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Compliance Coordinator Resume Samples
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6-10 years of experience
Identified potential problems and opportunities, perceived the impact and the implications of decisions on other components of the organization. Supported VP and other Managers, with prepared reports and correspondence, Maintained DMV reports and Complaint reports and handled general office management duties.
- Received, recorded and distributed consumer complaints increase customer service 50% satisfaction and report complaint activity. Summarized complaint activity by state and product line and by department responsible for the complaint.
- Assisted in auditing of functional areas for compliance with the insurance laws and regulations.
- Performed clerical functions (receiving and sending of mail, copying, scanning, filing, ordering office supplies, etc.) for the department and visiting executives.
- Supported Special Projects and Other Tasks-Direct and provided compliance assistance during special projects and other tasks, as assigned.
- Reviewed and analyzed new insurance laws and regulations.
- Maintained reports for 4 departments insuring timely processing documents.
10+ years of experience
Led pre-set appointment test pilot and on-boarded new staff. Held responsibility for managing pre-set appointments for 22 Sam's DCs ((spell out?)), 36 Wal-Mart DCs and more than 200 Sam's Clubs with total sales of more than $2,300,000,000. Cultivated strong collaborative relationships across multiple functions and teams to drive productivity, encompassing customers, customer service replenishment team, operations and transportation. Assisted Carriers and trained team members on Wal-Mart scheduler system.
- Improved on time delivery metrics at Sam's from 60% to 90% on-time delivery in less than one year.
- Organized and maintained weekly tracking log to track on-time deliveries across Wal-Mart and Sam's Clubs.
- Scheduled minimum of 200 orders per day during peak seasons and promotions.
0-5 years of experience
Promoted as Quality Liaison for Clinical Small molecule Active Pharmaceutical Ingredient (API), drug product manufacturing and packaging departments. Reviewed/approved GMP documents -batch and packaging records. Provided Quality feedback and approval for deviations and investigations. Lead and participated in Contract Manufacturing Organizations (CMO) and vendor audits. Reviewed and approved Masters and executed manufacturing documents for CMOs. Provided QA support for regulatory inspections. Back-up Release Coordinator for release of raw materials, APIs, drug products and finished packaged material for Clinical studies.
- Achieved "No Critical Observations" for all IMP Operations and Investigational Products throughout six internal and international audits
- Reduced documentation errors 85%+ by training operators and scientists
- Improved procedures 31% by conducting "snapshot" audits
- Recognized for taking initiative to accomplish additional duties as resources dwindled
- Zero recalls for products released to clinic
0-5 years of experience
Promoted to this role in order to spearhead the creation and implementation of processes to ensure that departments are in compliance with the law; aim was to decrease number of compliance inquiries by 10% monthly; 15% decrease resulted
- Developed a template for and circulate weekly compliance reports for top company management, including the Director of Operations, Finance Manager, Clinical Manager, and Staffing Coordinator
- Created a systematic way to conduct and track monthly internal audits to ensure compliance with DOH regulations and company policies
- Assisted in the creation of a training curriculum for new hires that has an emphasis on compliance that didn't previously exist
0-5 years of experience
Developed and executed plans which regularly resulted in meeting or exceeding goals.
- Managed daily operations of safety and compliance department.
- Mentored and trained new and temporary staff.
- Assured compliance with federal regulations through auditing personnel files and communicating with other divisions inside the company to correct any discrepancies.
- Recruited and qualified potential drivers in eight markets ensuring they were in compliance with federal regulations.
- Maintained confidential federal agency and corporate records.
- Initiated and implemented ways to improve processes and database information.
0-5 years of experience
Contract corporate representative for Strategic Sourcing managing Conflict Mineral reporting, and serving as key contact for nearly 3,000 suppliers for all locations of Pall worldwide.
- Managed initial set-up of project, and developed evolving communication plans of required supplier compliance to meet deadline for company Due Diligence Program.
- Formulated strategies to effectively engage with suppliers on a global level and executed data
- Trained contact worldwide corporate locations of the new reporting content procedure.
- Remotely worked with web developer in creation and refinement of web portal for reporting, as well as overall design, editing, troubleshooting and testing.
- Assisted with supplier information verification and vendor coding.
0-5 years of experience
Audited and reconciled student records for 20 proprietary trades, business, and aviation colleges to ensure compliance to internal policies, USDOE regulations, FAA rules, and ACCSC standards
- Wrote and implemented new policies for better accuracy and compliance within student records
- Maintained confidentiality of over 3,000 student records by enforcing FERPA law requirements
- Assisted Corporate Registrar and Corporate Director of Education with special projects and other administrative duties
- Trained Campus Registrars
0-5 years of experience
Provided all safety related training to employees of both natural gas and propane divisions of the company, as well as outside contractors and the general public.
