Compliance auditor vs chief compliance officer

Differences between compliance auditor and chief compliance officer duties and responsibilities

Compliance auditor example responsibilities.

• Work with department analyst to create measurement tools and methods for communicating results and managing QA analysis in compiling/reporting results.
• Identify any issues that do not conform to CFR, ICH guidelines and corporate expectations.
• Research HIPAA information from CMS website in order to determine correct revisions for policies and procedures and develop company-wide communications.
• Coordinate team meetings, maintain calendars, support team with PowerPoint presentations.
• Prepare and perform in-house presentations (both in person and using JoinMe) using PowerPoint.
• Evaluate the level of compliance with company policy, GAAP, contract requirements and applicable rules and regulations.
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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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