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21 Jul
Compliance Controller


Oversees the work of compliance staff ensuring on-going compliance of Service Organization Controls and requirements per department and/or line of business standards. Manages the Business Continuity/Disaster Recovery program for a department and the maintenance of department or line of business policies & procedures. Responsible for the coordination and implementation of the annual audit plan and partners with manager on national initiatives and annual external audits.


Oversees the work and performance of Compliance team responsible for completing audits and reviews of department policies and procedures, external control compliance, and business continuity plan activities. Oversees and directs staff selection, placement, training and development, performance evaluations, and counseling.

Directs and oversees completion of annual audit plan for department or line of business. Provides guidance and direction on internal review format, scoring and results distribution. As directed by business line leadership, interprets, executes, and develops functional policies, procedures, and processes for a department and/or line of business nationally. Supports the development of the annual audit plan with the input from external auditors, department and/or line of business leadership, Corporate Internal Audit, Business Line Risk Management, and Corporate Ethics and Compliance.

Ensures systems and processes are in compliance with acceptable department and/or line of business practices and applicable external regulations.

Creates and distributes department and/or line of business communications related to policy and procedure updates/changes and the Business Continuity Plan. Reviews Compliance communication prior to distribution, ensuring accuracy and content is appropriate for the audience.

Oversees Service Organization Control audit coordination and process for a department or line of business, including the coordination of onsite visits and interviews. Serves as onsite support throughout the audit process.

Maintains Service Organization Control documentation for the department or line of business. Ensures all identified risks are addressed and is responsible for ensuring continuous updating and monitoring. Ensures identified weaknesses are promptly remediated.

Collaborates with department or line of business best practices team by providing guidance and input on enhancing policies and procedures as a department. Serves as expert resource and participates in Compliance consulting engagements upon request.

Works with Business Line leadership to develop contingency plans to meet unexpected changes in the business environment.

Assists in establishing strategic objectives and goals for the Compliance team and their respective department or line of business.

Prepares and delivers presentations to all levels of management related to Compliance.

Other duties as assigned.


With direction for Business Line Leadership, manages the planning, organization, and controls for a major functional area or department. May be responsible for a mix of direct and matrix reports. Effectively recommends same for direct reports to next level management for review and approval. Leads and supports staff in areas of staffing, selection, training, development, coaching, mentoring, measuring, appraising and rewarding performance and retention. Leads by example and models behaviors that are consistent with the company's values.


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.


Four-year degree in Accounting, Finance or related field plus a minimum of 8 years professional level accounting experience using automated accounting systems required.


CPA preferred.


Ability to comprehend, analyze, and interpret the most complex business documents. Ability to respond effectively to the most sensitive issues. Ability to write reports, manuals, speeches and articles using distinctive style. Ability to make effective and persuasive presentations on complex topics to employees, clients, top management and/or public groups. Ability to motivate and negotiate effectively with key employees, top management, and client groups to take desired action.


Requires advanced knowledge of financial terms and principles. Ability to collect, analyze and summarize complex accounting data. Ability to calculate intermediate figures such as percentages, discounts, and/or commissions. Conducts basic financial analysis. Requires advanced knowledge of Service Organization Controls compliance.


Ability to solve advanced problems and deal with a variety of options in complex situations. Requires expert level analytical and quantitative skills with proven experience in developing strategic solutions for a growing matrix-based multi-industry sales environment. Draws upon the analysis of others and makes recommendations that have a direct impact on the company.


Advanced knowledge of computer software and hardware (i.e. Microsoft Office Suite Products). Advanced organizational skills, attention to detail. Ability to work well under pressure with proactive approach to routine and non-routine occurrences.


Decisions made with in-depth understanding and interpretation of procedures, company policies and business practices to achieve general results. Responsible for setting department deadlines. Errors in judgment may cause long-term impact to co-workers, supervisor, department and/or line of business.