Chief compliance officer vs senior compliance specialist

Differences between chief compliance officer and senior compliance specialist duties and responsibilities

Chief compliance officer example responsibilities.

• Achieve desired results of no material audits or investigations thereafter by CMS or OIG.
• Respond to all regulatory inquiries and manage FINRA routine and trading examinations.
• Manage successful litigation, arbitration and mediation proceedings, including commercial disputes, product liability, employment and intellectual property.
• Work closely with industry-leading securities attorneys in matters of pending litigation, consumer complaints, and regulatory investigations.
• Develop, maintain and enforce policies and procedures relate to anti-money laundering, ethics training, and business continuity.
• Draft complete sets of HIPAA privacy and security policies and regularly advise clients on state and federal privacy issues.
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Senior compliance specialist example responsibilities.

• Assure appropriate licenses are achieve or payments are stop or not allow for any transaction with a possible OFAC issue.
• Participate in OCC exam preparation and review including research and presentation of documentation to achieve compliance with federal examiner requests.
• Ensure employee compliance with the healthcare compliance and business ethics policies and guidelines.
• Arrange HIPAA training for all levels of management, associates and sales staff working with training staff
• Provide leadership, guidance, support, mentoring, and training for junior level ethics specialist and employee relations specialists.
• Analyze and review CAPA records ensuring accurate representation of the depth of investigation conduct.
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