Job description

• Compliance Monitoring and Auditing • Develops and executes risk-based compliance monitoring and auditing activities across all lines of business. • Provides guidance to operational areas on regulatory requirements and associated compliance monitoring and reporting expectations. • Evaluates operational compliance with applicable regulatory and contractual requirements and identifies compliance and control deficiencies. • Tracks and trends monitoring results to support compliance dashboards and governance reporting. • Corrective Action Oversight and Validation • Develops and issues corrective action plans for identified compliance deficiencies. • Tracks corrective actions through remediation and resolution, including escalation of delays or unresolved issues. • Performs validation to confirm corrective actions are implemented and operating effectively. • Tracks and trends corrective action activity and outcomes to support compliance reporting. • Regulatory Reporting Validation • Performs compliance validation of operational regulatory reports and submissions. • Evaluates supporting data, processes, and controls for compliance with applicable requirements. • Identifies and coordinates remediation of reporting deficiencies and tracks validation results. • Compliance Operations Program Support • Supports internal and external audit activities, including documentation, evidence review, and corrective action follow-up. • Provides Compliance Operations support for HPMS and other regulatory systems, access, submissions, and related activities. • Supports Compliance Operations work plans and assigned compliance oversight activities. • Supports development and continuous improvement of Compliance Operations tools, processes, and controls.. • Analyzes and summarizes compliance results, trends, risks, and corrective actions for dashboards and regulatory reporting. • Supports reporting through the Compliance Committee governance structure, including reporting to senior leadership and the Board of Directors. • Perform all other miscellaneous responsibilities and duties as assigned or directed. #LI-Hybrid • Bachelor's degree and two years of related work experience; or an equivalent combination of education and experience. • Experience working in a regulated environment. • Familiarity with general compliance and ethics principles. • Effective written and verbal communication skills. • Analytical and problem-solving skills. • Ability to understand and apply regulatory requirements. • General knowledge of compliance and regulatory principles. • Strong organizational and time management skills. • Intermediate working knowledge of Microsoft Word, Excel, Outlook, and PowerPoint.

Requirements

Must-haves

Compliance Monitoring and Auditing
Develops and executes risk-based compliance monitoring and auditing activities across all lines of business.
Provides guidance to operational areas on regulatory requirements and associated compliance monitoring and reporting expectations.
Evaluates operational compliance with applicable regulatory and contractual requirements and identifies compliance and control deficiencies.
Tracks and trends monitoring results to support compliance dashboards and governance reporting.
Corrective Action Oversight and Validation
Develops and issues corrective action plans for identified compliance deficiencies.
Tracks corrective actions through remediation and resolution, including escalation of delays or unresolved issues.
Performs validation to confirm corrective actions are implemented and operating effectively.
Tracks and trends corrective action activity and outcomes to support compliance reporting.
Regulatory Reporting Validation
Performs compliance validation of operational regulatory reports and submissions.
Evaluates supporting data, processes, and controls for compliance with applicable requirements.
Identifies and coordinates remediation of reporting deficiencies and tracks validation results.
Compliance Operations Program Support
Supports internal and external audit activities, including documentation, evidence review, and corrective action follow-up.
Provides Compliance Operations support for HPMS and other regulatory systems, access, submissions, and related activities.
Supports Compliance Operations work plans and assigned compliance oversight activities.
Supports development and continuous improvement of Compliance Operations tools, processes, and controls..
Analyzes and summarizes compliance results, trends, risks, and corrective actions for dashboards and regulatory reporting.
Supports reporting through the Compliance Committee governance structure, including reporting to senior leadership and the Board of Directors.
Perform all other miscellaneous responsibilities and duties as assigned or directed.
Bachelor's degree and two years of related work experience; or an equivalent combination of education and experience.
Experience working in a regulated environment.

Nice-to-haves

None flagged.

Application prep

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Platform: adp-recruiting
Effort: medium