Director of Compliance

Job Description

Job Description

Description:

The Director of Compliance is responsible for the strategic leadership and direct supervision of the Compliance Department, including workforce planning, performance management, and ensuring alignment of departmental activities with organizational priorities and objectives. This is a multi-faceted role that involves considerable collaboration and relationship building, as well as functional tasks with organized, consistent execution. The Director of Compliance provides compliance insight and advice to all internal CSD operational units on a daily, functional basis and ensures CSD and its subsidiaries adhere to legal guidelines, regulations, contractual requirements, and company policies. This role is responsible for developing and overseeing a compliance and ethics program designed to reduce corporate liability and risk and proactively prevent violations, evaluating the efficiency of the program and improving it continuously, and monitoring its enforcement through the use of various systems, processes, and functions, including the compliance management system. The Director of Compliance is responsible for the following compliance and ethics programs: the CSD Ethics Hotline, the CSD compliance management system, and the internal auditing function.

• Manages and leads the compliance and ethics program in order to manage risk and collaborates with administrative and business units to monitor and track their compliance with legal guidelines, regulations, contractual requirements, and internal company policies
• Directs CSD’s compliance management system , overseeing changes in system configurations, responding to and solving CSD user questions, developing resources (e.g. guides and trainings) to drive user adoption and usage, ensuring timely completion of compliance obligations and tasks through oversight activities and diligent reminders and communications, and leading design, implementation, and onboarding of new applications on the platform
• Manages the CSD Ethics Hotline , overseeing user account access and training, developing and distributing organization-wide communications to raise awareness, reviewing reports and recommending actions to be taken, leading investigations preparing investigation reports, recommending and documenting disciplinary actions
• Leads overall internal auditing function, identifying, reviewing, and recommending needs for audit implementation, developing framework for new audit processes and overseeing implementation, regularly reviewing and improving existing audit processes, collaborating with Compliance team members and administrative and business units in the execution of audits, compiling clear, concise, and analytical audit data reports with remediation plan recommendations for identified critical deficiencies
• Responsible for compliance-specific policies and assists with CSD policies owned by other administrative and business units through policy development and reviews, ensures adherence to policies through audits and communications
• Oversees compliance communications and trainings, identifying critical compliance areas, developing creative and engaging resources to educate and inform CSD workforce and reduce risks, and measuring effectiveness through focused metrics and outcomes, including but not limited to training activity and completion, knowledge assessments, and reduction in violations
• Leads CSD’s efforts to manage organizational risk, including coordinating across departments to identify and address risks, and supporting ongoing assessments and actions to resolve issues
• Oversees business, fundraising, and other required compliance registrations in conjunction with the Compliance team
• Advises management on CSD’s compliance with laws and regulations through detailed reports; identifies, researches, and summarizes compliance issues for CSD divisions and subsidiaries
• Regularly reviews company procedures, practices and documents to identify possible weaknesses or risks
• Collaborates with external auditors when needed and assists with ad hoc investigations into identified or reported risks
• Other duties as assigned.

To perform the essential functions of this position successfully, an individual should demonstrate the following competencies:

• The ability to understand business goals and recommend new approaches, policies, and procedures to effect continual improvements in business objectives, productivity, and development
• Strong business acumen and knowledge of compliance and/or audit procedures in a fast-paced environment
• Composure and professionalism in crisis situations; strong ethical compass, with a commitment to integrity and transparency
• Superior ability to multi-task and work well independently and in a team, with broad latitude for decision-making
• Self-starter with excellent organization skills and high attention to detail
• Excellent time management skills and the ability to meet deadlines
• Records management and retention knowledge
• Excellent verbal and written communication skills, including presentations, while maintaining high integrity and professional ethics
• Thorough understanding of CSD’s principles, policies and current procedures

Qualifications

• Bachelor’s degree in law, finance, business management or related field from an accredited college or university; or equivalent professional experience. Masters degree preferred
• 4-6 years professional experience managing contracts, policies, and procedures
• Ability to communicate effectively using American Sign Language (PREFERRED)
• 4 years of professional experience in a compliance officer role (PREFERRED)
• CCEP or other professional compliance and ethics certification (PREFERRED)