Preview Corporate Compliance Officer Job Description

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JobDescription:CorporateComplianceOfficer

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Qualifications:TheCorporateComplianceOfficerwillhaveskillsandexperiencesufficienttoidentify

potentialissueswithinavarietyofcomplianceareas(Finance,Utilization,ProgramPlanning,Licensing,

Funding,AgencyPolicyetc.).TheComplianceOfficerwillbeabletoremainobjectiveandfunction

independentlyfromotheragencydepartments.TheComplianceOfficerwillbe

detailorientedandhave

experiencewithinvestigativeandreportingprocedures.

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Accountability:TheCorporateComplianceOfficershallbeaccountabletotheCEOand/orBoardof

Directors.

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Duties:TheCorporateComplianceOfficer’schiefdutiesareplanning,implementingandmonitoring

theCorporateComplianceProgram.Coordinationofcomplianceauditactivitiesandcommunicationof

expectationsandreportingresultsarethekeyfunctionsofthisposition.

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TheCorporateComplianceOfficerwill:

• OverseeandmonitortheimplementationoftheCorporateComplianceProgram.

• ReporttotheCEOandBoardofDirectorsonaregularbasistoreviewprogresson program

implementationandassistwithestablishing

improvementplans.

• Periodicallyreviseandupdatetheprogram.

• ReviewemployeeStandardsofConductCertificationStatements.

• DevelopandimplementaCompliancetrainingplan.

• AssisttheFinanceDepartmentincoordinatinginternalcompliancereviewandmonitoring

activities.

• Investigatecomplaintsandcoordinateactionplanswithotherdepartments.

• Developpolicies

andprogramsthatencouragestafftoreportsuspectedfraudorimpropriety

withoutfearofretaliation.

• DevelopandcommunicatetheobjectivesoftheComplianceProgramandreport

accomplishmentsongoingly.

• Accessrecordsrelevanttocompliancemonitoringactivitiesandreport findings.

• Maintainalogofcommunicationsreceivedrelevantto

compliance.

• Compilereportsofcallsreceived,investigationsconducted,findingsandrecommendations

developed,actionplansestablished,andprogressnoted.

• Establishandcommunicatereportingproceduresandreportingmodesavailable(e‐mail,voice

mail,suggestionbox,etc.).

• Interviewinternalandexternalcustomersperiodically.

• Analyzeutilizationpatterns.

• Conductunannouncedmock

surveys,inspections,auditsandinvestigationsperiodicallyto

assessstaffreadinessandtospecificallyidentifywherecorrectiveactionsareneeded.

• Re‐evaluateareasofpreviousdeficiencytoidentifyimprovements.

• PresentwrittenevaluationsandreportstotheComplianceCommittee,CEOandBODatleast

annually.

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