What Does A Compliance Director Do At The Compliance Search Group, LLC
* Mutual Fund Administration Participate in the preparation and production of the materials for the firm's shareholder reports and other periodic regulatory filings (Annual, Semi* Annual, N* Q, N-SAR, N-CSR, N-MFP, N-PORT, N-CEN), including any future filing requirements.* This will involve hands-on work in preparing and updating drafts of the filings, including evaluating, responding to and incorporating, as appropriate, comments from internal and external parties (i.e., auditors, outside counsel, etc.) and preparing the filings for submission.* Advertising and Forms Review Review, monitoring and auditing of content posted to website, including advertising, tax and retirement materials Review of templated shareholder correspondence and forms Review of retail materials to ensure compliance with FINRA requirements and filing of materials with FINRA via the CRD system Code of Ethics Administration Oversee the maintenance/operation of the Protegent PTA system and any system upgrades Oversee the quarterly audit process Serve as a review officer Subadviser Monitoring, Review and Oversight Substantively review the subadvisers' policy/procedure submissions, Form ADV updates and third party internal control reports.* Follow-through with tracking log updating and flagging issues for broader group attention when appropriate.* Perform cross monitoring and review of monthly, quarterly and annual subadviser materials Participate in subadviser due diligence visits as requested and prepare compliance reports of those visits Policies and Procedures Assist in annual review and updating of policies and procedures Draft new policies and procedures as requested
What Does A Compliance Director Do At Community Health Systems
* Ensure full implementation of the CHS Corporate Compliance Program at each physician practice market assigned to the Director.* Develop or direct training and education programs for regulatory changes and topics identified as potential risk areas.* Structure tools for use with compiling data and trend analysis.* Collect and analyze original data source documents for various compliance audits and investigations (e.g., physician coding audits).* Assess auditing and monitoring trends and coordinate mitigation activities when opportunities for improvement (audit variances) are identified.* Prepare oral and written reports, including recommendations for improvement based on audit, investigative findings, and site surveys.* Audit Facility Compliance Committee minutes to ensure adequate follow-up of potential risk areas in the reporting for physician practice elements.* Maintain an awareness of current laws, statutes, regulations, etc. that impact healthcare operations and physician relationships.* Maintain comprehensive knowledge of coding concepts including Current Procedural Terminology, HCPCS and ICD* CM* Direct focused compliance audits on topics of concern.* Coordinate compliance policy development and/or revision, when necessary.* Conduct, direct, or participate in compliance and privacy investigations.* Other duties as assigned by the Senior Director, Compliance and Privacy and the SVP, Corporate Compliance and Privacy Officer* Qualifications
What Does A Compliance Director Do At Thermo Fisher Scientific
* Review products/services for impact of regulations such as the Export Administration Regulations (EAR), the International Traffic in Arms Regulations (ITAR), and Customs and Border Protection Regulations.* Train, consult with, and advise employees through assessments and audits of international trade practices of Thermo Fisher businesses.* Develop materials for, and participate in, training on import and export regulations and policies.* Assess and audit sites for import and export compliance.* Produce written assessment reports and monitor compliance.* Assist in determining and implementing corrective actions where necessary.* Assist business units and work with other Global Trade Compliance team members and legal counsel to help resolve trade compliance matters.* Assist in managing service providers.* Focus on compliance specialties as assigned
What Does A Compliance Director Do At Sears Holdings
* Directs and develops team to determine most effective approach to research and resolve potentially high visibility customer complaint issues, and determines and offers concessions appropriate to the situation, which may include a refund, discount, gift card, or replacement* Analyzes complaint trends to identify and address potential root causes and identify associate coaching or training opportunities, implementing opportunities for up-stream process improvements* Leads associates at all levels regarding business issues that may affect customer base* Provides support to company senior executives in handling customer issues directed to their offices through multiple channels, including phone, letters, fax, and email; communicates with customers, and all levels of Sears Holdings Corporation employees via direct contact, phone, and email, documenting progress and ultimate resolution* Advises company executives on the resolution and final execution of customer complaints referred for resolution* Serves as the single point of contact for executives on any updates or follows up regarding the complaints they referred for handling* Serves as an ambassador for Customer Care Network in dealings with all other Sears Holdings Business Units* Partners with internal business leaders to identify and correct root cause of escalated complaints, and uses related experiencesand learnings to provide input on improvement opportunities that may impact multiple business groups within Sears HoldingsCorporation* Develops key reporting and analysis to continuously monitor improvement actions* Performs supervisory functions, including but not limited to, making employment decisions regarding hiring, promoting, demotingand terminating, conducting performance appraisals and coaching and developing associates
What Does A Compliance Director Do At Glaxosmithkline
* As a senior compliance leader, you will oversee compliance activities for US Pharma specialty business units to effectively manage risk, strengthen internal controls, and support business solutions that are fit for purpose.* Situated on the leadership team(s) of the Respiratory Biologics and Immunology business units, you will be responsible to help identify risks early in business strategy processes and activities including, but not limited to, brand planning, advisory activities, sales force effectiveness, sales training, and promotional speaker programs.* Specific responsibilities include:* Partnering with US Pharma and global business leaders, US Pharma Ethics & Compliance team, Global Ethics and Compliance team, Audit and Assurance, industry, and regulatory bodies to embed an ethical culture in a way that it brings commercial value to our business.* Leading the implementation of internal controls (e.g., policies, training, communication, management monitoring) important to enable compliant and competitive business activities.* Leading the development and coordinate the implementation of policies and procedures for designated business unit(s).* Ensuring that significant risks (e.g., regulatory, legal, execution, reputational) are proactively identified and mapped in the business unit(s), and that risk mitigation plans are developed to effectively address these compliance risks.* Partnering with Audit and Monitoring teams to ensure risk-based monitoring and auditing activities are effective in identifying risks and strengthening business performance.* Partnering with the business unit(s) to support the preparation for and response to internal audits of significant compliance risks.* Updating US Pharma and Ethics & Compliance management teams on the compliance programs for the specialty business units.* Partnering with Corporate Internal Investigations and Legal to ensure that reported concerns are promptly and thoroughly investigated, with appropriate corrective action and discipline when appropriate.* Why You
