Manager - Compliance - BFSI - LLB

Job Description :

The Compliance Manager is responsible for working with Compliance Counsel to ensure the company is compliant with local, state and federal regulations when issuing authorizations, stipulations and subpoenas for records with regard to applicable civil rules of procedures and/or statutes.

Responsibilities :

1. Manage the day to day regulatory compliance activities of EXL people, products, and production operations.

2. Initiate, develop, and maintain compliance policies and procedures.

3. Monitor compliance activities within areas of designated subject matter responsibility, identify needed corrective actions, and confirm implementation.

4. Identify potential areas of compliance vulnerability and risk, develop/implement corrective action plans as appropriate, and provide general guidance on avoiding or dealing with similar situations in the future.

5. Serve as liaison between Operations Team and Compliance Counsel as needed . Work with Compliance Counsel to conduct civil compliance training for all Account Executives and any Operation Team members to ensure an understanding of what is legally required to process subpoena requests in all states

6. Work with Compliance counsel to identify and maintain all regional compliance requirements and communicate same to National Sales Director and Sales Team as needed

7. Working knowledge of applicable local, state and federal civil rules of procedures and statutes to ensure company is compliant and up-to-date with the current rules and/or statutes

8. Assist the Operations Team with subpoena preparation as needed

9. Address client concerns regarding interruption of the rules and/or statutes

10. Maintain list of all employees who are subject to HIPAA certification and ensure all current employees and new hires are compliant

11. Maintain compliance documentation in accordance with applicable laws, regulations, organizational policies and affiliate requirements.

12. Work with Operations Team and IT on model changes requested by clients and notify Compliance Counsel of any potential legal issues or questions

13. Report back to the end user regarding the model change request to discuss the need for same and to inform of completion to request authentication

14. Make manual changes to subpoena requests and other documents as applicable

Act as point person for responding to internal and external inquires, communications, and audits relating to compliance.

Qualifications :

1. 3+ years' experience with state, local and federal rules of civil procedure required

2. 2+years' experience as supervisor

3. Bachelors' degree preferred

4. Paralegal experience preferred but not required

5. Experience in the document retrieval industry is preferred

6. Must demonstrate high level of self-motivation

7. Must be a self-starter who takes direction effectively but also have the ability to determine what is required and demonstrate willingness to take action

8. Must be proficient in Microsoft Office: Word, Power Point, Excel, and have ability to learn Salesforce program

9. Must demonstrate excellent organizational skills

10. Must demonstrate attention to detail and willingness to follow-up to assure work is completed

11. Ability to work independently and in team environment

12. Ability to follow all company policies and procedures