Compliance Officer Sample Job Description

A compliance officer is an employee whose responsibilities include ensuring the company complies with its outside regulatory requirements and internal policies.

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Summary

The Compliance Officer oversees the Corporate Compliance Program, functioning as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. The position ensures the Board of Directors, management and employees are in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed.

Job Results, Essential Functions & Measures of Success

Risk Assessments & Audits

Essential Functions
  1. Acts as an independent review and evaluation body to ensure that compliance Issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
  2. Conducts scheduled compliance audits of all programs and departments. Identifies potential areas of compliance vulnerability and risk at the Agency level; and provides general guidance on how to avoid or deal with similar situations in the future.
  3. Meets with service departments to assess their key risks and review mitigating controls.
  4. Is informed of, monitors and participates as appropriate in investigations or audits by outside parties (i.e., AG, OMIG, OIG, Bureau of Fiscal Review, etc.).
  5. Ensures the effective completion of relevant background checks for employee, volunteer, and consultant applicants commensurate with their expected responsibilities.
  6. Provides reports on a regular basis, and as directed or requested, to keep the Corporate Compliance Committee and senior management informed of the operation and progress of compliance efforts.
  7. Reports regularly to the Board of Directors, the Executive Committee of the Board, and/or any board committees as appropriate in regards to corporate compliance or related topics.
Measures of Success Supervisor’s observation:
  • Demonstrates ability to differentiate important from unimportant facts
  • Displayed appropriate judgment in determining how to categorize situations
  • Feedback from program areas on assistance provided is positive
  • Feedback from Compliance Committee is that reports provided are appropriate
  • Reports are clear and concise, logically identify issues, and reach conclusions that are supported by data and analysis
  • Quality of relationship with senior managers as measured through continued questions asked of CCO
  • Timely completion of the annual compliance plan
 
  • Presentations to the Board of Directors are within the defined time period
  • No deficiencies with regard to the completion of background checks
  • 100% completion of audits within defined time period

Corporate Compliance Policies & Procedures

Essential Functions
  1. Develops, maintains, and revises policies, standards and procedures as necessary for the general operation of the Compliance Program and its related activities.
  2. Develops and oversees a uniform system to handle violations of the compliance program.
  3. Develops and maintains effective confidential communication mechanisms for staff to report concerns with anonymity and confidentiality.
  4. Works with and assists the Board of Directors, the Executive Committee of the Board, and/or any board committees as necessary in regards to policy.
  5. Functions as the Privacy Officer in regards to the HIPAA privacy requirements.
Measures of Success
  • Policies and processes are adjusted based on changing regulations or interpretations and implemented within appropriate timeframes
Supervisor’s observation:
  • Compliance reporting systems encourage use
  • Compliance reporting system is communicated annually to all staff

Agency Staff Are Aware of Compliance Requirements

Essential Functions
  1. Institutes and maintains an effective compliance communication program for the organization, including promoting (a) use of the Compliance Hotline; (b) heightened awareness of Standards of Conduct, and (c) understanding of new and emerging compliance issues and related policies and procedures (technical support).
  2. Provides corporate compliance training for the Board of Directors and Agency management at least annually; and Agency departments or programs on request.
Measures of Success
  • Training is completed annually as scheduled
Supervisor’s observation that:
  • Incumbent can effectively identify new and emerging compliance issues
  • Agency employees receive training as needed

Position Qualifications

Minimum Education & Experience
Bachelor’s degree in human services or related field (i.e. psychology, social work, etc.). Minimum four (4) years management experience within OPWDD-certified programs. Minimum four (4) years’ experience working directly within a QA/QI or compliance role.

Other Skills/Knowledge/Experience
• Excellent verbal, written, analytical and interpersonal skills, including the ability to present information in both a formal and an informal manner to individuals at all levels.
• Strong attention to detail.
• Ability to prioritize and multi-task.
• Ability to work independently and free from undue pressure from any particular agency area or individual.

 

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