- Response to State Regulatory Exams
- Works Along side the Audit team
- Response to Attorney letters as well as Debt Consolidation companies
- Replies to BBB Complaints as well as CFPB Complaints.
- Organized incoming and outgoing file movements in efficient and accurate manner.
- Performed clerical tasks, including answering incoming phone calls, sorting mail and sendingcorrespondence.
- Collect data (example: number of compliance breaches) for the preparation of periodic management reports and provide insights to the compliance team.
- Perform test case monitoring and highlight exceptions or issues to the appropriate compliance team for necessary actions.
- Feed data into various systems prescribed by the organization (example: personal trading data into PTA system).
- Assist compliance officers with routine investigation and report generation.
compliance specialist, privacy and security
- Researched, interpreted and advised the company regarding the compliance with laws and regulations
- Provided valuable compliance advice to the business unit management regarding policies, controls and procedures.
- Updated the business unit management when regulatory requirement or regulatory environment changes.
- Working in Drafting, Evaluation, Negotiation and Execution of Non-Disclosure Agreements, Consulting Agreements, Master Agreements, Statement of Work, Addendum/Amendment.
- Ensure that signed contracts are communicated to all relevant parties to provide contract visibility and awareness, interpretation to support implementation.
- Maintain and update contract repository.
- Represented the company before various courts and government authorities.
senior compliance specialist
- Analyze current regulatory scenario including regulations made applicable by government, GACA, IATA and other related regulatory bodies which are applicable to Compliance department in various jurisdictions it operates in within the Company by preparing / updating the Compliance monitoring Program. Additionally, receive/ review notifications, information / and circulars through company’s concerned departments for applicable existing, new/ amended regulations and develop an annual plan based on the updates on the regulations and changes/amendments in the business areas and keep review/ monitor the plan for the update.
- Identify issues of non-compliance, investigate non-compliance, devise and develop report along with recommendations and following up with monitoring the implementation of corrective actions and update the compliance database/ calendar accordingly.
- Maintaining and monitoring over the company’s regulatory Certificates and Licenses. In addition, ensure and monitor the process of the timely renewal of such Licenses/Certificates in coordination with the concerned departments.
- Develop the monthly plan to conduct the Compliance review on the following:
- Conduct investigations and propose protocols to ensure 100% compliance with all electricity market rules by the company’s generating power plants.
- Create, maintain, and enter information into databases for all generating power plants in the company’s portfolio.
- Evaluate non-compliance gaps in order to mitigate if not eliminate the risk of penalty.
- Attend forums to contribute comments anent amendments to electricity market rules, manuals, and guidelines.
- All clerical duties with respect to stakeholder engagements and customer support.