Compliance Coordinator

Updated: Mai 17, 2025 - The Compliance Coordinator ensures strict adherence to import and export compliance and trade procedures across various divisions. This role involves coordinating division-wide export control activities and synchronizing terms and conditions to enhance trade regulation processes and contract designs. Additionally, the Compliance Coordinator supports global production and sales companies with product classifications, legal, insurance, and tax-related issues, ensuring seamless operations and adherence to international standards.

A Review of Professional Skills and Functions for Compliance Coordinator 1. Compliance Coordinator Duties

• Permit Coordination: Responsible for managing business licenses and health permits, as well as communicating with all locations and assisting in obtaining/renewing required permits/licenses.
• Permit Acquisition: Assist with obtaining all necessary business licenses and permits for new locations.
• Proposal Support: Assist the Proposal Development Team with licensing and permitting issues.
• RFP Compliance: Obtain issuance of all necessary licenses and permits required for RFPs.
• Regulatory Communication: Communicate with regulatory government agencies to determine the correct licenses and permits required for each jurisdiction.
• Regulatory Research: Research, review, and distribute information regarding regulatory changes to local and state license and permit registrations.
• Financial Reporting Assistance: Assist with preparation of gross receipts information for business licenses and permits.
• Database Management: Assist with maintenance of business licenses and permits and related electronic databases.
• Database Administration: Manage the database of business licenses and permits.
• Administrative Support: Assist in other departmental administrative tasks as needed for matters related to business licenses and permits.
• Audit Support: Assist accounting manager with the organization of sales tax audit requests.

2. Compliance Coordinator Details

• Form Accuracy Assurance: Ensures that all 4473 forms are correct and complete in accordance with all local, state, and federal laws.
• File Management: Ensures that all stores have the proper files in place for denied 4473 forms that include the previous month's 4473 forms.
• Electronic Record Matching: Ensures that all stores' electronic bound book matches the 4473 forms on file in each respective store.
• Multi-Sale Form Management: Ensures that all multi-sale forms have been completed and then sent to the appropriate law enforcement agencies.
• Inventory Compliance: Ensures that all stores are accurately completing required Firearms Inventory.
• Error Resolution: Ensure that all error correction sheets have been acted upon and all forms are properly archived.
• Regulatory Compliance: Responsible for ensuring staff is in compliance with local, state, and federal guidelines, rules, and regulations.
• Staff Training: Conduct one-on-one training and counseling sessions with staff members.
• Risk Assessment: Identifying and assessing areas of significant compliance risk.
• Compliance Management: Managing and reporting compliance breaches and exposures.
• Compliance Training: Training employees on industry compliance requirements.
• Compliance Communication: Maintaining communication with the compliance supervisor and following up.
• Regulation Monitoring: Keeping up with compliance requirements and regulations.

3. Compliance Coordinator Responsibilities

• Administrative Support: Perform a broad range of administrative duties to support the Compliance Officer and the Compliance team, demonstrating initiative and sound judgment in handling confidential information.
• Discretionary Tasks: Exercise independent judgment and discretion in tasks and responsibilities, including but not limited to scheduling appointments, receiving and screening visitors and telephone calls.
• Goal-Oriented Planning: Rely on experience and judgment to plan and accomplish goals.
• Office Management: Responsible for departmental office administration, including word processing and other computerized applications, record management, and general overall office management.
• Meeting Coordination: Coordinate and schedule meetings.
• Meeting Preparation: Prepare sign-in sheets, agendas, reserve meeting rooms, meeting minutes (as needed), handouts, meeting records/documentation, and conference room setup/cleanup.
• Inventory Management: Maintain department inventory including placing office supply orders.
• Order Accuracy: Ensure orders are complete and accurate, including verifying materials received and reconciling discrepancies.
• Schedule Management: Maintain appointment schedule, distribute all directed correspondence, and establish priorities with the Compliance Officer on a daily basis.
• Calendar Management: Manage calendar, scheduling, meetings, and appointments for the Compliance Officer and management team.
• Form Handling: Document and submit all forms, including business card forms, cell phone request forms, hardware software request forms, and name tag forms.

