Bank compliance officer vs regulatory compliance specialist

Differences between bank compliance officer and regulatory compliance specialist duties and responsibilities

Bank compliance officer example responsibilities.

• Participate in OCC exam preparation and review including research and presentation of documentation to achieve compliance with federal examiner requests.
• Prepare highly detail and concise written documentation to support reasons why no SAR are deemed necessary.
• Assist in creating, updating and reviewing compliance policies, procedures and guidance/tools relate to BSA/AML including KYC and OFAC.
• Implement rule-based SAR parameters for the detection of possible suspicious activity in wire transmission.
• Identify all transactions in OTC equity securities and ascertain that every recommendation to customers meet suitability standards via exclusion or exemption.
• Conduct personal injury, vehicle accidents, and worker's compensation investigations in anticipation of litigation.

Regulatory compliance specialist example responsibilities.

• Manage an ongoing closure at a former phosphate plant with an emphasis on phosphogypsum stacks and NPDES storm water permits.
• Manage RCRA permit hazardous waste storage facility.
• Provide EHS regulatory compliance services to several federal government clients and manage hazardous waste documentation databases.
• Manage and submit regulatory permit and notification applications to USDA to import, move and release regulate plant materials.
• Support FDA, ISO, and internal audits as needed.
• Follow ISO procedures and GMP requirements pertaining to medical devices.
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