Senior Director, Compliance
Strategically plan, initiate and execute corporate initiatives and process improvements to maintain and enhance the corporate compliance and ethics program. Full management responsibilities of direct reports. Senior leader within the organization, promoting an ethical culture that is aligned with the Code of Conduct standards and mitigating risks to the organization. ~Develop, practice, and maintain an effective compliance and ethics program. Strategically plan and implement enhancements.~ Oversight of operations of the regulatory change management program.~ Development of comprehensive strategies and written plans to deliver an effective corporate training program on compliance related topics. ~ Oversight of operations and enforcement of the compliance training program, resulting in training completion rates of 100%.~ Consult cross-functionally to ensure awareness, understanding, and management of the risks inherent across the organization. Develop creative solutions that meet both regulatory and business objectives.~ Recommend, coordinate and collaborate with subject matter experts cross-functionally to develop, maintain and implement policies, procedures and process improvements.~ Represent the compliance department as the business plan owner of the business continuity plan.~ Represent compliance in response to live audit interviews, respond to RFPs, state report inquiries, company financial exams, independent and client audits, and accreditation or standards questionnaires.~ Utilize project management methodology concepts to oversee or facilitate various compliance projects.~ Oversight and collaboration with a team to plan, develop, organize and execute employee events for compliance and ethics week. Deliver easy to understand principles which are designed to encourage employee participation in a fun and engaging manner.~ Consult with in-house attorneys to resolve legal risks and concerns.