4. Compliance Coordinator Job Summary

• Review Coordination: Coordinate Introductory and Annual Employee Review Process for the Director, management team, and Team Members.
• Onboarding Management: Responsible for the Team Member on-boarding process including ensuring necessary system access is obtained.
• Orientation Planning: Create new Team Member binders, and coordinate any orientation activities as necessary, including the assignment and tracking of training programs.
• Travel Arrangements: Prepare and coordinate travel arrangements including travel requests, itineraries, expenditures, and reimbursement requests.
• Travel Support: Ensure that the Compliance Officer and management team are fully supported and prepared for travel.
• Liaison Duties: Act as department liaison to Facilities, Mailroom, and Helpdesk to coordinate and assist with support requests.
• Attendance Tracking: Maintain department attendance calendar and report attendance information as a daily operation.
• Subscription Management: Maintain Department subscriptions to newsletters and bulletins, association memberships, and healthcare certifications.
• Inquiry Response: Responsible for ensuring that there is a response to Compliance Department distribution group inquiries in a timely manner.
• Discretionary Relations: Exercise considerable discretion and finesse in dealing with contacts to effectively carry out internal and external relationships.

5. Utilities Compliance Coordinator Accountabilities

• Equipment Inspection: Perform required annual equipment inspections as indicated by IIAR and create corrective work orders for deficiencies.
• Contractor Supervision: Work with contractors on equipment inspections and repairs to ensure they meet PSM/RMP requirements and gather updated Process Safety Information.
• Safety Audits: Audit contractors to ensure they are meeting Bolthouse Safety requirements.
• Safety Equipment Calibration: Perform inspections and calibrations on ammonia safety equipment including e-stops, ventilation, ammonia monitors, etc.
• PSI Collection: Gather Process Safety Information (PSI) which includes equipment nameplate information, equipment model and serial numbers, equipment motor information, and relief valve nameplate data.
• SOP Verification: Ensure Standard Operating Procedures (SOPs) and P&IDs are accurate by performing field verifications.
• Labeling Compliance: Ensure equipment is properly labeled to meet IIAR standards by performing visual inspections.
• PSM Training Support: Participate and assist with PSM Training on new Mechanical Integrity and Operating Procedures.
• MOC Development: Participate in the development of gathering MOC documentation, Employee Training, SOP Development and verifications, Mechanical Integrity Program development and implementation.
• Compliance Documentation: Assist with documentation of all Refrigeration Department Compliance Audit, PHA, and Mechanical Integrity recommendations.

6. Regulatory Compliance Coordinator Functions

• IRB Submission Coordination: Coordinates and/or prepares materials for timely submission to the IRB for the research office.
• Document Retrieval: Retrieves protocol documents from each research base, either electronic or paper.
• Protocol Review: Reviews new protocol submissions and makes necessary modifications required by the local IRBs.
• Form Completion: Accurately completes required IRB forms prior to IRB submission, summarizes protocol revisions.
• Signature Collection: Requests required PI signatures.
• Document Submission: Submits documents to IRB Administrators.
• Stakeholder Coordination: Communicates and coordinates with research bases and pharmaceutical companies to ensure proper materials are submitted and filed.
• File Organization: Organizes and maintains protocol files, including central office, physician offices, radiation oncology, pharmacy, and DMH oncology department, and disseminates protocol documents to appropriate staff in a timely manner.
• Record Keeping: Keeps accurate records of protocol activities and IRB submissions.
• Database Management: Enters protocol information into the research database.
• Protocol Tracking: Tracks protocols to ensure timely submissions for annual reviews.
• Annual Review Preparation: Gathers information needed to complete annual review click apply for full job details