Compliance Specialist

SUMMARY

Monitors and documents compliance activities, advises management on non-compliance matters. Works with various business units to ensure all regulations and operating procedures are followed and programs receiving funding from external sources are in compliance with contract requirements by performing the following duties.

ESSENTIAL DUTIES AND RESPONSIBILITIES are listed below in order of importance, from most important to least important:

Maintains the master list of agency compliance documents including Annual Reports, Inspections, GII Compliance Reports, and other regulatory items. 

Ensures organization complies with relevant laws, regulations, and policies. Identifies, investigates, and reports compliance issues, irregularities, and violations as needed. 

Provides Corporate Compliance Manager with compliance outcomes included in the Internal Audit Services Year-End Report. Follows up as needed with business partners to ensure compliance related issues are submitted and reported timely to ensure accurate tracking and risk mitigation.

Executes audit activities directed by the Corporate Compliance Manger including but not limited to the completion of Operational and Quarterly Participant Billable. 

Researches audit topics and reviews documents including partnering agency contracts and operating procedures to identify agency objectives and potential risks. Reports audit findings and corrective actions to management and other stakeholders as necessary. Continues to review corrective action outcomes until audit status is completed.

Performs research and conducts data analysis, reporting findings to identify trends and inconsistencies with operational procedures related to compliance issues.

Supports CARF activities with continuous monitoring efforts and on-going reporting to the Corporate Compliance Manager.  

Coordinates and facilitates meetings, trainings, and consultations. 

Promotes Audit Awareness Campaign by regularly communicating the benefits of the Internal Audit with emphasis on assurance, insight, and objectivity.  

Utilizes technology platforms including Blogs, Goodwill Communication, and SharePoint to increase team member knowledge of audit purpose and value.   

Operates as back-up in departmental functions in support of the organization’s risk management and compliances plans.  

EDUCATION and/or EXPERIENCE

Bachelor's degree in Business Administration, or a related field from an accredited college or university and two years’ experience working in compliance, audit or other related field; or a combination of education and experience.

CERTIFICATES, LICENSES, REGISTRATIONS 

Valid Driver's License (Class C), car insurance and reliable automobile required.

PHYSICAL DEMANDS 

While performing the duties of this job, the team member is regularly (more than 2/3 of the day) required to sit, talk or hear. The team member frequently (1/3 to 2/3 of the day) is required to use hands to finger, handle, or feel. The team member is occasionally (less than 1/3 of the day) required to stand, walk, and reach with hands and arms. Specific vision abilities required by this job include close vision. Regular local travel required.