Chief Compliance Officer Job Description

Responsible for monitoring and reporting on the Company's compliance and ethics program and in providing guidance for the Board and senior management team on matters relating to legal compliance.  Develops and implements policies and procedures in connection with the operation of the Compliance Program and its related activities to detect and prevent illegal, unethical, or improper conduct.  Develops and periodically reviews and updates the Code of Conduct and collaborates with other departments to direct compliance issues to appropriate existing channels for investigation and resolution.  Responds to alleged violations of rules, regulations, policies, procedures, and the Code of Conduct by evaluating or recommending the initiation of investigative procedures.  Provides reports on a regular basis, and as directed or requested, to keep the Board or Board Committee and senior management informed of the operation and progress of compliance efforts.  Ensures proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.

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