Position Location: Denver Area, Colorado
Position Reports to: Chief Executive Officer
The Chief Compliance Officer is a strategic leader who is attuned to the ever-changing needs of our high growth and geographically expanding organization. This role will oversee the Company’s compliance and ethics programs and will be responsible for establishing, maintaining and promoting an effective Compliance and Ethics Program designed to prevent, monitor, detect and respond to compliance issues. This individual is responsible for making compliance an integrated part of the culture of the Company.
The Company:
We are representing the fastest growing provider of community development services in the nation. The company is a successful and fast growing 25-year-old firm with over 400 clients. It is rapidly expanding through organic growth and acquisition. The Company expects to increase 30% in size over the next 5 years. Privately held, the Company operates with strategic vision; not short-term investor driven and is backed by a leading Private Equity firm that champions its growth.
The Role:
This is a new position in the organization and a member of the Executive Leadership Team. Our search is centered around someone who has deep experience in developing and implement company compliance programs from scratch. We are looking for an individual who has a track record of successfully creating and integrating a compliance function into a complex environment. The Chief Compliance Officer is directly responsible for providing strategic leadership, vision, and ongoing support to the business units regarding compliance best practices and trends. This role works closely with all lines of business ensuring effective, efficient and sustainable controls and procedures are implemented by the business lines.
First year expectations:
- Conduct comprehensive risk assessment
- Design high level compliance program inclusive of policies & procedures
- Begin role out of compliance training program in partnership with Human Resources, Finance, specifically internal audit, and Legal.
Chief Compliance Officer responsibilities:
- Design a comprehensive compliance program that incorporates the U.S. Federal sentencing guidelines 7 elements
- Identify potential areas of compliance risk and implement corrective action plans for resolution of problematic issues
- Periodically review/update the Code of Conduct for continued relevancy and compliance with law and best practices wherever the company does business
- Develop/revise policies & procedures to advance the goals of the corporation and to prevent illegal, unethical, or improper conduct
- Design and roll out compliance trainings throughout the organization; including as appropriate and to meet best practices, inclusive of the Board
- Working with HR and other internal teams as needed, develop, edit and maintain an effective compliance communication program for the organization, including promoting use of the compliance hotline as and when appropriate; awareness of Code of Conduct, and understanding of new and existing compliance issues
- Respond to alleged violations of rules, regulations, policies, procedures, and Code of Conduct by evaluating or recommending the initiation of investigative procedures
- Monitor activities of other departments to remain abreast of the status of compliance activities
- Prepare annual compliance plan and accompanying budget
- Maintain independence from operations of the company so as to maintain independence in judgment and decision making in compliance related decisions
- As and when necessary, raise issues to the CEO, and as appropriate, provide reporting to the Chairman of the Board and/or Board of Directors
Compliance Officer requirements:
- Bachelor’s degree and advanced degree in either Law or Finance required;
- Experience heading an in-house Compliance role
- Experience formulating, modifying, and implementing policies and procedures
- Experience researching, interpreting, and applying Federal, State, and local laws and guidance, in order resolve questions, problems, or concerns
- Experience conducting and overseeing compliance reviews, and designing processes for high-risk compliance issues and institutional compliance gaps
- Experience maintaining and managing sensitive information
- Experience creating and monitoring policies and initiatives in order to support the organization’s mission and compliance best practices
- Experience in the strategic planning process including serving as a catalyst for organizational change, cultivating a shared vision with others, and motivating others to transfer vision into action
- Command of Anti-Bribery Anti-Corrupt and Anti-Kickback statutes
- Executive reporting experience including to Board of Directors is preferred
- Must operate as business partner to facilitate their success not impede it
- Excellent research and drafting skills
Relocation Policy:
- Full relocation paid by client
Application Process:
- Send CV as WORD document along with Current Compensation to: careers@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
