Chief compliance officer job description

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Develops and champions an organization-wide strategy and vision for compliance and quality consistent with YAI's strategic goals and mission and creates a comprehensive and effective execution plan to support successful implementation. Develops an effective compliance, quality education and training program, including introductory training for all new employees, ongoing training for all employees and supervisors, and specialized training as needed. Designs, communicates, and executes initiatives designed specifically to promote awareness and understanding of compliance, quality issues, applicable laws and regulations, reporting requirements and the consequences of non-compliance. Ensures alignment of quality improvement and compliance initiatives with the organization's strategic plan and directs the day to-day execution of strategies and tactics implemented to improve outcomes and results for both the organization and the people we support and regularly evaluates for potential efficiencies and improvements. Promotes an awareness and understanding of positive ethical and moral principles, consistent with the mission, vision and values of YAI. Works closely with YAI Network Leadership in the establishment of key performance indicators (KPIs) and monitors trends to evaluate effectiveness, reliability and efficiency of operations and makes recommendations for improvement, process redesign, etc. Directs or participates in the review, investigation and analysis of incidents for risk and adverse event identification. Recommends interventions which will enhance the safety and well-being of people we support, staff and organization at large and mobilizes departmental or administrative support to identify and address risk areas. Establishes and enforces policies, procedures and controls that ensure agency-wide compliance with all Federal, State, Local and other relevant regulatory agency requirements and cooperation with appropriate entities in any audit, survey, inquiry or investigation across all states of operation. Develops, disseminates and interprets compliance policies and standards consistent with laws and regulatory requirements, which promote the organization's commitment to compliance and business integrity. Maintains an awareness of laws and regulations and regularly monitors regulatory requirements to keep abreast of changes that may affect YAI Network services or operations, including health care, managed care, mental health, behavioral, educational or other services, including services in specific states and provides timely information regarding analysis and recommendations of regulatory changes and their impact to operational leaders. Ensures efficient processes for documenting all compliance, quality, incident management and safety-related initiatives and activities, as appropriate or required. Establishes methods to leverage best practices, monitor adherence to policies, procedures, and legal/regulatory requirements and leads efforts to identify and evaluate exposures and correct defective processes. Collaborates and coordinates with administrators and other departmental leaders on all safety/risk management issues and designs, coordinates and informs various aspects of safety and risk management programs for the entire YAI Network. Conducts periodic risk assessments to determine compliance priorities and utilizes findings to inform decision-making, develop strategies to mitigate risk and establish goals to address areas of concern. Facilitates and oversees regular internal and external audits, risk analyses and compliance reviews (billing/fiscal and regulatory) to ensure the organization's adherence to established policies, procedures, laws and regulations, identifying areas for improvement and ensuring readiness for regulatory audits and surveys, including those determined by the Person Centered/Quality Improvement Committee and the Agency Review Committee. Provides oversight to the facility-based quality programs ensuring establishment of consistent methods for the collection and monitoring of data, compliance with relevant laws and regulations, maintenance of policies and procedures and facilitates aggregation and analysis of data for reporting, as appropriate. Designs and leads performance improvement projects to assure milestones and KPIs are met within defined parameters. Serves as the Compliance for YAI Network and ensures adjustments to the organization´s compliance program as needed to reflect regulatory changes. Serves as primary resource for the organization on complex compliance, quality, incident management and ethics matters and sits on committees as assigned or as necessary, including chairing the compliance committees. Provides oversight and supervision to compliance and quality teams and participates in the recruitment, retention, assessment and development of qualified and effective staff to support compliance, quality and ethics-related activities across the organization. Develops and manages departmental budget, leading cost efficient and effective operations and ensuring that operations are within budgetary guidelines, periodically provides education to the Board of Directors and updates to the Board or a sub-committee thereof. Performs all related work, as assigned.
Education and Experience:
Bachelor's degree; and
At least 10 years of progressively responsible experience in compliance, quality and/or ethics, including experience managing and/or auditing compliance or ethics in a highly-regulated environment; designing, implementing and evaluating quality assurance programs or quality improvement initiatives; process analysis and redesign; policy development and analysis or related work, including at least five (5) years in a managerial or consultative role; or
Satisfactory equivalent combination of education and/or experience Demonstrated knowledge of federal, local, and state regulations and their applications to non-profit organizations Experience enforcing, rules of compliance, specifically in areas with regulatory oversight bodies such as OPWDD, DDD, DDS, CMS, NYOMH and DOH Thorough knowledge CMS regulations
Additional Knowledge, Skills and Abilities:
Excellent written and verbal communication skills Strong commitment and passion for the organization's mission and toward diversity and inclusion; values diversity of background, thought, and perspectives Unquestionable ethics and integrity Ability to identify and respond to sensitive program and organizational issues, concerns and needs Ability to thrive in a collaborative environment working with individuals at all levels Open minded with excellent interpersonal and active listening skills Preferred:
Master's degree Previous experience in compliance, quality or ethics in an organization providing healthcare, mental health, social or managed care services and/or supporting people with intellectual/developmental disabilities (I/DD) Certified in Healthcare Compliance and/or Healthcare Privacy Healthcare Privacy experience and/or supervision of privacy specialist Extensive knowledge of New York, New Jersey and California regulations relating to non-profit organizations and I/DD services

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, or status as a Vietnam or disabled veteran. YAI is an Equal Opportunity Employer.

We are actively recruiting for an seasoned banking Compliance professional to function as Deputy Chief Compliance Officer.
Candidates should be in a Lead or Managerial Role in Commercial Banking .Reporting to the Chief Compliance Officer, the Deputy Chief Compliance Officer is the independent compliance partner to multiple Business Divisions and is responsible for ensuring that the Compliance Programs appropriately addresses the regulatory risks relative to the Division/Unit's business activities. As a Compliance leader, working within the Compliance function, the Deputy Chief Compliance Officer will be actively engaged with multiple businesses to provide compliance advice, monitoring and oversight of effective Programs. The incumbent must have the ability to act as a Deputy in the absence of the Chief Compliance Officer.

1. Serve as a subject matter expert, and support the NY Compliance team in executing its compliance responsibilities.
2. Assist in directing the overall compliance program and strategy for Firm Compliance. Assist with the day-to-day management of the Compliance Program for the New York Branches, which includes the BSA/AML and OFAC Compliance Programs and Consumer Compliance Program.
3. Recommend policies and partner with senior management to implement the Firm's compliance program.
4. Provide strong leadership, and develop Compliance staff.
5. Provide advice and guidance to management on the implications of compliance trends and issues affecting the firm.
6. Provide support to and work with legal and business groups to interpret and execute various regulatory and overall compliance issues.
7. Partner with Bank colleagues and build a coherent and effective NY compliance program.
8. Interact with business teams and other staff to assist in resolving compliance issues.
9. Assist on special projects and ad hoc assignments.

QUALIFICATIONS
Candidates should offer a minimum of 10 years direct experience in Commercial Banking.

•Knowledge of U.S. banking business, such as commercial lending, private banking, and correspondent banking. Proficiency in BSA/AML/OFAC and consumer regulations required (Reg B,D,E, F,O, P,U,Z,AA,CC,DD, etc).

Technical Skills:
•Must be able to use various in-house software compliance monitoring systems. Proficient in MS office.

First Eagle Alternative Credit (FEAC) is a leading manager of direct lending and tradable credit investment products, with approximately $21 billion of assets under management (as of June 30, 2022). FEAC advises a full range of public and private investment vehicles, including a business development company, interval fund, collateralized loan obligations (CLOs), separately managed accounts and comingled funds. FEAC is the alternative capital platform of First Eagle Investments, an independent, privately owned investment management firm headquartered in New York City with $100 billion of assets under management (as of June 30, 2022). Throughout a heritage that dates to 1864, First Eagle has sought to generate attractive real returns for clients over the long term, a tradition that remains central to our mission today. First Eagle's range of actively managed equity and equity-oriented, public and private credit, multi-asset and alternative strategies reflect our dedication to disciplined and unconventional thinking, a global perspective and the long-term alignment of interests.

What drives us:

At First Eagle, clients come first, always. To deliver on this commitment, it is incumbent upon us to nurture an environment that both attracts, develops, and retains a talented, inclusive workforce, and inspires each of our employees to do their life's best work on behalf of our clients. Inherent in this dynamic is a culture that promotes equality, diversity and respect and holds every member of the organization to the highest standards of integrity and accountability.

Who we are looking for:

First Eagle Alternative Credit is seeking a Chief Compliance Officer (CCO) for its Chicago, Boston, or New York location. The successful candidate will have deep knowledge of the credit industry and be responsible for leading the implementation of the compliance program. Reporting to the General Counsel and FEIM CCO, this individual will lead, develop and motivate a small compliance team while providing support to the credit business areas. The current CCO will continue to work within the legal and compliance team, but within a more dedicated legal role, which will create this exciting opportunity for a new hire.

What you will do:

• Lead alternative credit compliance program partnering with legal team and risk on all regulatory developments, requirements, and proposals as applicable
• Partner with the business to ensure effective controls are in place to meet regulatory requirements; provide advice to management on how to comply with the laws and regulations; monitor the business units' performance with compliance, and alert management to compliance gaps and issues
• Work closely with other members of FEAC's Legal & Compliance team, as well as the broader FEIM Legal & Compliance, on a variety of matters
• Partner with FEAC's investment, operations, and finance teams to provide timely, creative, and thoughtful guidance on compliance matters for new and existing products
• Monitor regulatory updates and improve or update the firm's compliance program when necessary
• Provide leadership, supervision, and training within the compliance department
• Actively identify risks arising from business activities and facilitate their mitigation to acceptable levels
• Implement, draft and update policies and procedures annually, as applicable
• Prepare materials and participate in the presentation to key compliance related committees
• Oversee preparation of regulatory filings
• Drive regulatory and special projects and ad hoc assignments as required

The qualities you should have:

• Undergraduate