|Apply by Date
• Design and maintain Legal and Compliance online presence through Sharepoint
• Establish and maintain the File Naming Convention
• Liase with customer to provide monthly take-off logs
• Oversee contract renewals, amendments, notifications
• Identify areas in which automation or system enhancement could increase productivity, work with Leadership to implement approved changes
• Improve the quality of the compliance function through implementation and coordination of document requests and procedure changes.
• Audit and monitor data, systems, and processes for compliance with internal policies and laws.
• Conduct follow-up reviews of corrective actions taken to address compliance exceptions reported.
• Track and record complaints, report on a monthly basis
• Coordinate Third Party due diligence; develop an electronic process for clients to request a third party due diligence review
• Coordinate the delivery of in-person and electronic training activities
• Ability to take lead or participate on special projects within Compliance or represent Compliance on cross departmental projects or initiates
• Maintains compliance files
• Assist in the preparation and submittal of annual compliance reports for the Board of Directors
• Assist in the development and dissemination of Board of Directors documents and meeting materials
• Performs other duties as assigned
||Education and Experience:
• BA/BS in related field preformed
• Generally 5+ years experience
• Ability to recognize legal and contractual requirements and variances from standards to ensure compliance
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