Compliance Director

Job Description

General Purpose of the Job:

The Compliance Director will manage the day-to-day work on risk and compliance matters by providing direction and oversight of the organization’s performance improvement through data, quality, and compliance measurements. In a direct daily hands-on manner, the incumbent will be responsible for establishing a Compliance Plan that oversees, prevents and/or detects violations of law, regulations, policies, or Code of Conduct by estimating, forecasting and anticipating requirements, evaluating trends, establishing critical audits and measurements, accumulating resources, and resolving problems reasonably and realistically.

Essential Duties and Responsibilities:

• Partner with and consult directors, management, senior management and operations to review regulatory, governmental, and contractual requirements and implement appropriate internal auditing and compliance and procedures to ensure the organization is meeting compliance standards according to federal, state, and local law, regulations, and third-party guidelines and in the delivery of services and documentation.
• Collaborate with Department Heads to conduct risk assessments and develop work plans to address identified risks to ensure that internal controls are capable of preventing and detecting significant instances or patterns of illegal, unethical, or improper conduct and enforce adherence to department risk policies, procedures, and best practices.
• Serves as resources regarding compliance issues and responds to alleged violations by evaluating or recommending the initiation of investigative procedures.
• Act as an independent reviewer and evaluator to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
• Ensure proper reporting of violations or potential violations to duly authorized oversight and enforcement agencies as appropriate and/or required
• Analyze, compile, and summarize appropriate data, information, and trends for reporting purposes and validate results for dissemination while offering appropriate and pragmatic suggestions for improvement.
• Monitor and identify critical control points, audit, advise, and establish reasonable and realistic measures for corrective actions to minimize the impact of noncompliance.
• Regularly review the established Compliance Plan and recommend appropriate revisions and modifications, including presenting periodic and annual reports, holding quarterly compliance meetings and advising directors, management, senior management, and the Board of Directors of potential compliance risk areas.
• Collaborate with directors, management, and senior management Department Heads to identify effective training, including introductory and on-going training and a method for tracking compliance to address continuous quality improvement needs throughout the organization.
• Minimizes legal risks by understanding current and proposed legislation, enforcing regulations, recommending new procedures, and complying with legal requirements.
• Develop and coordinate appropriate compliance training and education programs for all employees.
• Manage systems that enable reports of any noncompliance without fear of retribution, ensuring that the reporting system is adequately publicized and ensure that allegations of noncompliance are investigated and responded to promptly.
• Operate as a final internal resource with which concerned parties may communicate after other formal channels and resources have been exhausted.
• Protects assets by tracking applicable laws and regulations that affect financial reporting and anticipating emerging compliance trends.
• Enhance compliance and organization reputation by bringing compliance recognition to the organization and providing leadership in the industry.
• Remain abreast of local, state, and federal law as it pertains to organizational business and industry.
• Stay abreast of regulatory requirements from all Federal, NY State, and NYC funders and regulatory and oversight agencies, including but not limited to ACS [Administration of Children’s Services], HRA [Human Resources Administration], DOHMH [Department of Health and Mental Hygiene], OCFS [Office of Children and Family Services], OMH [Office of Mental Health], DOH [Department of Health], OMIG [Office of Medicaid Inspector General], and HHS [Health and Human Services]; ensure updated regulations and guidance are appropriately communicated to the directors, management, senior management of the organization.
• Maintain job knowledge by participating in educational opportunities, reading professional publications, and participating in professional organizations.
• Performs additional responsibilities as directed and needed.
  
  

Position Parameters [other measurable factors]:

• Decision-making responsibilities:
• Decisions generally include oversight, management and coordination of compliance related concerns. Strong analytic skills and ability to rapidly assimilate complex information. Strong influencing skills with the ability to generate support and build consensus.
  
  

• Problem solving responsibility:
• Must be able to identify any issue through research and propose the resolution.
• Should possess a thorough understanding of industry requirements and transactions or related experience and all related departments’ roles in such transactions.
• Creativity and an out of the box approach are required to improve all areas of responsibility.
• Exceptional consulting skills with the ability to probe and listen to help clarify inquiries.
  
