Compliance Specialist/ Senior Compliance Specialist

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Compliance Specialist/ Senior Compliance Specialist
The candidate will assist in the development of training and awareness programs to ensure compliance and ethics expectations are clearly communicated to and subsidiaries. Support the development, maintenance, and communication of company policies in collaboration with policy business owners. Provide support and quality assurance for policy management activities performed by other Specialists. Manage processes to capture, review, and appropriately mitigate potential conflicts of interest. Conduct timely investigations and subsidiary compliance issues/risks reported to Compliance or identified through ongoing monitoring and auditing. Ensure effective root cause analysis and documentation of the investigation. Conduct regulatory and licensure filing processes to ensure submissions are accurate, complete, and timely. Provide support and quality assurance for filing activities performed by other Specialists. Maintain knowledge of current and proposed compliance obligations applicable to business. Conduct complex compliance change management activities, analyzing new compliance obligations, providing consultative implementation support to business areas, advising on related policies and controls, and documenting how complies. Conduct risk assessments to identify and prioritize compliance obligations and document how complies. Review and advise on compliance monitoring activities conducted by business areas. Conduct risk-based monitoring oversight and audits to ensure ongoing compliance with relevant obligations. Engage with business areas to ensure appropriate follow-up actions are completed where issues are identified. Conduct oversight of third-party compliance risk management processes, including collaborating with other “GRC” teams (e.g., Privacy, Enterprise Risk Management, Cybersecurity and Information Protection). Collaborate with other risk management functions on investigations as necessary (e.g., Human Resources, Legal, Privacy, Internal Audit, Special Investigations Unit).

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