Sample Job Description for Compliance Documentation Coordinator
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Compliance Documentation Coordinator Job Overview
Compliance Documentation Coordinator Job Description Sample
Coordinates the tracking, preparation, and completion of regulatory filings, registrations, licensing, and compliance documents.
JOB LEVEL
P01
EDUCATION/DEGREE
Bachelor's Degree
REPORTS TO
Supervisor or Manager
Salary Range
BASE 50%
$68,700
TOTAL 50%
$69,600
Job Responsibilities for Compliance Documentation Coordinator
Ensures documentation fulfills all requirements and meets filing deadlines. Assists with noncompliance investigations and implementing and monitoring compliance controls.
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| Job Title | Job Description | |
|---|---|---|
| 1 | Head of Corporate Compliance | The Head of Corporate Compliance plans and directs programs, policies, and practices to ensure that all business units' activities are in compliance with regulatory requirements. Responsible for an organization's compliance with financial policy and reporting regulations. Being a Head of Corporate Compliance requires a bachelor's degree in area of specialty. Tracks laws and regulations that might affect the organization's policies and implements necessary changes. In addition, Head of Corporate Compliance demonstrates expertise in a variety of the field's concepts, practices, and procedures. Typically reports to top management. The Head of Corporate Compliance manages a departmental function within a broader corporate function. Develops major goals to support broad functional objectives. Approves policies developed within various sub-functions and departments. Comprehensive knowledge of the overall departmental function. Working as a Head of Corporate Compliance typically requires 8+ years of managerial experience. |
| 2 | Corporate Compliance Manager | The Corporate Compliance Manager manages the monitoring of business activities for compliance with applicable rules and regulations. Designs and develops programs, policies, and practices to ensure that the organization complies with federal, state, and local regulatory requirements. Being a Corporate Compliance Manager prepares compliance status reports for internal management and regulatory agencies as required. Tracks relevant laws and regulations and directs staff to update operating manuals and procedural documents when regulations change. In addition, Corporate Compliance Manager requires a bachelor's degree. Typically reports to top management. The Corporate Compliance Manager manages subordinate staff in the day-to-day performance of their jobs. True first level manager. Ensures that project/department milestones/goals are met and adhering to approved budgets. Has full authority for personnel actions. Extensive knowledge of department processes. Working as a Corporate Compliance Manager typically requires 5 years experience in the related area as an individual contributor. 1 to 3 years supervisory experience may be required. |
| 3 | Corporate Compliance Director | The Corporate Compliance Director ensures that all activities follow regulatory requirements related to the governance of the organization as well as any industry-specific or location-specific laws. Directs an organization's compliance programs, policies, reporting, and practices. Being a Corporate Compliance Director develops risk-based compliance testing of existing procedures and controls to identify, detect, and correct noncompliance. Oversees internal controls and auditing systems that monitor and report on regulated activities and processes. In addition, Corporate Compliance Director evaluates and implements changes to compliance processes due to new or amended regulations. Establishes communication and training initiatives that inform stakeholders about compliance requirements. Requires a bachelor's degree. Typically reports to top management. The Corporate Compliance Director manages a departmental sub-function within a broader departmental function. Creates functional strategies and specific objectives for the sub-function and develops budgets/policies/procedures to support the functional infrastructure. Working as a Corporate Compliance Director typically requires 5+ years of managerial experience. Deep knowledge of the managed sub-function and solid knowledge of the overall departmental function. |
| 4 | Corporate Compliance Supervisor | The Corporate Compliance Supervisor monitors all activities impacted by regulatory requirements related to the organization's governance and any industry-specific or location-specific laws. Supervises the compliance programs, policies, reporting, and practices for an organization or business. Being a Corporate Compliance Supervisor implements risk-based compliance testing of existing procedures and controls to identify, detect, and correct noncompliance. Utilizes established internal controls and auditing systems that monitor and report on regulated activities and processes. In addition, Corporate Compliance Supervisor implements changes to compliance processes due to new or amended regulations. Supports communication and training initiatives that inform stakeholders about compliance requirements. Typically requires a bachelor's degree or equivalent. Typically reports to a manager or head of a unit/department. The Corporate Compliance Supervisor supervises a group of primarily para-professional level staffs. May also be a level above a supervisor within high volume administrative/ production environments. Makes day-to-day decisions within or for a group/small department. Has some authority for personnel actions. Working as a Corporate Compliance Supervisor typically requires 3-5 years experience in the related area as an individual contributor. Thorough knowledge of functional area and department processes. |
| 5 | Shipping Documentation Specialist I | The Shipping Documentation Specialist I coordinates the preparation and organization of bills of lading, packing slips, invoices, and required export licenses or compliance documents. Prepares shipping documentation and processes orders. Being a Shipping Documentation Specialist I troubleshoots shipping delays or changes with carriers and communicates to customers. Utilizes enterprise resource planning (ERP) or other systems to record and track all shipping transactions. In addition, Shipping Documentation Specialist I ensures shipping protocols and documentation meet required regulatory requirements for hazardous materials (DOT/HAZMAT) or special handling. Investigates and resolves shipping non-conformance. Requires a high school diploma. Typically reports to a supervisor. Being a Shipping Documentation Specialist I works under the close direction of senior personnel in the functional area. Possesses a moderate understanding of general aspects of the job. May require 0-1 year of general work experience. |
Compliance Documentation Coordinator Skills & Proficiency Level
| Skills | Proficiency Level |
|---|---|
| Office Support Tools | Level 2 |
| Attention to Detail | Level 2 |
| Honesty And Integrity | Level 2 |
