Head Of Compliance

• Jun 2022 - Present

As Head of Compliance I am primarily responsible for overseeing compliance within an organization, and ensuring compliance with laws, regulatory requirements, policies, and procedures. As the compliance leader and subject matter expert, the Head of Compliance is responsible for establishing standards and implementing procedures to ensure that the compliance programs throughout the organization are effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable laws and regulations. Provides reasonable assurance to senior management and the Board that there are effective and efficient policies and procedures in place, well understood and respected by all employees, and that the company is complying with all regulatory requirements. Reports directly to the Chief Executive Officer and Regulatory Counsel. - Defining the necessary level of knowledge on existing and emerging regulatory compliance requirements across the organization. - Developing the annual compliance work plan that reflects the organization's unique characteristics. - Periodically revising the compliance plan in light of regulatory changes. - Guiding in a productive, professional way, the compliance teams. - Overseeing and monitoring the implementation of the compliance program. - Providing guidance, advice, and training. - Providing strategic direction to the management team on compliance. - Preparing and presenting clear and concise compliance reports to the Board. - Interacting with regulators on compliance issues. - Coordinating efforts related to audits, reviews, and examinations. - Developing policies and programs that encourage managers and employees to report suspected fraud and other improprieties, without fear of retaliation. - Coordinating internal compliance review and monitoring activities, including periodic reviews of departments. - Independently investigating and acting on matters related to compliance. - Monitoring external review processes. Show less