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Become A Compliance Specialist

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Working As A Compliance Specialist

  • $56,303

    Average Salary

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

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Compliance Specialist Career Paths

Compliance Specialist
Compliance Coordinator Compliance Analyst Business Analyst
Assistant Vice President
7 Yearsyrs
Compliance Manager Compliance Director
Chief Compliance Officer
13 Yearsyrs
Compliance Officer Compliance Manager
Compliance Director
12 Yearsyrs
Senior Associate Internal Auditor Compliance Manager
Corporate Compliance Director
10 Yearsyrs
Compliance Officer Safety Manager Human Resources Manager
Director Of Human Resources
10 Yearsyrs
Senior Consultant Senior Manager
Director Of Information
10 Yearsyrs
Senior Compliance Analyst Compliance Manager Senior Manager
Director Of Quality
14 Yearsyrs
Finance Analyst Assistant Vice President Human Resources Coordinator
Human Resources Business Partner
10 Yearsyrs
Compliance Coordinator Human Resources Coordinator
Human Resources Manager
7 Yearsyrs
Business Analyst Product Manager Sales Manager
Operations Manager
7 Yearsyrs
Business Analyst Project Manager
Program Manager
8 Yearsyrs
Program Manager Technical Director Production Manager
Quality Manager
11 Yearsyrs
Program Manager General Manager Property Manager
Regional Property Manager
7 Yearsyrs
Underwriter Compliance Officer Compliance Director
Regulatory Compliance Director
13 Yearsyrs
Finance Analyst Operations Manager Human Resources Coordinator
Senior Human Resources Generalist
7 Yearsyrs
Senior Analyst Program Manager Portfolio Manager
Senior Portfolio Manager
10 Yearsyrs
Compliance Manager Senior Manager
Senior Project Manager
12 Yearsyrs
Senior Consultant Project Manager Senior Project Manager
Vice President And Manager
10 Yearsyrs
Senior Compliance Analyst Assistant Vice President
Vice President Operation Manager
9 Yearsyrs
Senior Analyst Project Leader Quality Assurance Manager
Vice-President Of Quality
15 Yearsyrs
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Help others decide if this is a good career for them

Average Length of Employment
Compliance Manager 3.3 years
Compliance Officer 3.1 years
Compliance Auditor 2.8 years
Compliance Analyst 2.3 years
Top Employers Before
Internship 7.4%
Consultant 6.2%
Manager 4.9%
Specialist 4.7%
Supervisor 4.0%
Law Clerk 3.6%
Paralegal 3.5%
Teller 3.2%
Associate 3.1%
Top Employers After
Consultant 9.6%
Specialist 5.1%
Manager 4.6%
Analyst 4.5%
Supervisor 3.7%
Associate 3.4%

Do you work as a Compliance Specialist?

Compliance Specialist Demographics

Gender

Female

61.0%

Male

36.9%

Unknown

2.2%
Ethnicity

White

60.6%

Hispanic or Latino

16.2%

Black or African American

11.2%

Asian

8.2%

Unknown

3.8%
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Languages Spoken

Spanish

54.1%

French

10.9%

German

6.3%

Portuguese

5.2%

Mandarin

3.3%

Chinese

2.4%

Arabic

2.4%

Russian

2.2%

Italian

2.2%

Carrier

1.9%

Japanese

1.6%

Hebrew

1.4%

Hindi

1.1%

Polish

1.1%

Vietnamese

0.8%

Cantonese

0.8%

Greek

0.8%

Swedish

0.5%

Korean

0.5%

Armenian

0.5%
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Compliance Specialist Education

Schools

University of Phoenix

24.7%

Strayer University

6.1%

Northeastern University

5.1%

Liberty University

4.8%

University of South Florida

4.8%

Virginia Commonwealth University

4.1%

Southern New Hampshire University

4.1%

Michigan State University

4.1%

Kaplan University

4.1%

University of Houston

3.9%

Ashford University

3.8%

Pennsylvania State University

3.8%

Temple University

3.6%

American InterContinental University

3.6%

Capella University

3.5%

Columbia Southern University

3.3%

Boston University

3.3%

Howard University

3.3%

Florida International University

3.1%

University of Maryland - University College

3.0%
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Majors

Business

31.1%

Law

9.2%

Accounting

7.7%

Finance

5.8%

Management

4.8%

Criminal Justice

4.4%

Psychology

3.7%

Health Care Administration

3.5%

Communication

3.3%

Biology

3.1%

Human Resources Management

3.1%

Legal Support Services

3.1%

Political Science

2.5%

Marketing

2.4%

Nursing

2.4%

Education

2.2%

Legal Research And Advanced Professional Studies

2.1%

Computer Information Systems

2.0%

Chemistry

1.9%

Economics

1.7%
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Degrees

Bachelors

40.5%

Masters

22.1%

Other

16.6%

Associate

8.0%

Doctorate

7.2%

Certificate

4.6%

Diploma

0.6%

License

0.3%
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Job type you want
Full Time
Part Time
Internship
Temporary

