Develops initiates, maintains, and revise policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program.
Develops and periodically reviews and updates Standards of Conduct to ensure continuing relevance in providing guidance to management and employees.
Collaborates with other departments (e.g., Operations, Training, Quality Assurance etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
Responds to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations and maintain confidentiality of sensitive information.
Acts as a collaborative review and evaluation body to ensure that compliance Issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.