Compliance vice president vs chief compliance officer

Differences between compliance vice president and chief compliance officer duties and responsibilities

Compliance vice president example responsibilities.

• Lead the SOX compliance effort with assistance from one direct report.
• Lead HIPAA investigation and response team as part of theft of laptop containing multiple clients' sensitive information.
• Manage outside counsel regarding litigation, employment disputes, product liability, and prosecution and protection of intellectual property.
• Manage successful litigation, arbitration and mediation proceedings, including commercial disputes, product liability, employment and intellectual property.
• Develop and deliver ethics and compliance training.
• Ensure coordination of CMS to file management systems.
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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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