Real Compliance Specialist Salaries

Job Title Company Location Start Date Salary
Compliance Specialist Independence Home Healthcare, Inc. Gardena, CA Nov 18, 2016 $156,270
Consultant, Financial Compliance Siork Corporation New York, NY May 20, 2016 $130,000
Business Compliance Server Specialist Google, Inc. Mountain View, CA Sep 09, 2015 $127,000
IS Risk and Compliance Consultant Senior U.S. Bank National Association Portland, OR May 23, 2016 $125,000
Compliance Specialist 4 Paypal, Inc. San Jose, CA Jan 27, 2015 $123,755
IS Risk & Compliance Consultant U.S. Bank National Association Richfield, MN Oct 17, 2016 $121,000
International Compliance Specialist Exemplar Compliance Austin, TX Apr 15, 2015 $119,600
Auditor/Compliance Specialist Richard M. Squire & Associates, LLC Jenkintown, PA Oct 12, 2015 $117,936
340B Compliance Specialist Umass Memorial Medical Center, Inc. Worcester, MA Sep 02, 2015 $117,582
Global Ethics and Compliance Consultant Dell USA LP Round Rock, TX Apr 28, 2016 $113,000
Global Ethics and Compliance Consultant Dell USA L.P. Round Rock, TX Feb 07, 2015 $113,000
Tax Compliance Consultant The Bank of New York Mellon New York, NY Jan 04, 2016 $112,000
Technical Infosec Compliance Specialist Facebook, Inc. Menlo Park, CA Nov 07, 2016 $105,000
Consultant-Risk and Compliance Advisory Services Aujas Networks Private Limited Jersey City, NJ Jun 04, 2016 $99,000
DOT Net/Ada Compliance Specialist Collaborate Solutions Inc. Shrewsbury, MA Jan 08, 2016 $78,853
Network Compliance Specialist Ericsson Inc. Bellevue, WA Aug 29, 2016 $78,520 -
$111,027
Principal Compliance Specialist Genzyme Therapeutic Products Limited Partnership Framingham, MA Oct 10, 2016 $78,280 -
$97,446
Compliance Specialist, QA Alcon Research, Ltd. Fort Worth, TX Aug 24, 2016 $77,771
Security and Compliance Consulting IBM India Private Limited Cambridge, MA Aug 04, 2015 $77,197
Security and Compliance Consultant IBM India Private Limited Cambridge, MA Jul 27, 2015 $77,197
Compliance Specialist Zazzle, Inc. Redwood City, CA Sep 08, 2015 $75,000 -
$95,000
Product Compliance Specialist Phoenix Pharmaceuticals, Inc. Burlingame, CA May 01, 2015 $73,466
Compliance Specialist Earnest Inc. San Francisco, CA Dec 28, 2015 $58,240
Compliance Specialist Yagi Tsusho America, Inc. New York, NY Sep 01, 2015 $58,012
Compliance Specialist Asian American Civic Association Boston, MA Sep 23, 2015 $56,349
Regulatory Risk Compliance Consultant Crowe Horwath LLP CA Oct 08, 2016 $56,035 -
$66,035
Compliance Specialist Mancomm, Inc. Davenport, IA Aug 10, 2015 $55,453
Compliance Specialist Mancomm, Inc. Austin, TX Aug 10, 2015 $55,453
Air Compliance Specialist Geostat Environmental Wichita, KS Apr 01, 2015 $55,120
Air Compliance Specialist Geostat Environmental Wichita, KS Feb 15, 2015 $55,120

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Top Skills for A Compliance Specialist

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  1. Procedures
  2. Compliance
  3. Audit
You can check out examples of real life uses of top skills on resumes here:
  • Assisted with underwriting procedures and processing of mortgages involving Conventional, Jumbo and Non-Conventional loans.
  • Monitored employee compliance and procedure implementation consistent with Code of Federal Regulations as regulated by the Food and Drug Administration.
  • Performed monthly audit and assisted in maintenance of Donor Deferral Registry.
  • Identify regulatory issues and review company policies and procedures through formal monitoring and testing programs to ensure compliance with applicable regulations.
  • Provided solutions to deficiencies cited in Safety and Emergency Management programs, policies and procedures by offering industry standardized documents.

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