  

• Working relationships and contacts:
• Interact with other departments or divisions to ensure cooperation and the delivery of proper services.
• Strong interpersonal skills necessary to work with outside regulators or investors.
• A friendly, engaging personality a plus to work with internal departments to research and resolve compliance issues.
• Must be able to present and explain documentation to senior management and management in control functions.
  
  

• Impact/importance of function:
• Demonstrated critical ability to facilitate and conduct activities around the organization’s compliance matters with an ultimate resolution in order to stay within regulatory guidelines and prevent future related risks. Maintaining accurate records can minimize regulatory exposure, as well as reputational risks.
• Develops functional and practical compliance strategies that align with organizational objectives by contributing information, analysis, and making beneficial recommendations of policies, and procedures to senior management, department heads, colleagues, and other stakeholders.
• Proven hands-on responsibility for the full scope of an administrative management/leadership position.
  

Position Requirements and Minimum Qualifications:

• Job-related knowledge:
• Deep knowledge of non-profit operational and quality assurance practices for human services organizations.
• Direct work experience within a nonprofit organization and governmental contract knowledge is required.
• Demonstrated experience interacting with regulators and managing program audits.
• Extensive knowledge of federal/state laws impacting industry such as Department of Homeless Services [DHS], Office of Temporary and Disability Assistance [OTDA], and Department of Labor (DOL).
• Excellent business judgment and willingness to learn new practice areas.
• In-depth understanding of the industry including risk management, compliance, and regulatory requirements.
• Job-related skills, including language, mathematical, and reasoning (analytical) skills:
• Communicate effectively and establish credibility throughout the organization with Senior Management, department heads, colleagues, and stakeholders as an effective developer of solutions to business compliance challenges and potential risk.
• Demonstrated ability to understand and work with analytical tools, reports and technology.
• Must be highly detail oriented with excellent evaluative and mathematical skills.
• High level of computer proficiency in MS Office: Outlook [email system] Word, Excel [with advanced level knowledge], PowerPoint, Adobe, internet navigation, and the ability to learn new technologies and databases.
  
  

• Intellectual, creative, and/or communication abilities:
• Ability to act as liaison among a range of internal customers, manage by influence demonstrating strong communication, relationship management, organizational and analytical skills.
• Equal ability to work independently or as part of a multi-functional team in reviewing business and contractual requirements output and adherence to company policy and regulatory directives.
• Highly ethically motivated and results-oriented, proven creative problem solver with positive respectful proactiveness.
• Utilize demonstrated good judgment and discretion in the handling of confidential information.
• Strong interpersonal, management, supervisory, and leadership skills with an excellent change management approach.
• Excellent time and project management with strong follow-up skills, with the ability to prioritize and manage multiple tasks assigned efficiently.
• Superior written and oral communication, organizational, and presentation skills.
• Ability to work in a dynamic, rapidly changing environment, adapting to multiple and shifting required priorities and collaborating with a wide range of colleagues to deliver expected results.
• Must have incredible initiative, the ability to work well under pressure, and the ability to be flexible and work both independently and as part of a team to complete complex projects in a fast-paced environment.
• Must be adept and comfortable with crisis management.
• Critical thinking, analytical and problem-solving skills as well as resourcefulness.
  
  

Licenses, certifications and degrees:

• A master’s degree in business, management, legal, or equivalent field.
• A minimum of (15) years of experience in compliance management industry, or related entity, is required, including at least ten (10) years of direct management and supervisory experience.
• Working knowledge of U.S. regulations and requirements applicable to industry.
• Certified Compliance and Ethics Professional (CCEP), and/or Certified Risk and Compliance Management Professional (CRCMP), and/or Governance, Risk and Compliance Professional (GRCP) certifications are required.
• Other:
• May be required to work long hours and a varied schedule.
• Travelling throughout various locations in the New York City area.
• Lifting and moving objects weighing up to 30 pounds several times a week.
• Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
  
  

EEO Statement – Children’s Rescue Fund is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, gender identity, sexual orientation or protected veteran status.