To review, analyze and ensure that the company is operating within the standards of local, state and federal laws and regulations, as well as within the standards of company policies and procedures. In addition, the Compliance Business Specialist must operate and maintain internal databases and tracking systems and assist the Compliance department and related business units with research, data collection, investigations, document review and preparation, file maintenance and day-to-day clerical and administrative duties.
Essential Duties and Responsibilities:
- Assist the VP of Compliance in the development, implementation and administration of the Corporate Compliance Program.
- Plan, organize, and respond to third party vendors questionnaires submitted to the business;
- Monitor routine ethics and compliance activities including interfacing with team members within different business areas;
- Assist in the drafting and review of internal Policies and Procedures;
- Conducts or directs comprehensive ethics and compliance investigations;
- Monitors for compliance with industry practices, especially rules governing record retention and applicable licenses and follow up on exceptions when required.
· Work on or support other compliance initiatives, as needed
· Maintains quality service by establishing and enforcing organization standards.
- Maintains professional and technical knowledge by attending educational workshops; reviewing professional publications; establishing personal networks; benchmarking state-of-the-art practices; participating in professional societies.
- Contributes to team effort by accomplishing related results as needed.
· Performs other related duties as required.
Other Duties & Responsibilities:
· Perform clerical and administrative duties including: preparation of correspondence, file organization and maintenance, data entry, copy, index and summarize documents, maintenance and completion of ProVest forms,schedule conference calls and meetings, document transmittal, and prioritize and mange day-to-day projects as required.
Minimum Qualifications (Education, Experience, Skills):
- Bachelor’s degree from an accredited university;
- Two (2) or more years of related compliance/ethics investigative experience;
- Compliance Certifications or similar related certifications preferred from accredited institution; (CAMS, CFE, CCEP, CRCM)
- Excellent written and oral communication skills, time management, reporting and interpersonal and problem solving skills;
- High degree of discretion when handling sensitive information.
- Proficiency in the use of computers; e-mail, phones, copiers, fax machines, and software including knowledge of investigation and/or related case management system; and may be required to take courses at various points in their career to ensure they are aware of the most current business operation, compliance and legal matters and how to adhere to them .