Compliance Consultant

Updated: Mai 17, 2025 - The Compliance Consultant ensures the execution of regulatory requirements by assisting management in identifying and addressing compliance responsibilities. This role conducts risk assessments, creates gap analyses, and develops compliance-related policies and procedures to support effective monitoring and reporting. The Compliance Consultant also facilitates the implementation of compliance risk management plans, ensuring adherence to industry standards and regulatory requirements across the organization. A Review of Professional Skills and Functions for Compliance Consultant Technical Skills: Performs the preparation, updating, and SEC filing of VA and VUL prospectuses for May 1 and off-cycle updates. Content Management: Develops and applies technical skills within Arc Pro content management system to support building out VUL and VA summary prospectuses. Compliance Assistance: Assists with annual summary prospectus filing updates, including analyzing and recommending prospectus changes resulting from SEC rulings. Fund Updates: Supports the execution of all VA and VUL fund updates. External Review: Supports the review process with external accounting firms. Deadline Management: Completes all work within SEC-mandated or market-driven timeframes. Content Translation: Reads, analyzes, and translates product design requirements into readable format for prospectus content. Process Improvement: Identifies and recommends process improvements that significantly enhance quality across the RPO team. Legal Review: Processes all updates in the content management system accurately and in a timely manner for Legal review. 2. Compliance Consultant Details Compliance Policy Development: Collaborates with multiple internal partners of various levels to build a new compliance policy from the ground up. Supply Chain Performance: Executes management’s strategic vision in the daily performance of supply chain collaboration and performance, supporting dispute resolution, vendor performance collaboration and counseling, and tracking and reporting of results. Program Direction: Provides direction to program participants for improvement opportunities to drive supply chain effectiveness and efficiency. Compliance Analytics: Supports management’s strategic vision in the development of supply chain compliance analytics to identify opportunities to support challenged vendors through research and analysis. Industry Standards Awareness: Understands industry standards and supply chain performance programs of Client retail competitors to ensure Client remains comparable. Cross-Functional Efficiency: Provides recommendations to leadership and implements cross-functional supply chain efficiencies. Project Management: Manages ad hoc projects related to supply chain solutions and process improvement. Application Management: Implements and maintains management’s strategic direction for the daily operation of key supply chain applications used in the execution of the Client vendor collaboration and performance program. Application Utilization: Ensures applications are being utilized correctly and effectively. Opportunity Identification: Identifies areas of opportunity and effectively communicates to the appropriate levels of management. Legal Analysis: Analyzes state and federal laws, regulations, and sub-regulatory guidance to identify key compliance requirements and impacts, partnering with Medicare operations teams to understand required process/system changes. Strategic Compliance: Strategizes with Medicare leadership on the development of business positions and approaches to meet compliance requirements in a cost-effective and efficient manner, securing commitment and consensus through effective communication and negotiation. Risk Management: Identifies risks, gaps, and opportunities to improve compliance oversight and tracks, measures, and reports on these items to leadership until resolution. Corrective Measures: Works with business units to implement corrective measures and long-term reporting to ensure sustained success. Regulation Implementation: Oversees and supports the implementation of state and federal laws, regulations, and sub-regulatory guidance, providing subject matter expertise. Risk Assessment: Identifies and understands the risks associated with requirements and the business impact of implementing them. Compliance Controls: Understands and implements controls to ensure compliance and mitigate risk. Audit Coordination: Coordinates onsite audits or desk reviews requested by regulatory agencies. Relationship Building: Develops and maintains effective working relationships with internal Medicare leadership, Enterprise Compliance, Internal Audit, and other critical parties. Educational Development: Manages the development of educational and reference materials outlining regulations, interpretations, and business implementations. Training Delivery: Delivers formal and informal training to internal and external business partners, including one-on-one and group settings. Compliance Reporting: Creates and reports on Ops Compliance status across all verticals to Medicare leadership and the Compliance Committee. 