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SalaryJOB TITLE:
Compliance Counsel
REPORTS TO:
Senior Compliance Counsel
DEPARTMENT:
Compliance
FLSA STATUS:
Exempt
LOCATION:
Remote, Preferably in East Coast Region
SUMMARY:
The Compliance Counsel ensures that the Company complies with relevant laws and policies. In this role, the Compliance Counsel will be required to stay abreast of developments, interpret laws in the context of the Company’s activities, and ensure that key personnel are in possession of necessary information to make business decisions. The Compliance Counsel is also responsible for creating and implementing Company policies to maximize compliance and to efficiently detect and correct any violations. The Compliance Counsel follows emerging market trends and technological advancements in the industry and actively works with various functional areas to ensure appropriate measures are taken to mitigate compliance risk for the company.
ESSENTIAL DUTIES AND RESPONSIBILITIES include the following:
- Recommend and develop compliance strategies across the organization that will help enable the future growth of the company while mitigating compliance risk.
- Stay abreast of relevant legal developments as they occur and analyze their applicability to the company’s activities and objectives.
- Review and revise as necessary company policies and practices on a regular basis to ensure that all are in compliance.
- Monitor federal and state legislative and regulatory developments and advise Senior Management regarding compliance requirements.
- Develop compliance materials and resources relative to each state in which CATIC is licensed.
- Compile and analyze business and compliance data for follow-up and action plan development.
- Create and distribute educational materials for internal and external use relative to legislative and regulatory developments.
- Participate in industry-specific educational programs and training as needed.
- Promote the company’s interests by participating in public hearings, developing relationships with agency representatives and contributing to public discourse around developments in laws, policies and enforcement.
- Manage all corporate filings.
- Compliance and adherence at all times with the organization’s Code of Ethics and Conduct as well as all of our company policies.
- Other duties as assigned.
QUALIFICATION REQUIREMENTS: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
- Ability to organize and prioritize job tasks to meet deadlines and possess flexibility to handle multiple assignments simultaneously.
- Ability to research and respond to inquiries promptly and accurately.
- Possess strong problem solving, analytical, and communication skills.
- Demonstrate ability to work independently and make decisions.
- Willingness to take on special compliance projects as needed.
- Demonstrate ability to exercise confidentiality and discretion as well as comply with company policies and regulatory requirements as established.
- Work well within a team environment. Interact well with all levels of associates within the company and at agencies.
- Must have strong PC skills, preferably on a Windows platform and Microsoft Office environment.
- Effective oral and written communication skills.
- Ability to travel as needed.
- Overtime and/or weekend work may be required while working in the office or traveling.
EDUCATION AND/OR EXPERIENCE:
- Graduation from an accredited law school and license to practice law.
- Minimum 2-5 years’ experience working in the legal profession.
- Demonstrated leadership and organizational abilities.
- Experience working on legislative and regulatory matters on a state and/or federal level preferred.
EEO Statement
CATIC Financial, Inc. and its subsidiaries are committed to providing equal employment opportunities to all employees and applicants for employment and to maintaining a work environment that is free from discrimination without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, we comply with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.
