What Does A Compliance Specialist Do At Amerisourcebergen Corporation
* Monitors the overall compliance program at the operating level and works closely with the Compliance Manager the Regulatory Compliance Manager.* Assists in reviewing and releasing C2 orders, reviews blanks for completeness after they have been filled.* Assists in counting and verification of inventory.* Tracks and maintains records as per regulatory requirements.* Control Drug Substance report/ packing slip review.* Scans and/or files courier proof of deliveries for the division.* Updates customer licensing* Assists in formulating general safety policies and procedures in compliance with local, state, and federal OSHA regulations.* Consults with all departments on the design and use of equipment, fire prevention, and safety program.* Inspects facility to detect existing or potential accident and health hazards; recommends corrective measures.* Assists in keeping associates abreast of the dangers of working with hazardous substances.* Participates in the investigation of accidents and work-related injuries.* Assists with the coordination of training programs that will increase safe practices and safety consciousness, DEA and OSHA training for Distribution Center associates.* Maintains compliance, safety, and security files.* Conducts internal audits to ensure compliance with DEA, DOT, OSHA, and PDMA regulations.* Complies with all appropriate policies, procedures, safety rules and DEA regulations.* Records daily warehouse temperature readings and reviews forklift inspection sheets.* Assists with maintenance of the Distribution Center’s MSDS files.* Brings potential diversion activities and security breaches to the attention of the Compliance Coordinator or the Regulatory Compliance Manager; identifies areas of vulnerability and proposes reconciliation procedures.* Acts as liaison between customer service and internal compliance requirements.* Operates as liaison between corporate associates and Federal, State and local regulatory agencies.* Establishes and promotes the maintenance of a safe, accident free and healthy work environment.* Maintains all compliance, safety records and security files for the Distribution Center.* Performs related duties as assigned
What Does A Compliance Specialist Do At Amtrust Financial Services
* Prepare and submit filings to state Departments of Insurance via an internet portal called SERFF.* Heavy usage of spreadsheets and updating of status reports that are used by the Compliance group and other business units throughout the company* Monitor the status of all filings submitted to and pending with state Departments of Insurance* Respond to state regulators’ routine questions concerning our insurance products and pending filings* Occasionally assist analysts in researching insurance regulations, bulletins or circulars* Provide excellent customer service to both internal and external customers of our organizatio
What Does A Compliance Specialist Do At Rite Aid Corporation
* Prioritize, schedule, and lead independent store compliance and control self-assessmentaudits and effectively evaluate stores’ level of compliance with regulatory and operatingrequirements; regularly monitor store performance metrics using the Store Portal andother automated tools; work with field management to develop overall store improvementplans and schedule store visits to monitor implementation of corrective measures andsustained compliance.* Facilitate completion of corrective measures to immediately bring stores into compliancewith regulatory and operating requirements, and assist store and field management todevelop appropriate action plans to address chronic issues and follow-up to validateaction plan completion; identify training needs and direct training efforts for storeassociates not meeting minimum compliance program requirements.* Assist in the development and maintenance of store compliance programs to monitor andreport store compliance with significant operational and regulatory requirements; coachand train store associates and other members of field management on new and existingregulatory and operating requirements; stay abreast of regulatory and operationalchanges and communicate changes to store and field management timely and accurately.* Accurately record the results of store compliance reviews completed on the Portal,including specific observations and recommended improvement opportunities andcommunicate results to the appropriate levels of Store Operations, Internal Assurance,and other Corporate and Field Management timely and effectively.* Assist in the execution and implementation of special compliance projects, riskmanagement, and other company initiatives as needed, under the direction of InternalAssurance or other Corporate Management.* Develop working relationships with select regulatory and state agencies and facilitateagency audits/inspections to help improve store compliance and mitigate regulatorysanctions
What Does A Compliance Specialist Do At Homestreet Bank
* Development and maintenance of the Compliance Management Program.* Perform compliance/regulatory related support of single family lending including interpreting and analyzing regulatory requirements* Implement new or revised regulations within established deadlines.* Develop and maintain the single family compliance training program.* Implement and maintain the single family policies and procedures compliance program.* Track progress of audit/exam exception items to ensure timely resolution.* Facilitate and coordinate internal audit and exam information requests and Develop/draft management responses to audit and exam findings in collaboration with department managers.* Update/develop regulatory disclosure forms as necessary.* Complete Adverse Action Process* Complete HMDA reviews and submission to the regulatory agencies
What Does A Compliance Specialist Do At Wells Fargo
* Maintain and update as necessary existing Compliance programs to enable LOB management to demonstrate to regulators the firm’s compliance with FINRA and SEC regulations.* Create and foster strong working relationships with interdependent Compliance groups, Legal and Retail Compliance in order to advise on applicable regulations and conflicts of interests as syndicate distributes to institutional clients and into the Retail Broker Dealer.* Identify and advise on potential conflicts of interest and provide necessary interpretive guidance to senior business leadership.* Represent Compliance on committees for ECM, such as Commitment Committees, New Products and technology.* Participate in planning and preparation for exams and audits; reviewing and approving the documentation gathered to respond to regulatory inquiries.* Team members support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company.* They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions
