VP of Compliance
Company: Coast Professional, Inc
Location: West Monroe
Posted on: February 22, 2021
Job Description:
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Summary The Vice President of Compliance will oversee the
Compliance department, functioning as an objective body that
reviews and evaluates compliance issues/concerns within the
organization. The Vice President of Compliance will oversees all
ongoing activities (including those undertaken by outside advisors)
related to the development, implementation, maintenance of, and
adherence to the organization's compliance program and policies and
procedures covering compliance and federal and state laws
governing, among other things, data security and receivables
management. The position ensures the Board of Directors, management
and employees are in compliance with the rules and regulations of
regulatory agencies, that company policies and procedures are being
followed, and that behavior in the organization meets the company's
Standards of Conduct. Job Duties and Responsibilities
- Develop, initiate, maintain, and revise policies and procedures
for the general operation of the Legal/Regulatory and Quality
Assurance Department and its related activities to prevent illegal,
unethical, or improper conduct. Manages day-to-day operation of the
department.
- Collaborates with other departments 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.
- 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.
- Institute and maintain an effective compliance communication
program for the organization, including promoting (a) use of the
Compliance Hotline; (b) heightened awareness of Standards of
Conduct, and (c) understanding of new and existing compliance
issues and related policies and procedures.
- 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 the performance of the Legal/Regulatory and Quality
Assurance Department and communicates activities on an ongoing
basis, taking appropriate steps to improve its effectiveness.
- Develop and implement a compliance program to improve the
Company's efficiency and quality of services, to ensure the
Company's compliance with all applicable laws, and to reduce the
Company's vulnerability to fraud, abuse and waste;
- To develop, coordinate, and participate in a multifaceted
educational and training program that focuses on the elements of
the compliance program and seeks to ensure that all employees and
management are knowledgeable of and are informed in a manner that
aids them in complying with pertinent federal, state and local
laws;
- To coordinate internal compliance review and monitoring
activities, including annual or periodic review of Company
departments;
- To independently investigate and to act on matters related to
compliance, including the design and coordination of
investigations, the initiation of a response to reports of problems
or suspected violations, and the application of necessary
corrective action with all corporate departments, providers, agents
and independent contractors; and
- To develop policies and programs that encourage managers and
employees to report suspected fraud and other improprieties without
fear of retaliation. Provides development guidance and assists in
the identification, implementation, and maintenance of organization
information policies and procedures in coordination with management
and the Executive Team.
- Performs initial and periodic risk assessments and conducts
related ongoing compliance monitoring activities in coordination
with the entity's other compliance, information technology and
operational assessment functions.
- Participates in the development, implementation, and ongoing
compliance monitoring to ensure all compliance concerns,
requirements, and responsibilities are addressed.
- Establish with management and operations a mechanism to track
access to protected information, within the scope of the
organization and as required by law and to allow qualified
individuals to review or receive a report on such activity.
- Works cooperatively with the IT Department and other applicable
organization units in overseeing rights to inspect, amend, and
restrict access to protected information when appropriate.
- Establishes and administers a process for receiving,
documenting, tracking, investigating, and taking action on all
complaints concerning the organization's policies and procedures in
coordination and collaboration with other similar functions and,
when necessary, legal counsel.
- Ensures compliance with practices and consistent application of
sanctions for failure to comply with policies for all individuals
in the organization's workforce, extended workforce, and for all
business associates, in cooperation with Human Resources, the
information security officer, administration, and legal counsel as
applicable.
- Initiates, facilitates and promotes activities to foster
information compliance awareness within the organization and
related entities.
- Serves as a member of, or liaison to, the organization's PPMS
Committee. Also serves as the information liaison for clients.
- Works with all organization personnel involved with any aspect
of release of protected information, to ensure full coordination
and cooperation under the organization's policies and procedures
and legal requirements.
- Maintains current knowledge of applicable federal and state
laws and accreditation standards, and monitors advancements in
information compliance technologies to ensure organizational
adaptation and compliance.
- Works with organization administration, legal counsel, and
other related parties to represent the organization's information
interests with external parties (state or local government bodies)
who undertake to adopt or amend legislation, regulation, or
standard.
- Other duties assigned by management. Security Information and
Physical Security is the responsibility of every employee. In your
position you are required to safeguard the computer systems by
following proper username and password management which includes
selecting challenging passwords and committing them to memory -
they should not be written down or stored where others can freely
have access. This also includes securing your desk and workstation
when you are not there - this includes locking your session and
putting sensitive paperwork away when not physically at your desk.
You are not to share your username or password with anyone. The
physical security of our offices of are equal importance, never
shadow or let someone shadow your entry into a Coast Professional,
Inc. facility - if this occurs quickly report this action
immediately. You are required to follow all Information Technology
policies and procedures in regard to the management of your system
accounts and equipment. If you witness any security violation you
should immediately report it to management. Qualifications
Education
- Bachelor's Degree.
- Credit & Collections Compliance Officer (3CO) credential or
similar confirming competence in compliance preferred.
- Equivalent combination of education and work experience may be
substituted for educational requirement. Experience
- Demonstrated organization, facilitation, communication, and
presentation skills.
- Demonstrates personal traits of a high level of integrity, team
orientation, professionalism, and trustworthiness. Places a high
value on ethical standards and treating others with dignity and
respect.
- A minimum of 10 years' experience within the debt collection
industry preferred. Knowledge
- Knowledge and experience in information compliance laws,
access, release of information, and release control
technologies.
- Knowledge of operational, financial, quality assurance, and
human resource procedures and regulations in the debt collection
industry.
- Knowledge in and the ability to apply the principles of project
management. Skills
- Excellent written and verbal communication skills.
- Modern office procedures, methods, and computer equipment.
- Microsoft Office (Excel Word, Outlook) at an intermediate level
required. Abilities
- Ability to undergo and pass a federal background check and drug
screen. Working Conditions Work may require frequent weekend and
evening work. This position has travel requirements and may require
overnight travel. The physical demands described here are
representative of those that must be met by an employee to
successfully perform the essential functions of this position.
Reasonable accommodations may be made to enable individuals with
disabilities to perform the essential functions. While performing
the duties of this position, the employee is regularly required to
talk or hear. The employee frequently is required to use hands or
finger, handle, or feel objects, tools or controls. The employee is
occasionally required to stand; walk; sit; reach with hands and
arms. The employee must occasionally lift and/or move up to 10
pounds. Specific vision abilities required by this position include
close vision, distance vision, color vision, peripheral vision, and
the ability to adjust focus. The noise level in the work
environment is usually moderate. Disclaimer This job description
reflects management's assignment of essential job functions but is
not intended to be a comprehensive list of all activities, duties
and responsibilities required by the job incumbent. Nothing in the
herein restricts management's right to assign or reassign duties
and responsibilities to this job at any time. This document does
not create an employment contract, implied or otherwise, other than
an "at will" relationship. Coast Professional, Inc. is an Equal
Opportunity/Affirmative Action Employer M/F/Vet/Disability. All
qualified applicants will receive consideration for employment
without regard to race, color, religion, sex, sexual orientation,
gender identity or national origin. Qualifications Education
Required High School or better. Equal Opportunity
Employer/Protected Veterans/Individuals with Disabilities The
contractor will not discharge or in any other manner discriminate
against employees or applicants because they have inquired about,
discussed, or disclosed their own pay or the pay of another
employee or applicant. However, employees who have access to the
compensation information of other employees or applicants as a part
of their essential job functions cannot disclose the pay of other
employees or applicants to individuals who do not otherwise have
access to compensation information, unless the disclosure is (a) in
response to a formal complaint or charge, (b) in furtherance of an
investigation, proceeding, hearing, or action, including an
investigation conducted by the employer, or (c) consistent with the
contractor's legal duty to furnish information. 41 CFR
60-1.35(c)
Keywords: Coast Professional, Inc, Shreveport , VP of Compliance, Executive , West Monroe, Louisiana
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