Job Description:

Our client is looking for a Director of Compliance to join their team.  The Director of compliance will oversee, monitor, enhance, and sustain the company’s ethics and compliance program. Also, they will establish, review, and enforce policies and procedures and training and education programs that encourage ethical behavior and compliance with the company’s Code of Conduct and the Code’s policies and procedures.


  • Manage and respond to ethics questions from employees and management, ensuring that issues are appropriately handled, assigned for investigation, discussed with appropriate members of leadership, and resolved in compliance with feedback received, company values, and internal policies and procedures
  • Lead and coordinate an effective mechanism for tracking of changes in the compliance environment (including to the Federal Sentencing Guidelines); assign ownership for evaluation of impact of any change, assisting as needed with interpretation; and, if changes are needed, oversee planning and implementation
  • Educate operations about the “Right thing to do” value and consistently operating with integrity
  • Direct and execute the Company’s regulatory and compliance efforts as outlined, in consultation with the Chief Executive Officer and Chief Compliance and Officer
  • Contribute to an effective, appropriate, and regular company-wide risk identification and assessment process
  • Lead project teams in planning and implementing initiatives, on time and on budget, where no compliance lead exists or for cross-operational projects
  • Ensure employees receive regular training and education on ethical behavior and the Code of Conduct, review ethics related concerns and questions, provide recommendations on resolution to the ethics council, and communicate outcomes and answers
  • Build an effective and innovative ethics program that focuses on maintaining and improving a culture of integrity
  • Work with a cross-functional team, develop, and maintain an effective compliance training program (live and online) in support of the Code of Conduct and other legal training requirements
  • Create reports and/or dashboards for Senior Management and the Board of Directors concerning the Code of Conduct and various initiatives, including preparation of reports to the Audit Committee
  • Develop and maintain a thorough understanding of the organization’s various companies, lines of business, and operations, worldwide. Develop and maintain strong and effective working relationships with employees at all levels throughout the organization
  • Maintain memberships in and participate in appropriate compliance and ethics organizations, monitor developments in ethics and compliance, update the team including Chief Compliance and Integrity Officer, and identify and champion best practices as appropriate
  • The requirements herein are intended to describe the general nature and level of work performed by employee, but is not a complete list of responsibilities, duties, and skills required. Other duties may be assigned as required.


Education and Experience

  • Bachelor’s Degree
  • 6+ years of experience in a compliance, audit, or business process consulting role, with some portion of the time spent in a corporate audit, compliance, or legal department
  • 6+ years of strong program and project management experience including experience with change management and incorporation of business needs and practical realities into systems and process
  • 2 years of experience and success in supervising and motivating other professional staff
  • Experience leading multi-functional teams with members that are not direct reports
  • Certification and/or License Recognized compliance certification or the equivalent preferred

Knowledge, Skills and Abilities

  • Knowledge of and skill with Microsoft Office Suite and company computer systems, specifically Word, Excel, PowerPoint, and Outlook
  • Clear and concise oral and written English language communication skills
  • Excellent ability to communicate and influence effectively at all levels of the organization
  • Excellent judgment, critical thought, and the capacity to make decisions and give advice which demonstrates an understanding of the risk/rewards of each situation
  • Practical and creative problem analysis and resolution skills
  • Maturity and strong leadership skills with the capacity to articulate positions and provide direction
  • Excellent organizational and project management skills
  • Strong executive “presence” and the ability to quickly gain the confidence of clients, enhanced by a strong sense of team and outstanding people skills
  • Flexibility of style as a member of multi-disciplinary teams and as a business person
  • Integrity and commitment to the highest ethical standards and personal values, including proven ability to maintain confidentiality
  • Ability to simultaneously handle multiple assignments and prioritize work assignments as needed to meet client needs
  • Ability to see the big picture along with strong attention to detail
  • Ability to demonstrate a high level of passion and self-motivation
  • Must be able to read, write and speak English


  • 15%-25% (1-2 times per quarter)

Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com

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