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Chief Corporate Compliance Officer The candidate will oversee the Corporate Compliance Program for corporate matters, functioning as an independent and objective individual who reviews and evaluates compliance issues and concerns affecting the organization, including compliance with all relevant rules and regulations and company’s corporate policies and procedures (including Code of Ethics). Manage the day-to-day operations of the Corporate Compliance Program within the legal department. Develops, initiates, maintains, and revises policies and procedures for the general operation of the Corporate Compliance Program, including anti-money laundering policies and procedures, to prevent illegal, unethical, and/or otherwise improper conduct. Review and update the Code of Ethics and related procedures to ensure continuing currency and relevance in providing guidance to the Board of Directors, management, and employees. Collaborate with other departments (e.g., Human Resources, Security, Risk Management, Internal Audit, etc.) to direct compliance issues appropriately for investigation and resolution. Consult with the General Counsel and legal to resolve legal and other compliance issues. Remain apprised of the cutting edge of corporate compliance via continuing legal education classes, trade periodicals, FinCEN advisories, etc. Ensure proper reporting of violations or potential violations to duly authorized civil authorities as appropriate and/or required. Respond to alleged violations of rules, regulations, policies, and procedures. Evaluate and/or recommend, as applicable, relevant investigations and investigative procedures. Oversee the system for uniform handling of alleged violations. Ensure that compliance issues and concerns are appropriately evaluated, investigated, and resolved. Identify potential areas of compliance vulnerability and risk; develops and implements corrective action plans for the resolution of problematic compliance issues; and provides general guidance as to how to avoid or address similar compliance situations in the future. Provide reporting to maintain the awareness level of senior management and governance bodies regarding the Corporate Compliance operation. Institute and maintain an effective compliance communication program for the company, including promoting: (a) the use of the Compliance Hotline; (b) heightened awareness of the Code of Ethics, and (c) the understanding of new and existing compliance issues and related policies and procedures. Work with the Human Resources Department (and other departments as appropriate) to develop and maintain an effective compliance training program, including introductory training for new employees and periodic refresher training for all employees. Act as liaison for proper monitoring and auditing of the Corporate Compliance Program. Bachelor’s Degree Required, JD preferred. 7 - 10 years of experience in corporate compliance required. Familiarity with operational, financial, quality assurance, and human resource procedures, statues, rules, regulations and relevant best practices is desired. Racing, pari-mutuel wagering and/or gaming is a plus.
Job ID: 2016-1492
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