Finance compliance officer vs regulatory compliance specialist

Differences between finance compliance officer and regulatory compliance specialist duties and responsibilities

Finance compliance officer example responsibilities.

• Participate in OCC exam preparation and review including research and presentation of documentation to achieve compliance with federal examiner requests.
• Enforce and ensure compliance with laws and regulations governing financial and securities institutions and financial transactions.
• Review and approve financial and non-financial disclosures to ensure compliance with federal securities regulations and FINRA rules and regulations.
• Develop oversight programs for enhance supervisory scenarios, engage others to act responsibly and minimize operational risks and internal controls issues.
• Prepare bi-weekly update of subcontract reports and update closeout status in SharePoint.
• Document data for alert investigation and review in an internal SharePoint system.
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Regulatory compliance specialist example responsibilities.

• Manage an ongoing closure at a former phosphate plant with an emphasis on phosphogypsum stacks and NPDES storm water permits.
• Manage RCRA permit hazardous waste storage facility.
• Provide EHS regulatory compliance services to several federal government clients and manage hazardous waste documentation databases.
• Manage and submit regulatory permit and notification applications to USDA to import, move and release regulate plant materials.
• Support FDA, ISO, and internal audits as needed.
• Follow ISO procedures and GMP requirements pertaining to medical devices.
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