Southwest Key Programs Inc.

  • Director of Compliance/ Senior Legal Counsel

    Location US-TX-Austin
    Posted Date 5 months ago(6/17/2019 10:19 AM)
    Job ID
    # Positions
  • Job Summary:

    Under the direction of or in coordination with the Chief Legal and Administrative Officer (CLAO), the Director of Compliance/Senior Legal Counsel will lead the development, implementation, maintenance, and revisions of a compliance and policy program pertaining to Southwest Key Programs (SWK). The Director will provide overall guidance and oversight for the development, implementation, and ongoing administration and monitoring of practices which promote an effective compliance program by collaborating with other departments. (e.g., Risk, HR, Finance, Operations, PQI, etc.) The Director will be responsible for ongoing monitoring, evaluation, training, and audits of SWK’s compliance and policy standards. The Director will evaluate current processes and procedures, investigate any potential issues, and advise and propose solutions and key initiatives to executive management.

    Essential Functions:

    • Work with the CLAO and the Executive team to develop overall compliance strategy, program, and plan that addresses overarching corporate policy and compliance issues as well as operational and programmatic ones.
    • Act as a consultant to executive management for all compliance and policy matters and best practices throughout the organization.
    • Develop and review strategies for addressing regulatory and legal risks related to business activities.
    • Manage compliance efforts for the company as they relate to complex regulatory and policy requirements, program and project development.
    • Ensure corporate policies are accurate, current, and in compliance with federal and state regulations. Review and update policies as laws change.
    • Develop and periodically review and update standards of conduct to ensure continuing currency and relevance in providing guidance to management and employees.
    • Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.
    • Analyze existing and proposed legislation, regulatory announcements, and industry practices, and help SWK develop and implement procedures to meet these requirements.
    • Partner with business unit managers to respond to reports issued by regulatory agencies or audits.
    • Maintain contact with regulators, government officials, and senior business unit managers when appropriate and in partnership with the CLAO.
    • Assist with the development and management of operational protocols throughout the organization.
    • Promote company standards and ethics.
    • Effectively collaborate with a variety of departments across the organization.
    • Provide reports and data analysis on a regular basis.
    • Evaluate current procedures and internal controls for adequacy and effectiveness.
    • Identify potential areas of privacy vulnerability and risks.
    • Develop internal audit process with periodic risk assessments.
    • Create policies and procedures for general operations and revise as needed.
    • Provide compliance training to teams.
    • Continuous review and maintenance of compliance programs, both at the operations and corporate levels.
    • Manage internal and external audits and disclosures in coordination with other departments as appropriate.

    Other Functions:

    Skills and Abilities

    • Demonstrated experience in senior compliance, policy and/or operations management position.
    • Demonstrated experience monitoring and supporting a compliance program.
    • Advanced understanding of Enterprise Compliance Risk Management and best practices.
    • Ability to handle conflict resolution with other groups to ensure appropriate guidance is followed.
    • Ability to communicate and influence senior executive leadership.
    • Ability to direct, train, and guide peers, subordinates, and management.
    • Ability to adjust to new developments/changing circumstances.
    • Ability to think strategically, write clearly and concisely, and operationalize concepts effectively.

    Qualifications and Requirements:

    • Doctor of Jurisprudence (J.D.) from an accredited law school; must be licensed to practice law by the Supreme Court of the State of Texas; must be a member in good standing of the State Bar of Texas with at least 8 years full-time experience as a licensed attorney.
    • A minimum of 4 years in a leadership role with a strong knowledge and background of non-profit services or a regulated environment.
    • Excellent analytical, organizational, and project management skills.
    • Strong written and verbal communication skills.
    • Strong leadership and negotiation skills.
    • Ability to manage confidential and sensitive information.

    Physical Demands:

    Must be able to read, write, and communicate both verbally and in written form to express and exchange ideas. While performing the responsibilities of this job, the employee must be able to access all components of work station and other office equipment. Frequent typing, writing, bending and twisting. Must be able to lift up to 10 pounds.

    Work Environment:

    General office environment with moderate noise. This position is mostly sedentary, involves sitting most of the time, but may involve walking or standing for brief periods of time. A busy environment with many unscheduled interruptions. Frequent computer use at workstation for extended periods of time. Public contact position requiring appropriate business apparel. Some travel required.


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