Experience
5-7 yrs required
Location
Schenectady, NY, United States
Posted on
Sep 28, 2020
Profile
Senior Director - Regulatory Compliance
Duties: In collaboration with Group’s leadership team lead the design and implementation the Company’s enterprise Risk Management program Develops, initiates, maintains, and revises policies and procedures for the general operation of the Corporate Compliance Program and its related activities to prevent illegal, unethical, or improper conduct, including establishment of a Compliance Work Plan; Manages day-to-day operation of the Corporate Compliance Program; Maintains Code of Conduct to ensure continuing currency and relevance in providing guidance to management and employees; Develops detailed Compliance Audit/Review Schedules to be updated on a quarterly basis; Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends; Conducts internal audits to identify potential areas of compliance vulnerability and risk, works with functional leaders to develop and implement corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future; Collaborates with other designated individuals to ensure policies and procedures relating to (cyber) privacy and security are developed, implemented and maintained for hardware, software and telecommunication systems. Ensures SIG is compliant with specific country, federal and state laws related to privacy, security confidentiality and protection of information resources (e.g GDPR). Develops procedures for documenting and reporting self-disclosures of any evidence of violations via the appropriate legal channels. Provides reports on a regular basis, and as directed or requested, keeps the Chief Executive Officer and other members of the Executive Leadership Team informed of the operation and progress of compliance efforts; Collaborates with other departments (i.e., Information Systems and Human Resources) to direct compliance issues to appropriate existing channels for investigation and resolution; Consults with qualified legal counsel to resolve difficult legal compliance issues, as needed; Responds 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 uniform handling of such violations; Acts as an independent review and evaluation body to ensure that compliance issues and concerns within the organization are being appropriately evaluated, investigated, and resolved; Ensures proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate or required; Establishes and provides direction and management of the compliance hotline; Institutes and maintains an effective compliance communication program for the organization, including promoting: (a) use of the compliance hotline; (b) heightened awareness of Standards of Conduct, and (c) understanding of new and existing compliance issues and related policies and procedures; Works with the Human Resources Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees and ongoing training for all employees and managers; Monitors the performance of the Compliance Program and related activities on a continuing basis, taking appropriate steps to improve its effectiveness; and Participates in Executive Leadership Team (ELT) sponsored meetings, employee trainings, and other meetings as assigned/needed.
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