Purpose of Role

The Vice President of Compliance will support the Chief Compliance Officer in leading the compliance function across the organization. This role is critical to ensuring that the company operates within the law and adheres to all relevant regulatory requirements. The VP of Compliance will be responsible for developing, implementing, and monitoring compliance programs, policies, and procedures, as well as promoting a culture of compliance and ethics throughout the organization. The role requires close collaboration with senior management to align compliance initiatives with business objectives.

Responsibility Statements

• Leads and evaluates the effectiveness of compliance programs and recommend enhancements for continuous improvement.
• Ensures the company's compliance programs are proactive, robust, and capable of addressing current and emerging regulatory risks.
• Partners with the Chief Compliance Officer in overseeing the design, implementation, and maintenance of the company's compliance programs, including policies, procedures, and training.
• Collaborate with the Chief Compliance Officer to identify, assess, and prioritize compliance risks across the organization.
• Develops strategies and controls to mitigate identified risks and prevent compliance issues.
• Supports the Chief Compliance Officer in leading risk management initiatives and ensuring alignment with the company's overall risk management strategy.
• Partners with the Chief Compliance Officer to serve as a liaison with regulatory agencies, ensuring that the company meets all regulatory obligations.
• Stays informed on relevant laws, regulations, and industry standards, and communicate changes to the appropriate stakeholders.
• Leads timely and accurate reporting to regulatory bodies and other external stakeholders as required.
• Leads and implements the development and delivery of compliance training programs across the organization, ensuring employees are educated on compliance policies and procedures.
• Support the Chief Compliance Officer in fostering a culture of compliance through ongoing education, communication, and reinforcement of ethical standards.
• Oversees internal investigations of compliance-related incidents, ensuring that appropriate corrective actions are taken.
• Collaborates with the internal audit team and other relevant departments to conduct regular audits and assessments of the company's compliance programs.
• Champions the company's Code of Conduct and promote a culture of ethical behavior across the organization.
• Works closely with the Chief Compliance Officer and senior management to support corporate governance initiatives and ensure compliance with applicable governance standards.
• This position manages/supervises people.

• Bachelor's Degree, Juris Doctorate degree
• 12+ years of Legal experience
• 12+ years of experience in compliance, legal, or risk management roles
• 12+ years of experience (Director level and above) managing a team of attorneys and/or legal support professionals
• 12+ years of experience working closely with Senior leadership (VP and above)
• Deep understanding of regulatory requirements and industry standards relevant to company's operations
• Strong leadership and team management skills, with the ability to inspire and influence others
• Excellent communication and interpersonal skills, with the ability to build strong relationships with internal and external stakeholders
• High level of integrity, ethical judgment, and commitment to the company's values
• Strategic thinker with strong analytical and problem-solving abilities
• 2+ years of leadership experience (Director level and above) managing attorneys and professionals