Assist in formulating regulatory policies and procedures to be followed by company personnel in compliance with local, state, and federal regulations through the development of Franchise documents and Standard Operating Procedures.
Ensures education and tracking of financial advisors and other supervisors by coordinating annual compliance meetings, required Firm courses and regulatory requirements. Conducts regulatory-reguired annual financial advisor compliance interviews/audits.
The Enterprise Security Services (ESS) Audit and Compliance Manager will perform a critical role with oversight to a number of programs within ESS. This will include SOX related activities assistance in audit response and remediation activities and communication to the Line of Business as the programs and processes change.
This position is responsible for maintaining and monitoring HIPAA compliance within the Work Comp Bill Review/Rx offices, reviewing all workers compensation fee schedule updates and providing necessary communication/education to the Pharmacy and Bill Review Productions Managers/Team Leads, performing quality assurance audits for proper application of the fee schedules.
Develop and manage reporting mechanisms to aggregate information gleaned from all risk analysis sources in order to identify and evaluate compliance risk trends; share with Compliance business line managers and stakeholders, and provide consultation on mitigation/resolution.