4. Compliance Consultant Job Summary Labor Compliance Support: Assists the Tax and Labor Managers in providing advice and counsel to Nike HR and business managers on all aspects of labor compliance issues, including risk consideration and implementation of policies and procedures. Audit Coordination: Assists with coordinating and responding to all labor inspections and audits, completing the process through to resolution. Legislative Monitoring: Monitors legislative updates, provides advice on labor compliance risks associated with legislative developments, and develops strategies to address compliance issues. Immigration Compliance: Works with the Global Immigration Team within HR Compliance and performs ongoing reviews of global immigration compliance processes to ensure appropriate compliance in the region. Risk Management: Oversees the resolution and management of risk events (incidents and regulatory breaches) by the 1st line to reduce exposure to regulatory risks. Reporting Contribution: Produces management information (MI) and contributes to department reporting. Compliance Review: Assists in the delivery of monitoring reviews. Conduct and Compliance Framework: Assists in embedding the Conduct & Compliance Risk framework, tools, and mechanisms to support effective regulatory compliance. Regulatory Awareness: Promotes a culture of Conduct and Regulatory awareness throughout BTS and supporting services. 5. Compliance Consultant Accountabilities Policy Management: Oversees the day-to-day operation of client policies, procedures, systems, and controls to ensure compliance with applicable regulations. Risk Identification: Identifies compliance and money laundering risks and advises on improvements to the client’s control framework. Policy Development: Develops, initiates, maintains, and revises policies and procedures to ensure compliance with various regulatory and legal requirements. Regulatory Liaison: Liaises with the DFSA and other competent authorities on behalf of clients. Compliance Monitoring: Drafts and executes compliance monitoring and testing programs and performs desk-based reviews to ensure compliance with regulatory and internal procedures. Client Onboarding: Undertakes client onboarding/KYC. Training Delivery: Provides training on Compliance, AML, and Corporate Governance topics to clients and consultants. Continuous Learning: Commits to continuous learning and development, expanding subject matter expertise, and contributing to the knowledge development of Consultants and Analysts. SM&CR Implementation: Tests and delivers SM&CR controls, processes, procedures, and technology applications. Documentation Management: Updates SM&CR HR/Compliance documentation and controls. Business Communication: Writes business communications and contributes to Intranet content supporting operational changes. 6. Compliance Consultant Functions Supply Chain Compliance: Ensures the Maison adheres to group directives and recommendations related to the Maison Supply Chain, from raw material to finished goods distribution through group and external partners (Suppliers, Customers, 3PLs). Product Release Compliance: Ensures all product novelties are fully compliant in all markets before release. Proof of Conformity: Ensures required proof of conformities is available before releasing products to meet any local requirements. Risk Management: Manages Maison derogations related to group directives with group support, assessing risks and mitigation actions. Reporting and Communication: Establishes reports, KPIs, newsletters, and communication materials for various international teams. Directive Compliance: Ensures the Maison Compliance directives are fully known and applied by all stakeholders, from Manufacture to POS and all support teams. Knowledge Management: Ensures access to Maison Product Compliance knowledge is always ready and up-to-date for all stakeholders. Regulatory Intelligence: Aggregates regulatory intelligence reports from various sources and ensures a continuous communication loop between product development teams and markets. 7. Compliance Consultant Job Description Networking: Actively networks with the client’s security professionals in the region in close cooperation with local sales management. Bid Management: Participates in bid management activities under the mentorship of a senior expert. Portfolio Development: Participates in portfolio development in designated areas coordinated by the team manager and practice management. Consulting: Acts as privacy, security, and compliance consultant for Atos accounts in an Account Service Team. Process Integration: Ensures compliance processes and master data are well integrated into SAP. Tool Implementation: Defines and implements the right tools and solutions to support Maison product compliance with a strategic vision. Compliance Processes: Defines and implements the required compliance processes and milestones to strengthen Maison's adherence to group directives. Project Leadership: Leads projects at Cartier to enhance, optimize, and accelerate product compliance processes through the Supply Chain in an accelerated time-to-market environment. Compliance Contact Management: Defines and on-boards Cartier local product compliance contacts in each market. Community Engagement: Animates the Cartier product compliance community by organizing