Director Compliance

Riverbay Corporation•New York, NY

About The Position

Essential Job Duties and Responsibilities Develop and maintain a comprehensive compliance program for Riverbay Corporation, including conducting enterprise-wide risk assessments to identify, evaluate, and mitigate regulatory and operational risks. Oversee the implementation of compliance programs and activities within Riverbay Corporation, including evidence-based compliance reviews and monitoring effectiveness of internal controls and corrective actions. Develop and review standard operating procedures designed to support compliance with legal, regulatory, and financial requirements and standards, including developing and implementing training programs for internal staff and subcontractors such as Contractor Debarment, Data Privacy and Protection, Information Security, Document Retention, and the Shareholder Selection Plan. Assure that Riverbay Corporation follows all new laws, regulations, and directives. Conduct and oversee investigations of allegations of noncompliance, including coordinating responses to regulatory examinations, audits, and inquiries, and overseeing implementation of corrective action plans. Direct and collaborate in the development of compliance educational and training programs so that employees and management are knowledgeable of Riverbay policies and pertinent federal, state, local standards. Oversee, train, and manage staff that report to the Director of Compliance. Ensure that city, state, federal laws and regulations and Riverbay policies are adhered to. Develop an annual compliance work plan that reflects Riverbay Corporation’s responsibility to administer programs and services in compliance with city, state, federal, and Riverbay Shareholders requirements and consistent with the highest ethical standards. Lead and facilitate a Compliance Steering Committee to advise of compliance program design, operations, and incidents and responses while supporting and nurturing a culture of compliance and integrity. Oversee and conduct monitoring and auditing compliance with applicable policies, procedures, and standards by City, State and Federal agencies and contracted providers, using performance indicators and business analytics, and ensure timely remediation of identified deficiencies. Oversee the tracking and management of violations issued by city and state agencies, including coordinating responses, corrective actions, hearing appearances, payment of fines, and final resolution. Serve as project manager for compliance-related initiatives arising from new or amended laws and regulations, including coordinating cross-functional implementation efforts. Meet periodically with representatives from the Office of Internal Audit to discuss ongoing reviews, projects, risks, and observations. Serve as Riverbay’s point of contact for all matters relating to compliance and responding to all inquiries/questions from governing entities. Prepare and present clear, concise compliance reports for the General Manager and other department heads as necessary. Ensure the implementation of strong internal controls and report any discrepancies to the leadership team in a timely manner. Oversee adequate record maintenance and ensure processes are in place to document compliance efforts. Perform miscellaneous job-related duties as assigned.

Requirements

Bachelor’s degree in finance, business management, or similar field. A Master’s degree or JD preferred.
At least eight (8) years of compliance or related experience with increasing responsibilities.
Four (4) or more years of direct management experience preferred.
Three or more years of relevant work experience in compliance environment.
Knowledge of laws, regulations, and standards relevant to financial, business and service activities of Riverbay and its affiliates.
Highly organized and able to prioritize multiple projects and tasks.
Excellent communication and facilitation skills.
Strong business writing and editing skills.
Ability to provide education and training on program requirements, agency policies, and procedures to Riverbay employees on all levels, contracted providers, and other interested parties.
Substantial experience operating a compliance or auditing programs for a complex organization.

Nice To Haves

A Master’s degree or JD preferred.
Four (4) or more years of direct management experience preferred.

Responsibilities

Develop and maintain a comprehensive compliance program for Riverbay Corporation, including conducting enterprise-wide risk assessments to identify, evaluate, and mitigate regulatory and operational risks.
Oversee the implementation of compliance programs and activities within Riverbay Corporation, including evidence-based compliance reviews and monitoring effectiveness of internal controls and corrective actions.
Develop and review standard operating procedures designed to support compliance with legal, regulatory, and financial requirements and standards, including developing and implementing training programs for internal staff and subcontractors such as Contractor Debarment, Data Privacy and Protection, Information Security, Document Retention, and the Shareholder Selection Plan. Assure that Riverbay Corporation follows all new laws, regulations, and directives.
Conduct and oversee investigations of allegations of noncompliance, including coordinating responses to regulatory examinations, audits, and inquiries, and overseeing implementation of corrective action plans.
Direct and collaborate in the development of compliance educational and training programs so that employees and management are knowledgeable of Riverbay policies and pertinent federal, state, local standards.
Oversee, train, and manage staff that report to the Director of Compliance.
Ensure that city, state, federal laws and regulations and Riverbay policies are adhered to.
Develop an annual compliance work plan that reflects Riverbay Corporation’s responsibility to administer programs and services in compliance with city, state, federal, and Riverbay Shareholders requirements and consistent with the highest ethical standards.
Lead and facilitate a Compliance Steering Committee to advise of compliance program design, operations, and incidents and responses while supporting and nurturing a culture of compliance and integrity.
Oversee and conduct monitoring and auditing compliance with applicable policies, procedures, and standards by City, State and Federal agencies and contracted providers, using performance indicators and business analytics, and ensure timely remediation of identified deficiencies.
Oversee the tracking and management of violations issued by city and state agencies, including coordinating responses, corrective actions, hearing appearances, payment of fines, and final resolution.
Serve as project manager for compliance-related initiatives arising from new or amended laws and regulations, including coordinating cross-functional implementation efforts.
Meet periodically with representatives from the Office of Internal Audit to discuss ongoing reviews, projects, risks, and observations.
Serve as Riverbay’s point of contact for all matters relating to compliance and responding to all inquiries/questions from governing entities.
Prepare and present clear, concise compliance reports for the General Manager and other department heads as necessary.
Ensure the implementation of strong internal controls and report any discrepancies to the leadership team in a timely manner.
Oversee adequate record maintenance and ensure processes are in place to document compliance efforts.
Perform miscellaneous job-related duties as assigned.