Senior Manager, Compliance

Trulieve•Scottsdale, AZ

3d•Onsite

About The Position

Directs and oversees the Regulatory and Compliance organization, providing overall responsibility for product compliance with all applicable regulations. Develops and monitors programs, policies, and practices to ensure that the organization is in in compliance on current and new product offerings. Tracks relevant laws and regulations and directs staff to update operating manuals, required changes to the product, and procedural documents in preparation for upcoming regulatory changes. Prepares compliance status reports for internal leadership and regulatory agencies as required. The Compliance Director is an exempt position and reports directly to General Counsel.

Requirements

Bachelor’s degree in law, finance, business administration, or a related field; Master’s degree preferred
5+ years’ experience working with global product regulatory requirements
5+ years’ experience as a compliance manager, or related position
3+ years’ experience managing operating budgets or financialsIntegrity and professional ethics
Strong knowledge of market regulatory field, with proven success in the risk management field
Proficient computer skills, including Microsoft Office Suite and SharePoint
Certified Compliance & Ethics Professional (CCEP) documentation required
Excellent verbal and written communication skills; able to write and edit company policies
High level of engagement with stakeholders and third parties; able to mentor and lead compliance officers
Accurate and precise attention to detail

Nice To Haves

People Management
Dealing with Complexity
Developing Budgets
Requirements Analysis
Operations Research
Developing Standards
Legal Compliance
Technical Leadership
Quality Management
Financial Planning and Strategy

Responsibilities

Monitor and assess current projects for compliance risks
Conduct periodic internal reviews or audits to ensure that compliance procedures are followed
Assess product, compliance, or operational risks and develop risk management strategies
Evaluate all business activities relating to compliance, including policies, investments and partnerships
Conduct or direct the internal investigation of compliance issues
Monitor and report results of the compliance and ethics efforts of the company
Create, implement and disseminate company policies and procedures as well as establish reliable internal controls
Maintain and develop KPIs supporting regulatory issues
Verify that software technology can adequately provide oversight and monitoring in all required areas
Develop plans for crisis events or compliance violations
Participate in new hire and employee onboarding and training on legal and compliance
Present audits, data, and procedures to other teams; advise on compliance issues across the company
Provide reports on a regular basis (at least quarterly) and as directed or requested, to keep the Board of Directors and senior leadership informed of the operation and progress of compliance efforts
Partner with company leadership to review potential future compliance red flags or risks; leverage strong interpersonal relationships between departments and teams for total compliance monitoring and audits
Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations
Develop and periodically review and update Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees
Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities
Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required
Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems
Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes; attend regulatory seminars
Design or implement improvements in communication, monitoring, or enforcement of compliance standards
Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated
Proactive in understanding and educating changing regulations, laws, and best practices, as they apply to the business and industry