicated to Management.
  • Document Management: Manage the completion of client documents along with having up-to-date safety programs.
  • Report Distribution: Disperse weekly/monthly/quarterly reports to applicable members along with GC trends for the month.
  • Safety Presentations: Prepare safety meeting presentations.

13. Compliance Coordinator Essential Functions

  • Risk Assessment: Identifying and assessing areas of significant business risk.
  • Compliance Management: Managing and reporting compliance breaches and exposures.
  • Audit Policy Development: Developing, implementing, and maintaining internal audit policies and procedures in accordance with local and international best practice.
  • Product Compliance Review: Reviewing all new products, systems, or processes to ensure compliance.
  • Risk Investigations: Conducting ad hoc investigations into identified or reported risks.
  • Compliance Support: Supporting various departments by collecting and coordinating internal compliance data with auditors and various departments.
  • Audit Reporting: Ensuring complete, accurate, and timely audit information is reported to Management and/or Risk Committees.
  • Safety Collaboration: Collaborate with safety coordinators in gathering trends and data for meetings and STPs.
  • Platform Development: Develop and maintain a Risk Management/Claims Department Platform.
  • Project Management: Complete all ad-hoc projects as assigned by tracking APs and timeline in order to meet deadlines and the needs of the department.

14. Compliance Coordinator Role Purpose

  • Complaint Reception: Act as the initial point of contact for receiving and processing complaint notifications.
  • Complaint Classification: Evaluate and assign initial classification of event or complaint.
  • Stakeholder Correspondence: Correspond with personnel and contractors as required to request or obtain additional information related to complaint reports.
  • Sample Processing: Process receipt of complaint samples.
  • Sample Evaluation: Examine and evaluate complaint and retain samples for defects.
  • Evidence Documentation: Obtain photographic evidence, record sample data, enter observations and evidence into LIMS.
  • Sample Destruction: Process complaint samples for destruction.
  • Sample Testing Assistance: Assist with delivery of complaint samples to QC for testing.
  • Documentation Management: Retrieve, copy/scan, and maintain batch documentation used to support complaint investigations.
  • Administrative Support: Perform general administration activities in support of the complaint team.

15. Compliance Coordinator General Responsibilities

  • Compliance Support: Assist in compliance operation activities and data analysis as part of the North American Social, Healthcare, and Public Entities (SHaPE) practice.
  • Project Tracking: Responsible for helping keep large projects on track in partnership with the SHaPE compliance manager, including helping monitor progress charts, develop materials for leadership presentations, and flag risks or delays as they arise.
  • Compliance Monitoring: Monitor multiple teams’ compliance processes to ensure completion and submission of Government reports, government payments, and procurement registrations.
  • Policy Implementation Support: Assist the SHaPE compliance manager in increasing policy adherence across the practice by helping develop employee training awareness campaigns and monitoring their rollout efforts.
  • Training Liaison: Acting as the central point of contact for any questions that arise from the trainings.
  • Data Management: Maintaining updated distribution lists and the repository of training data.
  • Communication Drafting: Drafting the communications to be sent out to various individuals across tenures.
  • Data Synthesis: Synthesize large volumes of data into leadership-ready reports and other business needs.
  • Sector Compliance Understanding: Develop an in-depth understanding of compliance activities related to the public and health sectors to effectively monitor and complete compliance obligations to clients and the firm.
Relevant Information
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