Manager, Corporate Compliance

92128, San Diego

 

Excellent opportunity to join our growing Legal team and manage ICW Group's corporate compliance program. The Manager of Corporate Compliance is responsible for developing and implementing ICW Group's Compliance program and helping to implement processes, procedures, and other controls to comply with state and federal laws applicable to ICW Group, a multi-line and multi-geographic property and casualty insurance carrier. This role exists to oversee the continuous improvement of the compliance program to ensure future opportunity and sustainable growth.

ESSENTIAL DUTIES AND RESPONSIBILITIES

Develops and implements ICW Group's compliance program.

  • Performs risks assessments to identify compliance risks and completes periodic compliance risk assessment reports. Communicates requirements to impacted business areas and facilitates reviews.
  • Builds outs corporate compliance structure within three lines of defense operating model.
  • Designs compliance policies and procedures and establishes strong compliance culture across the organization.
  • Advances the Company's Code of Conduct, and third–party due diligence process.
  • Collaborates with company professionals from multiple departments including Procurement, Human Resources, and key stakeholders to verify compliance requirements are being followed.
  • Develops training programs throughout the organization on compliance related risks and control processes.
  • Continuously evaluates both business and compliance processes and procedures to drive effectiveness and efficiencies.
  • Partners with IT professionals and other departments to implement compliance-related systems and processes.

Serves as legal compliance subject matter expert on compliance related matters to ensure activities are conducted effectively and efficiently.

  • Researches legal requirements related to ICW Group operations.
  • Determines the impact of legal changes, implements processes to communicate changes across the organization, and institutes procedures to comply with the legal changes.
  • Maintains a strong presence in ICW Group to provide guidance, information and assistance on compliance related issues.
  • Understands all business group operations and activities to ensure adequate compliance as business needs evolve.
  • Develops processes and procedures related to data privacy and cyber security and communicates across the organization.
  • Conducts investigations of high-priority allegations of ethics violations, fraud, or other noncompliance at the business units, in coordination with internal audit, human resources, and outside counsel, as needed.
  • Oversees any corrective action plans related to adverse findings. Works with affected areas to ensure findings are addressed and within stated timelines.
  • Monitors the investigation process surrounding the ethics hotline and reported allegations of fraud.
  • Provides reports to Board of Directors, Audit/ERM Committee, General Counsel, and senior management as needed.

Develops and leads a team of compliance specialists.

  • Provides daily direction to the Compliance team. Communicates Mission, Values, and other organization operating principles to direct reports.
  • Establishes and maintains the overall work cadence and, in partnership with department leadership, ensures performance and outcomes strive for excellence in delivery and customer experience. Ensures that the entire team is engaged and that leadership practices encourage development, recognition, and retention.
  • Establishes and adheres to hiring criteria, on-boarding, and training requirements for incoming staff.
  • Oversees the performance management and development process for the team and performs performance management duties, development planning and coaching for direct reports.
  • Acts as a resource for team members to answer questions and solve complex problems.
  • Manages budget, technology and other resources, workload, and customer requests for Department services. Ensures adherence to all Company policies and procedures and Compliance responsibilities
  • Ensures data quality, adherence to IT security guidelines, profitability and other risk-related metrics for self and members of the team.

SUPERVISORY RESPONSIBILITIES

Directly supervises employees within the Corporate Compliance team and carries out supervisory responsibilities in accordance with company policies and applicable laws. These responsibilities include interviewing, hiring, and training employees; planning, assigning, and directing work; conducting performance and salary reviews; rewarding and disciplining employees; addressing complaints and resolving problems; coaching, mentoring, and developing team members to further their skills and knowledge; creating and monitoring development plans; setting performance expectations/goals; forecasting staffing needs and planning for peak times and absences; enforcing department policies and procedures.

EDUCATION AND EXPERIENCE

  • Bachelor's degree from four-year college or university required with a major or emphasis in Business Administration, Management, Finance, or related field.
  • Law degree preferred.
  • Minimum 5 years of related experience and/or training in corporate compliance required.
  • Minimum 2 years of supervisory experience preferred.

CERTIFICATES, LICENSES, REGISTRATIONS

  • Compliance related certification preferred, such as Certified Fraud Examiner (CFE), or Certified Compliance and Ethics Professional (CCEP).
  • Experience working with a national property and casualty insurance company preferred.

KNOWLEDGE AND SKILLS

Ability to lead a team and/or project. Deep compliance experience, knowledge of managing a compliance unit, and experience overseeing compliance risk assessment and implementing controls. Knowledge of the roles and importance of each of the three lines of defense, and awareness of regulatory/legislative developments and industry trends as a means to proactively identify regulatory risk. Solid project management experience, preferred. Ability to quickly understand and apply policies and procedures. Ability to research and interpret regulations and laws and disseminate information. Ability to design processes and evaluate the effectiveness of controls. Ability to analyze financial and other data relevant to allegations of misconduct, including fraud. Ability to multitask, organize, and prioritize work to meet deadlines. Excellent oral communication and interpersonal skills; Ability to professionally communicate with all levels of management. Self-starter: Ability to work with limited supervision. Intermediate to advanced level in Word, Excel, and PowerPoint. Ability to handle confidential and/or sensitive information in a professional manner.

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