Compliance Vice President

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Requisition ID: 129698
Job Category: Legal
Location: United States-California-Irvine-5 Park Plaza Suite 1100 Irvine 92614
Posted Date: 2/19/2018 2:05:04 PM

Key Job Responsibilities

 

  • Develop, initiate, maintain, and revise policies and procedures for the general operation of the Compliance Program and its related activities to prevent and detect improper conduct. Manage the day-to-day operation of the Compliance Program.
  • Develops and periodically reviews and updates the Code of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.
  • Build and direct a comprehensive incident management system, including hotline, providing the organization a system to capture, investigate, manage and ensure action plans are established and completed for ethics and compliance matters across the organization.
  • Respond to alleged violations of rules, regulations, policies, procedures, and Code of Conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for consistent handling of such violations.
  • Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
  • Lead the company’s enterprise risk management efforts to Identify potential areas of vulnerability and impact; develop/implement risk responses to mitigate risks more effectively;
  •  Coordinate compliance risk assessment to drive compliance program priorities and plan
  • Provide reports on a regular basis, and as directed or requested, to senior management informed of the operation and progress of compliance efforts.
  • Institutes and maintains an effective compliance communication program for the organization, including promoting (a) use of the Hotline; (b) heightened awareness of the Code of Conduct, and (c) understanding of new and existing compliance issues and related policies and procedures.
  • Works with various functions as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.  Lead cross functional team to review corporate wide training needs.
  • Monitor the performance of the Compliance Program and activities on a continuing basis, taking appropriate steps to improve its effectiveness.
  • Special projects as requested
  • Other duties as assigned

 

Key Job Responsibilities

 

  • Develop, initiate, maintain, and revise policies and procedures for the general operation of the Compliance Program and its related activities to prevent and detect improper conduct. Manage the day-to-day operation of the Compliance Program.
  • Develops and periodically reviews and updates the Code of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.
  • Build and direct a comprehensive incident management system, including hotline, providing the organization a system to capture, investigate, manage and ensure action plans are established and completed for ethics and compliance matters across the organization.
  • Respond to alleged violations of rules, regulations, policies, procedures, and Code of Conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for consistent handling of such violations.
  • Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
  • Lead the company’s enterprise risk management efforts to Identify potential areas of vulnerability and impact; develop/implement risk responses to mitigate risks more effectively;
  •  Coordinate compliance risk assessment to drive compliance program priorities and plan
  • Provide reports on a regular basis, and as directed or requested, to senior management informed of the operation and progress of compliance efforts.
  • Institutes and maintains an effective compliance communication program for the organization, including promoting (a) use of the Hotline; (b) heightened awareness of the Code of Conduct, and (c) understanding of new and existing compliance issues and related policies and procedures.
  • Works with various functions as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.  Lead cross functional team to review corporate wide training needs.
  • Monitor the performance of the Compliance Program and activities on a continuing basis, taking appropriate steps to improve its effectiveness.
  • Special projects as requested
  • Other duties as assigned

 

 #LI-POST

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