COMPLIANCE OFFICER
DISTINGUISHING FEATURES OF THE CLASS: The Compliance Officer/Privacy Officer oversees and assures compliance with a variety of Federal, State and Local mandated programs such as: Health Insurance Portability and Accountability Act (HIPAA), regarding which the incumbent of this position will act as the County’s Privacy Officer; Corporate Compliance, in which the incumbent of this position will be the Corporate Compliance Officer; Americans With Disabilities Act (ADA), in which the incumbent of this position will be the ADA Coordinator, Workplace Violence Prevention Act, federal and state grant compliance and other compliance programs as assigned This is a high level position with authority to ensure that County officials, agency management and all employees are in compliance with the rules and regulations of regulatory agencies, that agency policies and procedures are being followed and that behavior within the County organization meets the expected Standards of Conduct. Responsibility also involves ongoing education and consultation with Department Heads to keep them apprised of current requirements or changes in statute or regulations. Duties are performed under the general direction of the County Manager with wide latitude permitted for the exercise of independent judgment in administering, planning, developing and directing compliance programs. A Compliance Officer does related work as required.
TYPICAL WORK ACTIVITIES:
Performs and ensures internal compliance audits are conducted in conjunction with the County Treasurer and the County’s Independent Auditors;
Develops, initiates, maintains, and revises policies and procedures for the general operation of the County‘s compliance programs to be consistent with the expectations of regulatory agencies;
Develops and facilitates training for employees related to compliance issues and policy;
Develops, revises, and maintains process to respond to and track grievances and reports of alleged violations;
Conducts inquiry and investigations into reports of alleged violations;
Consults with the County Attorney as needed to resolve difficult legal compliance issues;
Develops and oversees a system for uniform handling of such violations;
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;
Provides reports on a regular basis, and as directed or requested, to keep management informed on the operation and progress of compliance efforts.
FULL PERFORMANCE KNOWLEDGES, SKILLS, ABILITIES, AND PERSONAL CHARACTERISTICS: Comprehensive knowledge of procedures, policies and practices regarding regulatory compliance issues; thorough knowledge of the principles and practices of administration; good knowledge of investigative practices and techniques; good knowledge of interviewing techniques to elicit information; ability to monitor and conduct analyses of operating procedures, identify problems and critical factors and develop methods for corrective action; ability to formulate, develop and implement auditing/investigative standards, procedures and policies; ability to prepare complex written and oral reports clearly and concisely; ability to develop and maintain effective working relationships in order to promote compliance with applicable codes and standards; ability to communicate effectively both orally and in writing; ability to provide training and consultation to a wide variety of employees; ability to organize, assemble, categorize and prepare data for reporting purposes; ability to effectively use computer applications such as spreadsheets, word processing, calendar, e-mail and database software in performing work assignments; ability to read, write, speak, understand and communicate in English sufficiently to perform the essential functions and duties of the position; sound professional judgment; dependability; resourcefulness, accuracy; initiative; tact; integrity; discretion; physical condition sufficient to perform the essential functions of the position.
MINIMUM QUALIFICATIONS: Graduation from high school or possession of an appropriate equivalency diploma recognized by the NYS Department of Education, AND:
A. Graduation from a regionally accredited or NYS registered college or university with a Master’s degree in Public, Hospital or Business Administration, Health or a health care field, Finance, Accounting or a fiscal management field, and two (2) years of experience in an administrative, managerial or leadership level in an organization where the primary function of the position involved regulatory or compliance management.;
OR
B. Graduation from a regionally accredited or NYS registered college or university with a Bachelor’s degree in one of the above referenced fields and four (4) years of experience in an administrative, managerial or leadership level in an organization where the primary function of the position involved regulatory or compliance management;
OR:
C. Graduation from a regionally accredited or NYS registered college or university with a Associate’s degree in one of the above referenced fields and six (6) years of experience in an administrative, managerial or leadership level in an organization where the primary function of the position involved regulatory or compliance management;
OR:
D. Any combination of training and experience equal to or greater than that defined in (a) and (b) above.
Competitive Class