Compliance Auditor Resume Examples

Completed funding checklist and approved wire requests. Received two additional merit raises for excellent servicing and production.

Drafted compliance audit plan; Established monitoring schedule for Federal and State grants

Perform an average of 75 onsite facility audits annually of hospital and community health center pharmacies for fiscal, operational, and procedural compliance to Pharmaceutical Institutional Bulk Replacement Program standards.

Partnered with Internal Auditors to ensure compliance for all Student Finance files

Analyzed rules and regulations when determining Housing and Urban Development compliance guidelines.
Traveled 50% annually to administer compliance reviews to grantees. Completed 90% of my compliance
reviews in less than one week.

Performance-focused leader with a ten year track record of driving operational improvements that result in profit growth, increased productivity, and enhanced business practices. Champion of developing performance-based, low-cost solutions for the financial industry. Highly effective problem solver with expertise in regulatory compliance, financial and operational management.

Responsible for managing internal and external audits, interpreting policy and working with Senior Leadership to mitigate risk.

Supervised over 150 inspection stations

Perform agreed upon procedure engagements examining books and records of multiple companies
signatory to a specific collective bargaining agreement

Communicated Medicare regulatory requirements to operational areas and conducted follow up to assure implementation. Obtained clarification and guidance from CMS as appropriate. Identified potential compliance issues, assisted with investigation and resolution, escalated issues to management when appropriate. Conducted monitoring to measure compliance with CMS regulations and guidance, communicated findings to impacted business areas and completed follow up to assure resolution of the identified issues.

Planned pension audit engagements by researching prior audits and collective bargaining agreements (CBA), discussing Employer work environment, letter files, and possible audit risks with Audit Supervisor.

Audit hazardous material shipments to verify all applicable regulations from the following agencies: [company name] (UPS), Department of Transportation, or International Civil Aviation Organization were met by the shipper before transport through the UPS system.

Audit loan files for compliance-related exceptions and determining possible cures/potential risk associated with the loan

Assisted with the implementation of policies, procedures and practices as they relate to Quality System Management, Good Tissue Practices, cGMP (current good manufacturing practices), QSR (Quality System Regulations), ISO 9001, ISO 13485, ISO 14971, AATB Standards for Tissue Banking (13th ed.), and other applicable Industry Standards.

Gathered and analyzed data on Firm processes and procedures and created reports from that data on a monthly basis to ensure that federal regulations were met

Primarily responsible for the administration and management of multiple assigned Compliance Audits supporting multiple functional areas

Solely responsible for managing client account (trade union) for the purpose of conducting payroll compliance audits from among signatory contractors

Conduct compliance audits, fore cause, and partnership due diligence evaluations of third party manufacturers, active pharmaceutical ingredient suppliers, medical device and contract service providers.

Develops and recommends auditing tools and standards that will be used during compliance audits.

Responsible for the coordination and execution of all internal audit and risk management consulting activity related to the Medicare Gv01 functionality with specialty areas regarding the CMS Chapter 13 regulation for the Medicare Managed Care Process. Serve as the Team Lead in analyzing the productivity and performance of the financial, business process and information systems audits assessing the risk, effectiveness and efficiency of the business controls to include financial information and compliance with laws and regulations.

Audited internal departments and procedures to comply with SEC regulations (25-30 tests annually).

Research, reconcile and document discrepancies to identify corrective action required and report findings.

Managed the regulatory and compliance activities of over 200 agents in 4 different states.

Perform and schedule routine examinations of employer accounting records to verify compensation pertaining to hours worked or guaranteed of employees performing collective bargaining union work on films, television shows, commercials and music videos.

Document and communicate information related to employee pre-screening requirements (such as drug testing, background checks and required documents) as defined in customer service agreements.

Perform audit interviews in order to verify compliance with internal policies and procedures as well as external regulations

Monitors and test internal controls and policies and procedures to ensure compliance with regulatory requirements and business procedures.

Inbound service calls from members and/or providers with questions related to, but not limited to, health benefits, eligibility status/issues, and claims inquiries, requests for member materials, primary care physician changes, prescription coverage, prescription benefits, Organization determination, and Id cards.

Conduct financial and operational audits of four hospitals and corporate operations of the company.

Prepared and modified Cost Accounting Standards (CAS) Disclosure Statements based on Contract Clauses

Report directly to the senior director, compliance. Provide support to pharmaceutical Territory Business Managers, Regional Business Directors and compliance analyst

Handles calls from internal and external customers

Site lead compliance auditor responsibilities, which includes: preparing audit plan, scheduling and holding the opening meeting, coordinating/conducting the audit, review of audit findings with affected management, publishing notes, preparing the audit report, assigning observations to the appropriate quality system, assign observation rating, hold the closing meeting, publish final report and enter audit, observations and CAPAs into the site exception reporting tracking system (Trackwise).

Audit information technology (IT), platforms, and operating procedures in accordance with established standards for efficiency, accuracy, security and risk mitigation.

Worked to develop, implement and conduct compliance testing and reporting related to the Affordable Care Act for the Center of Medicare and Medicaid Services (CMS).

Review of Physician documentation in order to assign the correct ICD-9-CM codes and level of Evaluation and Management codes, according to the 1995 and 1997 documentation guidelines as they relate to the various specialties

Works with the director of corporate compliance to identify and execute compliance audit programs