Compliance analyst vs chief compliance officer

Differences between compliance analyst and chief compliance officer duties and responsibilities

Compliance analyst example responsibilities.

• Manage FHA, FHLMC, FNMA, VA and GNMA files.
• Manage monthly allocation process & governance to non-Germany regions, balancing regions & projects.
• Serve as TeamRoom/SharePoint administrator, including managing the SharePoint migration project.
• Lead annual Medicare data validation exams; distribute regulations, hold informational meetings, perform quality assurance checks of data.
• Participate in OCC exam preparation and review including research and presentation of documentation to achieve compliance with federal examiner requests.
• Conduct Sarbanes-Oxley on big data audits, analyze statistical trends and control audits for fee governance efforts.
Show more

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.
Show more