Career Opportunity : Chief Compliance Officer


Under the general direction of the Chief Executive Officer and in collaboration with the Management of the agency (Board of Directors), the Chief Compliance Officer is responsible for the development, leadership and administration of compliance functions and procedures in the organization.

The Chief Compliance Officer oversees the Corporate Compliance Program, functioning as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization.  The position ensures the Board of Directors, management and employees are in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the organization meets the company’s Standards of Conduct.  The Chief Compliance Officer, together with the Corporate Compliance Committee and/or Board of Directors, is authorized to implement all necessary actions to ensure achievement of the objectives of an effective Compliance Program.



1.0        Mission, Policy and Planning

1.1    Responsible for building a strong infrastructure within the compliance area to support agency strategic goals and objectives.        

1.2    Is aware of and actively supports the agency’s strategic plan, mission, vision and values.

1.3    Assists management in providing high quality, cost efficient services.

1.4    Leads and drives the strategic plan for the compliance function providing leadership to implementation teams.  Will monitor the progress and results of the compliance program on a monthly basis.

1.5    Responsible for oversight of service delivery emphasizing service delivery under the Sanctuary Model.  A focus on strategic planning, leadership development and talent management will be necessary.

1.6    Along with the Compliance Committee establishes one and three year objectives with measurable targets for advancing the compliance function.

1.7    Works with the Manager of Organizational Development in planning for training needs and staff development regarding compliance.

1.8    Assures alignment of the department with agency mission, vision and values.    

1.9    Responsible to continue development within Corporate Compliance Committee.

1.10  Works with legal counsel when appropriate and necessary to plan around compliance, audits, investigations and other clinical questions.

1.11     Responsible to track audits conducted on external basis and follow up action items associated with audit.

1.12    Where appropriate and necessary, interface with external agencies such as OMH, OCFS, OASAS, and Medicaid.  

2. 0   Oversees and leads the compliance function for the agency

2.1    Develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.  Manages day-to-day operation of the Program.       

2.2    Develops and periodically reviews and updates Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.

2.3    Collaborates with other departments (e.g., Risk Management, Internal Audit, Human Resources, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.  Consults with the corporate attorney as needed to resolve difficult legal compliance issues.

2.4    Responds to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures.  In coordination with HR, develops and oversees a system for uniform handling of such violations.

2.5    Acts as an independent review and evaluation body to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved.

2.6    Monitors and, as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.

2.7    Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.

2.8    Provides reports on a regular basis, and as directed or requested, to keep the Corporate Compliance Committee of the Board and Senior Leadership Team informed of the operation and progress of compliance efforts.

2.9    Ensures proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required. 

2.10  Establishes and provides direction and management of the compliance Hotline.

2.11  Institutes and maintains an effective compliance communication program for the organization, including promoting (a) use of the Compliance Hotline; (b) heightened awareness of Standards of Conduct, and (c) understanding of new and existing compliance issues and related policies and procedures.

2.12  Monitors the performance of the Compliance Program and related activities on a continuing basis, taking appropriate steps to improve its effectiveness.

2.13  Recruits and hires staff as appropriate with attention to diversity, succession planning, and utilizing an inclusive process.

2.14  Provides direction, coaching, mentoring and staff development opportunities for the professional development of direct reports. 

2.15  Assures Villa of Hope  will effectively and efficiently meet the Compliance Plan objectives.

3.0    Governance

3.1    Represents the Agency and compliance function by attending Board meetings as needed/requested.

4.0    Leadership, Management and Administration

4.1    Provides coaching, direction and support to staff.

4.2    Provides regular feedback on performance, including annual performance evaluations.

4.3    Ensures a visible presence among staff and is accessible to all levels of the organization.

4.4    Maintains a climate that attracts, maintains and motivates a diverse group of high quality staff and/or volunteers.  Recognizes and rewards staff.  Assures appropriate management responsiveness to employee concerns.

4.5    Delegates and assigns work efficiently to staff, delegating appropriate levels of authority while maintaining adequate supervision, support and empowerment.

4.6    Keeps the Chief Executive Officer informed about day to day operations/issues of the compliance area on a regular basis.


    5. 0   Designs, implements and monitors the compliance program

5.1    Selects effective methods and structure to ensure the most cost effective, high quality department.        

5.2    Evaluates systematically and continually the compliance policies.

5.3    Engages team in quality improvement initiatives related to compliance.   

     6.0    Department Management and Agency Compliance

6.1    Maintains compliance with state and federal laws, regulations and policies related to the compliance function.

6.2    Collaborates with Management team and Board of Directors on compliance regulations for agency and by program.

6.3    Coordinates and communicates information about compliance to the overall agency.

7.0    Other duties as assigned by the Chief Executive Officer and Board of Directors.


EDUCATION:      Masters Degree required.  Clinical background and expertise preferred/necessary.


EXPERIENCE:    A minimum of 10 years experience in a health care/not-for-profit organization, to include leadership.

SKILLS: Knowledge of OMH, OCFS, OASAS regulations along with Federal and NY State Laws   and regulations.   Strong communication and interpersonal skills.  Ability to work collaboratively with others including youth, families, staff and members across all departments a must.  Strong problem solving and organizational skills and ability for innovative ideas and implementation a must.

If you are interested in applying for the above career opportunity at Villa of Hope please email your cover letter and resume to