Compliance Specialist Resume Examples

compliance specialist

  • 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.

compliance specialist

  • 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:

compliance specialist

  • 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.

compliance specialist

  •  Investigated and evaluated assigned complaints to find the root cause.
  • Identified root cause by analyzing NCR, CAPA, analytical data, batch record review, and other documents that are associated with the product. 
  • Communicate all complaint trends with manufacturing personnel.
  • Performed an inspection on non-compliant product returned to back Genzyme. 
  • Significantly increased productivity and accuracy by conceptualizing and communicating ways to improve system functionality 

compliance specialist

  • Educate new DOT number-holders in regards to pertinent driver qualification, vehicle, and road operation regulations. 
  • Collect driver information and compile into driver qualification file as outlined by US Department of Transportation. 
  • Locate drivers’ local drug testing facility and organize proper documentation for driver pre-screening. 
  • My job is to ensure that every title meet its first party requirements.

compliance specialist

  • Monitor patients’ progress and adapt programs as needed.
  • Validate Prescription/Documentation from Doctors office for pressure changes.
  • Calling patient or Doctor if needed
  • Assist patient for their insurance guidelines/requirements

sr. compliance specialist

  • Reviewed specifications and requirements for clients.
  • Review, electronically file and prepare Bill of Materials
  • Generate Master Batch Records (MBRs) and Master Packaging Records (MPRs)
  • Issue Rework Procedures for clients.
  • Maintain and issue APR’s file them in the Quality System.
  • Maintain Change Control Program in in the Quality System.
  • Release Finished Goods or product from Quarantine.

senior compliance specialist

  • Handling the project independently.
  • Making sure that the game meets the SONY standard guidelines.
  • Manage the Game Design and according to TRC guidelines.
  • Communicate with all the teams (such as Producers, Game Designers, Programmers, QC teams) to make sure the smooth delivery of project.
  • Identify the risks, communicate them to corresponding teams and find solutions for them.
  • Work alone or with team to get the approval on project.