- Ensured compliance to several government agencies including PHMSA, DOT and State Public Service Commissions
- Conducted bulk propane plant inspections to verify compliance and ensure public safety
- Held monthly safety meetings for both field and office personnel
- Assisted in Public Awareness and First Responder Trainings
- Trained all employees driving company vehicles in the Smith System driving course
- Managed the Operator Qualification program for employees and contractors to verify they were qualified to perform certain tasks on our pipelines
0-5 years of experience
Responsible for 1,400 driver qualification files (DQ files) and ensured they were in compliance with DOT regulations.
- Audited DQ files for the Safety department to ensure they included all necessary paperwork and documentation.
- Maintained DQ files and ensured they were kept current for all drivers.
- Developed and initiated a reporting system for upper management which informed and updated them of both the Safety and Recruitment departments' performance and productivity.
- Provided assistance to the Safety and Recruitment departments whenever they were short staffed.
0-5 years of experience
Served as the Compliance Professional for several programs and built Compliance Department.
- Promoted, researched, and developed regulations for the company to apply best practices with all programs such as: AML (Anti-Money Laundering), TSA (Transportation Security Administration), PCI-DSS (Payment Card Industry Data Security Standard), and Customs Trade Partnership Against Terrorism.
- Conducted internal and external audits to ensure compliance.
- Created and developed policies and procedures for the company.
- Conducted risk assessments of business partners and evaluated the level of threat toward the U.S.
- Conducted companywide training sessions to build a awareness.
- Worked diligently with company officers/team members to ensure regulations are followed
6-10 years of experience
Constructed and maintained 529 American Correctional Association accreditation files
- Conducted facility inspections to monitor compliance with standards established by the Ohio Department of Rehabilitation and Corrections (ODRC)
- Developed institutional policies and procedures based on contract requirements
- Ensured compliance with local, state, and national standards of operation
- Prepared detailed reports related to various aspects of institutional operation
- Completed quality assurance clinical, peer, and utilization reviews for recovery services, health care services, and mental health services
0-5 years of experience
Responsibilities included the coverage of staff for all scheduled service hour cases, including emergencies, replacement and weekends.
- Liaison for the department administrative functions with Managed Care Companies.
- Ensure files are in compliance prior to employment of new staff.
- Assigned and maintained assignments for staff.
- Assisted the Human Resource Department with the overall clerical functions.
0-5 years of experience
Responsible for the monthly, quarterly and annual update of safety statistics to several outside safety
auditors including ISNetworld, Houston Area Safety Council, Louisiana Safety Council, Southwest Safety
Council of Louisiana, PEC and PIC's Auditing
- Coordinated and notified employees of monthly drug and alcohol random
- Reviewed and updated employee roster on Disa
- Responsible for reporting to the State of Louisiana the quarterly fuel tax
- Arranged safety training with new hires
- Coordinated and scheduled appointments for TWIC cards
0-5 years of experience
- Reviewed Purchase Orders pertaining to warehouse compliance guidelines.
- Handled placement of claims and tracking information for warehouse noncompliance vendor issues resulting in the average revenue reported of $2 million per year.
- Coordinated among several departments relating to the practical application of warehouse noncompliance issues.
- Researched, reviewed, and responded to vendor challenges and inquiries.
- Exported queries and accounting reports to excel.
- Balanced Access database prior to report for posting to General Ledger.
0-5 years of experience
Reported to Complex Director with key role as Operations Subject Matter Expert (SME) specific to Environmental Health & Safety (EHS) and Process Safety Management (PSM) regulations.
- Developed Operations Management Systems
- Coached/ Trained operation teams on EHS and PSM compliance
- Managed implementation of safety programs
- Facilitated Root Cause Failure Analysis/ Incident Investigation
- Generated Lessons Learned and reviewed with employees
- Served as member of Safety Procedure Review Committee
0-5 years of experience
Assisted in the development of human resource procedures and policies.
- Developed and administered a performance review system.
- Facilitated the transition to a new 401(k) plan inclusive of 50 employees.
- Facilitated the employee on-boarding process.
- Performed recruitment and screening for future employee candidates in accordance with the company's staff needs.
- Assisted the Chief Compliance Officer in development and implementation of regulatory controls.
- Acted as a liaison between the firm, its registered representatives and regulatory agencies.
0-5 years of experience
Conducted internal on-boarding evaluations for compliance with the top 50 revenue-generating Enterprise division customers
- Managed quarterly, bi-annual, and annual customer audit requests for 300+ accounts
- Managed corrective actions resulting from customer audits
- Engaged Corporate Accounting for payroll audit requests
- Maintain records of evaluations conducted, results, and resolutions
- Trend analysis to find areas in need of training
- Identify supporting branches and developed distribution lists for each customer account
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