General counsel vs chief compliance officer

Differences between general counsel and chief compliance officer duties and responsibilities

General counsel example responsibilities.

• Assist in liaising with insurance authorities, responding to regulatory inquiries and managing relationship with region from legal and business perspective.
• Review subpoenas and attorney letters for compliance with HIPAA and institutional guidelines and coordinate non-party depositions as needed.
• Prepare dozens of complex commercial transactions in connection to equity and debt securities offerings.
• Handle regulatory, compliance, licensing, and registration matters for securities broker- dealer and register investment adviser.
• Supervise commercial litigation, arbitration and claims, including case strategy, pleadings preparation, hearings, depositions and settlement negotiations.
• Supervise and train unit charge with securing patient medical records, ensuring compliance with Medicare and HIPAA regulations and accreditation standards.
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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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