ESSENTIAL JOB FUNCTIONS
• Oversees the day-to-day operations of organization’s Compliance programs. Manages programs, policies, and practices to monitor and ensure compliance with the laws, regulations and rules of federal, state, and self-regulatory organizations.
• Assesses, prioritizes and manages identified risks. Refers more complex matters to more senior management.
• Coordinates and conducts investigations of non-compliance and / or potential violations of corporate policy, applicable laws and / or regulations. Recommends the appropriate response and / or actions.
• Recommends proactive measures that will reduce the risk of violations and / or non-compliance.
• Participates in documenting and communicating programs, policies and procedures. Provides appropriate training programs.
• Provides advice / counsel to management on Compliance matters.
• Ensures department’s record keeping systems are updated and maintained appropriately.
• Acts as a liaison between the organization and regulatory agencies.
• Ensures that effective business relationships with Managers / coworkers are developed and maintained.
• Participates in developing team objectives and in meeting performance targets. Monitors activities as necessary to ensure performance standards are met or exceeded.
• Requests or generates and analyzes management reports to track and assess unit performance, process flow, customer satisfaction and other business metrics.
• Develops and oversees internal controls to ensure accuracy, timeliness and quality of work. Makes recommendations to improve processes and procedures.
• Has responsibility for performance, development and coaching of staff (hiring, firing, performance management, pay increases, etc.). Provides training for new members to the team / unit.
• Performs other duties as assigned

JOB PROFILE
Education: Bachelor’s Degree or the equivalent years of education and experience required.
Field of Study: Business, Liberal Arts, or related discipline
Experience: 5 or more years of Compliance or insurance / securities related experience, including previous supervisory experience. Continuing progress toward and/or the completion of an Associate Insurance Regulatory Compliance (AIRC) designation
Scope of Job: Relies on experience and judgment to accomplish goals. Implements and administers policy under the direction of higher-level management.