Compliance Director - Wine
- Location: Manhattan
- Salary: Negotiable per year
- Job Type:Full Time
Posted 28 days ago
Job Number: 2158203
Seeking a Director of Compliance with wine industry experience to oversee the Compliance Programs and be responsible for understanding and implementing regulatory and legal procedures and policies.
This position ensures that the management and employees are in compliance with the rules and regulations of applicable regulatory agencies, that company policies and procedures are being followed and that behavior in the organization meets the company's standards of conduct.
* Develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Programs and related activities to prevent illegal, unethical, or improper conduct.
* Develops and periodically reviews and updates Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.
* 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.
* Acts as an independent review and evaluation body to ensure that compliance Issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
* 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.
* Provides reports on a regular basis, and as directed or requested, to keep senior management informed of the operation and progress of compliance efforts.
* Works with the Human Resources Department and others 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.
* Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
* Collaborates with other departments to direct compliance issues to appropriate existing channels for investigation and resolution.
* Monitors the performance of the Compliance Programs and related activities on a continuing basis, taking appropriate steps to improve effectiveness.
Knowledge and Experience
* Bachelor's degree from an accredited college or university with a concentration in Business, Finance, Public Administration or related area (J.D. degree preferred)
* Minimum of 3-5 years experience in direct investigative discipline, application and interpretation of laws and regulations, and compliance management. (Collection Industry preferred)
* Demonstrated leadership ability
* Ability to communicate effectively orally and in writing.
* Understanding of risk management, and performance improvement helpful
Skills and Abilities
* Excellent analytical and interpersonal skills to identify issues, evaluate problems, policies, procedures and formulate an effective course of action
* Strong leadership and motivational skills
* Commitment to accountability and transparency
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