Compliance Officer

Supports site security and corporate compliance, ensuring adherence to laws, regulations, and best practices through audits, training, investigations, and policy development.

Under the general direction of the Chief Compliance Officer, provides support with site security and corporate compliance with internal, client and regulatory requirements. This includes but is not limited to ensuring that all departments comply with applicable laws and regulations and keeping abreast of industry changes, corporate objectives, laws and regulations affecting all function areas of the business.

Essential Duties and Responsibilities

• Provide support of policies, standard operating procedures and controlled documents that govern activities and processes at ACT.

• Partner with all areas of company to provide "Best in Class" processes and practices that ensure ACT's position as a high quality, fully compliant organization.

• Provide support and management of internal and external audits in all areas of the organization, developing and providing detailed reports to ACT leadership as well as assist in development and monitoring the completion of remediation plans.

• Maintain knowledge of regulatory requirements and "best" practices for the business.

• Provide support with the non-conformance process, developing and providing detailed reports to ACT leadership as well as monitoring the completion of corrective action plans.

• Conduct investigations and compliance program reviews. Respond to complaints of compliance violations.

• Develop and provide site compliance overview reports.

• Develop, participate in and review proposed changes to policies and procedures for compliance with applicable regulatory and consumer/public interest laws, rules and regulations, and provide recommendations for changes.

• Report issues to the Chief Compliance Officer related to site regulatory non-compliance, external and corporate audit result findings.

• Facilitate training of site employees as needed to educate, implement and ensure site security and corporate compliance.

• Stay current on business trends through ongoing training as directed by the Chief Compliance Officer.

• Track applicable laws and regulations, understand the details of regulations and advise of operational impact of trends and changes.

• Review and assist in revision and development of company forms, agreements, disclosures to ensure compliance with applicable laws, rules and regulations.

• Conduct research of individual regulatory-related matters. Identify and communicate regulatory compliance deficiencies. Provide guidance in the development of alternative solutions or implementation of corrective action.

• Provide written responses as applicable to inquiries of a regulatory nature, supporting analysis, conclusions and recommendations upon well–investigated and documented research of regulatory requirements.

• Provide support with any and all other essential duties and responsibilities identified by the Chief Compliance Officer.

Education and/or Experience:
High School diploma/GED required, college preferred. Experience within a compliance, call center and/or corporate environment, or similar area(s), preferred, where handling and securing of confidential information is of primary importance. Knowledge of Federal and State laws and regulations governing the applicable business entities. Excellent written and verbal communication skills, computer

Computer/Technical Skills:
Intermediate Microsoft Office skills are required. Familiarity with SharePoint is a plus.

Language Skills:
Ability to read and interpret documents such as safety rules, standard operating procedures, policies, etc. Ability to write routine correspondence and to speak effectively and informatively. Ability to immediately respond to questions from internal partners.

Competency:
To perform the job successfully, an individual should demonstrate the following competencies:

• Interpersonal Skills – maintains confidentiality; able to interact with a high volume of people; listens to others without interrupting; keeps emotions under control; remains open to others’ ideas and tries new things.

• Verbal Communication – speaks clearly and persuasively in positive and negative situations; listens and gets clarification; responds effectively to questions.

• Written Communication – writes clearly and informatively; edits work for spelling, grammar and accuracy; able to read and interpret written information.

• Problem Solving – ability to design workable solutions to problems in a timely manner and within an ambiguous environment.

• Reasoning Ability - apply common sense understanding to carry out instructions; ability to deal with problems involving a few concrete variables in standardized situations.

• Teamwork – balances team and individual responsibilities; exhibits objectivity and openness to others’ views; gives and welcomes feedback; contributes to building a positive