Compliance director vs legal compliance officer

Differences between compliance director and legal compliance officer duties and responsibilities

Compliance director example responsibilities.

• Manage monthly FINRA registration fee allocations and departmental expenses.
• Manage Sarbanes-Oxley financial reporting and CAMP+ coverage, and certification process.
• Develop strategy to integrate acquired/new operations to achieve company ethics & compliance standards.
• Manage senior and junior surveillance/investigation analysts responsible for conducting AML surveillance and investigations.
• Develop, manage and implement program governance and structure to ensure major programs are strategically align with organizational objectives.
• Provide explanations to families on Medicare and Medicaid billing and benefits.
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Legal compliance officer example responsibilities.

• Manage outside counsel in litigation matters and coordinate internal requirements in connection with litigation.
• Assist in liaising with insurance authorities, responding to regulatory inquiries and managing relationship with region from legal and business perspective.
• Review and respond to subpoenas.
• Provide ethics training and counsel to mission employees.
• Act in a professional manner with integrity, according to the legal code of ethics of Puerto Rico.
• Direct the ship's legal activity, including delivery of subpoenas relate to both judicial and non-judicial proceedings.
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