Compliance Coordinator Location

2 Manhattan Drive, Burlington Township, NJ, 08016, United States

Base Pay

$58,000.00 - $68,000.00 / Year

Employee Type

Regular Full Time

Required Degree

2 Year Degree

Contact information

Name

Elizabeth Barker

Phone

(609)267-6677 ext 1303

Email

ebarker@otcbc.org

Description

Compliance Program Administration o Provides day-to-day administrative support to the Chief Compliance Officer. o Maintainspliance files, logs, calendars, records, and tracking systems. o Maintains an organized and audit-readypliance-documentation system. o Trackspliance projects, assignments, deadlines, and deliverables. o Prepares routine correspondence, memoranda, reports, and presentation materials. o Coordinates department meetings, appointments, andpliance activities. o Assists with departmental purchasing, invoices, and administrative needs. Policy and Procedure Coordination o Maintains the organization's policy inventory and review schedule. o Tracks policy ownership, review dates, approvals, revisions, implementation, and acknowledgements. o Coordinates with department leaders regarding overdue policy reviews. o Maintains version control and archives obsolete policies. o Assists with formatting policies in the approved organizational template. o Uploads approved policies to the designated policy-management system. o Maintains evidence of policymunication, assignment, acknowledgement, and training. o Prepares policy-status reports for the Chief Compliance Officer. o Does not independently approve organizational policies. Compliance Training Administration o Coordinatespliance-training assignments through the organization's learning-management system. o Trackspletion of mandatorypliance education. o Sends reminders regarding outstanding training. o Prepares periodic trainingpletion reports. o Maintains attendance records, acknowledgements, certificates, and training materials. o Assists with scheduling live or virtual training sessions. o Supports annual Standards of Conduct andpliance-program education. o Escalates overdue training to the Chief Compliance Officer and responsible department leader. o Assists in evaluating training effectiveness through surveys, quizzes, orpletion data. Compliance Committee and Quality Improvement Support o Coordinates meetings for the Quality Improvement and Compliance Committee and other assignedmittees. o Prepares and distributes agendas and supporting materials. o Records meeting minutes. o Tracksmittee rmendations, action items, responsible parties, andpletion dates. o Collects departmental reports and performance data. o Maintainsmittee records. o Supports preparation of dashboards and quarterly reports. o Follows up with departments regarding overduemittee assignments. Investigation Support o Opens and maintains confidential investigation case files. o Assigns or maintains case numbers in accordance with department procedures. o Organizes evidence, interview notes, records, and supporting documentation. o Assists with scheduling interviews and meetings. o Maintains investigation andplaint logs. o Tracks investigation status, due dates, findings, rmendations, and corrective actions. o Assists with preparing investigation summaries at the direction of the Chief Compliance Officer. o Maintains appropriate confidentiality and access controls. o Does not independently determine final findings, disciplinary actions, or legal conclusions. Hotline and Reporting Support o Assists with administering the Compliance Hotline and other reporting channels. o Records reports received through approved channels. o Promptly escalates reports to the Chief Compliance Officer. o Maintains the hotline andplaint log. o Tracks allegations, status, disposition, and follow-up activity. o Assists with preparing trend reports. o Maintains confidentiality and appropriately limits disclosure. o Escalates allegations of retaliation immediately. Audit and Monitoring Support o Coordinates internal audit schedules and document requests. o Collects and organizes supporting documentation. o Maintains audit workpapers and evidence. o Tracks findings, rmendations, corrective action plans, andpletion dates. o Assists departments with submitting requested documentation. o Coordinates follow-up reviews at the direction of the Chief Compliance Officer. o Prepares routine audit-status reports. o Supports external audits, licensing reviews, accreditation surveys, and regulatory inspections. o Does not independently issue final audit opinions. Corrective Action Tracking o Maintains the organization's corrective action tracking system. o Records findings from audits, investigations, incidents, safety reviews, and regulatory inspections. o Tracks responsible parties, required actions, deadlines, andpletion evidence. o Sends reminders regarding outstanding corrective actions. o Escalates overdue or iplete corrective actions to the Chief Compliance Officer. o Assists in validating that supporting documentation has been submitted. o Prepares periodic corrective-action status reports. Regulatory Monitoring o Monitors assigned regulatory