activities through workshops, webinars, and training to strengthen best practices and information exchange around compliance topics. Regulatory Assistance: Assists management in executing applicable regulatory requirements by identifying them and making them aware of their responsibilities related to compliance. Regulatory Assessment: Performs assessments of regulatory impact on the organization, creates gap analyses, rates risks of regulatory requirements, and implements monitoring and review programs. Policy Drafting: Drafts compliance-related policies and procedures. Compliance Training: Trains and educates the business on their roles and responsibilities related to compliance activities. Risk Management Planning: Facilitates the development and approval of compliance risk management plans for the organization in line with accepted compliance principles and standards. Risk Management Activities: Conducts formal independent compliance risk management activities, developing and presenting a compliance risk assessment plan to management. Compliance Monitoring: Monitors compliance with regulatory and industry requirements by implementing the plan and preparing monitoring reports for the business. Subscriber Monitoring: Develops, implements, and executes a risk-based subscriber monitoring program to ensure compliance with regulatory requirements throughout the subscriber agreement lifecycle. Risk Assessment: Plans and conducts compliance risk assessments, documents findings, and drives the implementation of recommendations. Enterprise Risk Management: Facilitates the implementation of the enterprise risk management program and reports on material risks to compliance management. Issue Management: Supports the issue management program by notifying, managing, collaborating, and reporting on issues logged, remediation activities, and progress. Business Continuity Coordination: Acts as regional coordinator for the enterprise business continuity program, monitors, and reports on compliance with program deliverables and requirements. Statutory Reporting: Prepares statutory compliance reports for management review and submission. Client Support: Supports the business in client meetings to address compliance-related queries and/or provide training. Industry Representation: Attends industry and/or regulatory meetings or workshops to represent TransUnion’s compliance function. 9. Compliance Consultant Details and Accountabilities Legal and Compliance Research: Researches and monitors legal, regulatory, and compliance-related developments, in coordination with the Law Department, reviews their implications for Creditor Insurance, and communicates requirements to management and clients. Compliance Support: Provides support to Creditor management and staff on compliance matters affecting operations. Internal Reporting Coordination: Coordinates the completion of internal compliance reporting requests, supports the training of compliance representatives, and answers day-to-day inquiries. Material Drafting: Drafts and files mandated distribution materials and coordinates the production of these materials. Marketing Review: Reviews and approves all marketing communication materials and policy documents from a compliance perspective, whether produced internally or externally by clients or distribution partners. Product Compliance Support: Provides compliance support on product development and process/system initiatives, liaising with account managers, clients, and legal teams. Compliance Monitoring: Manages and monitors the compliance of external administrators and distributors with the company’s legal and regulatory obligations. Design Compliance: Advises and assists the Design Manager on requirements and obligations in the development of fitout and base build design. Legislative Review: Reviews the design to ensure compliance with legislation, standards, and codes of practice. Construction Documentation: Ensures plans, shop drawings, and samples issued by the builder are consistent with the “For Construction” documentation as approved. Policy Dissemination: Ensures dissemination and access for all team partners to compliance policies and procedures. Policy Development: Creates or modifies policies in compliance with regulatory requirements. Legal Partnership: Partners with legal counsel on matters impacting the business. Internal Audit Review: Conducts internal audit reviews and analyzes gaps to determine the organization’s posture against regulations. Audit Support: Provides high-level support during Dept. of Labor/OFCCP Affirmative Action audits. Wage & Hour Audit Support: Provides high-level support during Federal/State Dept. of Labor Wage & Hour audits. Corrective Action Implementation: Supports the implementation of remediation and corrective action plans resulting from audits, investigations, internal reviews, and self-identified issues. Risk Surveying: Conducts risk surveys to identify areas of significant compliance risk. Reporting: Reports regularly to business leaders on compliance matters. Regulation Monitoring: Maintains knowledge of compliance regulations and monitors changes in state and federal labor regulations. Advisory Role: Acts as an advisor to the organization on compliance matters. #J-18808-Ljbffr Lamwork