Richard A. Raphael Email & Phone Number

Windsor, Ct

Leadership and subject matter expertise, ensuring conformance with laws, regulatory requirements, policies, and procedures, including implementation and achievement of standards and procedures, and effectively and efficiently identifying, preventing, detecting, and correcting noncompliance with applicable laws and regulations.

Northampton, Ma

Developed and oversaw compliance program based on the Federal Sentencing Guidelines for a venture-backed leading national medical provider of substance abuse services with more than 40 centers throughout the United States including physician-owned and independent laboratory, and electronic medical records technology company/subsidiary. Maintained healthy working relationship with billing, patient support services, finance, and operations functions (corporate and field).- Directed enterprise-wide compliance initiatives, influencing organization's substance abuse treatment practice while overseeing three FTE (compliance and privacy specialist and compliance internal auditors I and II).- Developed organization's first policies and staff training initiatives to ensure compliance with various applicable regulations (e.g., 42 CFR Part 2, Substance Control Act) and standards (e.g., CARF, payor policies).- Crafted and implemented annual compliance plans and budgets to accomplish organizational compliance objectives.- Delivered quarterly report to Board of Directors' Compliance Committee and served as a key member and co-chair of Policy Committee.

Warwick, Rhode Island

Daily management of compliance program for 45-year-old federally qualified community health center serving more than 40,000 patients, offering medical and dental services to communities throughout Rhode Island. Monitored and administered compliance with federal, state, and local regulations. Served as liaison to government agencies and coordinated site visits for regulators. Investigated potential compliance violations and implemented corrective action as necessary. Maintained healthy working relationship with administration, billing, and operations functions.- Allied with senior leadership to develop organization's policies and procedures to ensure compliance with various applicable regulations (e.g., Section 330, 340B Drug Program, FTCA) and standards (e.g., Joint Commission, HRSA, federal poverty guidelines).- Re-engineered event/incident reporting process (online database tracking) to created compliance and risk tracking and assessment reporting process.

Mansfield, Massachusetts

(Formerly Covidien, acquired by Medtronic on June 15, 2014)Managed daily compliance operations (based on Federal Sentencing Guidelines) for $11B medical device and pharmaceutical company (est. 42,000 employees) with an operational footprint covering twenty-six (26) other countries. Supported Office of the Ombudsman on compliance initiatives and projects. In partnership with corporate marketing, developed and distributed global corporate compliance and ethics communications/newsletter. Oversaw records management program (US and non-US-territories) including Internet-based records management system. Company-wide compliance e-learning system administrator for corporate compliance and ethics topics (e.g., code of conduct, ethics, AdvaMed Code, conflicts of interest, etc.) along with the creation of specialized content (e.g., video and interactive). Liaise with Business Units, Vendors, Function Area representatives and/or Divisional Compliance SME. Support of corporate policies and procedures including policy updates including new policy development, communications, and deployment.- Re-engineered and improved the records management program relating to U.S. operations. - Oversaw the cleanup and disposal of a million records located throughout the U.S.-based locations and transfer to non-United States location. - Participated in the editing and managed the global update of the business conduct guidelines and related training in 27 countries including the U.S.

Providence, Rhode Island Area

Managed global ethics and compliance program (based on Federal Sentencing Guidelines) including Helpline investigation for $1B consumer and commercial finance company and wholly-owned subsidiary of Textron, Inc. Managed compliance personnel work assignments, responsible for daily decision-making (e.g., recruitment input, training, and assignment of projects) and goal setting, and performance evaluations for direct reports. Led licensing operations for commercial and consumer lending operations. Implemented and maintained the company-wide reporting system to facilitate disclosure of violations of the code of conduct, law and/or policy and procedure. Led annual compliance risk management initiatives. Monitored, tracked and investigated global Helpline reports of suspected or known violations of the company’s Business Conduct Guidelines. Enterprise-wide oversight of the compliance information system, ethics and compliance education and training system, as well as planning and execution of employee training schedules. - Successfully lead the organization through more than twenty (20) external regulatory license examinations and audits for licenses covering residential and commercial lending activities as well as insurance and debt collections.- Instrumental in the revision and management of the global update of the Business Conduct Guidelines and related training in several countries including the U.S.- Maintained licensing and corporate governance processes for more fifty (50) independent operating corporate entities.

Providence, Rhode Island Area

Special Projects Assistant to the VP & General Counsel of Brown U. for Environment Protection Agency (EPA) enforcement action. Managed several special projects in support of University compliance with EPA settlement agreement.- Brokered first known application service provider (chemical environmental management system) agreement of its kind between two (2) institutions of higher education.- Managed resources (human and equipment) and budget ($350k) for innovative environmental projects involving secondary education and institution of higher education. Referenced in:The United States, Environmental Protection Agency (EPA). (2007). Building Successful Programs to Address Chemical Risks in Schools: Recommendations from an Evaluation of Selected Schools Chemical Management Programs. URL:Nickel, M. (2001). Providence public schools are beneficiaries of Brown’s EPA settlement. Retrieved from Brown University website: http://www.brown.edu/Administration/News_Bureau/2001-02/01-061.html

Beverly, Ma

An integral member of the legal team, primarily responsible for assisting the Vice President and General Counsel of Insurance Holdings of America Inc. (IHA) in compliance with applicable federal and state law as well as all aspects of the corporate secretary function (e.g., Board matters, subsidiary maintenance, etc.). IHA was a venture-backed Internet-based development and distribution company that revolutionized the way information is shared and processed between insurance distributors and insurance providers. IHA was the parent organization for wholly-owned subsidiaries Consumer Insurance Services of America, Inc. (CISA) and Insurance Technology Services of America, Inc. (ITSA). • Developed, maintained and administered processes and systems in support of internal business clients – this includes contract management, document retention, litigation, policies & procedures, and corporate minutes.• Collaborated with internal and external partners to develop and maintain business processes with legal, governance or compliance implications.

Bocoknows.Com

Business consulting in financial services, healthcare and biotech with a focus on governance, compliance, risk, managed services, and special projects.

Post-Graduate Education

Education record

Mba In Global Leadership

Bs

Certificate

Post-Graduate Education