Compliance Operations Analyst II
Posted Updated 3
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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.
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