Job Information
MTA Compliance Director in Various, United States
Compliance Director
Job ID: 6287
Business Unit: MTA Headquarters
Location: Various, United States
Regular/Temporary: Regular
Department: Corporate Compliance
Date Posted: Apr 24, 2024
Description
JOB TITLE: Director of Compliance
SALARY RANGE: $125,000 - $137,000
HAY POINTS: 775
DEPT/DIV: MTA Corporate Compliance
SUPERVISOR: Agency Chief Compliance Officer
LOCATION: Various- TBD
HOURS OF WORK: 9:00 am - 5:30 pm (7 1/2 hours/day)
This position is eligible for telework which is currently one day per week. New hires are eligible to apply 30 days after their effective date of hire.
SUMMARY:
The Director of Compliance is responsible for assisting in the planning, directing, and administering the operations within the Compliance function. Additionally, this position will support the Agency Chief Compliance Officers in their responsibilities as Agency Partners performing internal controls, ethics, and other compliance related functions. This position will resolve employee complex compliance-related issues, including, but not limited to, meeting with walk-in employees (without appointments) to register complaints, submit and record questions on ethics related items, or provide guidance on compliance related practices. This position is responsible for assisting with planning, directing, and administering the operations of the MTA Ethics, Risk and Compliance program. Additionally, this role supports the Agency and Deputy Chief Compliance Officers on internal investigations, ethics, and compliance reviews, as well as training activities on ethics and compliance issues. This includes conducting research and analysis into various compliance/ethics issues. The MTA has a large number of All Agency and HQ policies that must be reviewed and revised on a continuous basis.
RESPONSIBILITIES:
Assist in establishing and maintaining guidelines for a system of Internal Controls and that promotes effectiveness and efficiency.
Coordinate and monitor vulnerability assessments, control evaluations and provide internal control awareness.
Assist, when necessary, in the training and education of staff on the internal control program and the respective responsibilities for effective application of the internal control program.
Support the internal control staff in conducting yearly vulnerability assessments of their departments, including identifying and ranking risks.
Ensure that recommendations effecting procedural, or process deficiencies are reflected in the affected department Vulnerability Assessment.
Support risk analysis, controls testing and, where necessary, initiate corrective action plans.
As necessary, interfaces with Audit Services and MTA Inspector General on areas of concerns and incorporates into the Internal Control program.
Assist the Agency Internal Control Officers in the administration of their agency programs.
Conducts formal training for coordinators and informal information sessions for all employees on the Internal Control program.
Maintains an on-going communication to employees on Internal Controls to promote an awareness and effectiveness of program.
Drafts reports, develops suggestions, and conducts analysis of the program.
Ensure compliance by Department with accepted recommendations from Audit Services, MTA Inspector General, External Auditors and others.
Conduct analysis of MTA and Agency policies and procedures to ensure consistency with other policies, board guidelines and directions from senior management.
Benchmark MTA policies and procedures against best practices and other similarly situated organizations.
Assists the management of the ethics programs, including but not limited to training, communications, employee counseling, activity approvals and management of ethics/compliance issues.
Assist in the preparation of opinions and referrals as required.
Interfaces with other State Agencies on Internal Control issues and ethics and compliance items.
Report on compliance matters to the Agency Chief Compliance Officers or other identified compliance personnel for the purpose of supplying information to Chairman and Chief Executive Officer of the MTA, Board of Directors’, Audit and Corporate Governance Committees.
Ensure coordination with other Agencies and Departments including legal, internal audit, security, human resources, and information technologies to ensure effective implementation of the compliance and integrity program.
Ensure effective systems in place for employees and internal and external persons to raise questions and obtain advice on compliance and integrity related issues, and to report misconduct without fear of retaliation.
Consolidate and review department audit reports to ensure accuracy and adherence.
Ensure that appropriate standards, practices, and internal controls, including a code of conduct, are adopted, published, and explained to those affected.
Ensure full implementation the MTA’s policy management program.
Assist in ensuring that reports and other indications of possible misconduct are appropriately investigated, and that appropriate corrective action is taken, including enhancements to the compliance program, and disclosure if warranted.
Execute such other functions related to the compliance and integrity program as are delegated by the Chief Compliance Officer or identified compliance personnel.
Guide managers through the policy creation process, by reviewing and editing policies before submitting to the appropriate party, ensuring they conform to legal and regulatory requirements, governance principles/guidelines and the MTA’s style guide.
Select, develop, and motivate personnel within the department to provide career development and prompt and effective coaching and counseling.
Responsible for Review performance of staff and discipline/termination of employees when necessary.
Oversee compliance staff, conduct due diligence reviews related ethics advise and clearances for MTA employees.
Provide ethics advice and guidance to employees and assist agencies with vendor responsibility hearings, as necessary.
Special assignments for the Deputy Chief Ethics, Risk and Compliance Officer covering a variety of topics.
May need to work outside of normal work hours (i.e. evenings and weekends)
Travel may be required to other MTA locations or other external sites.
May need to participate in strategic, metropolitan, suburban and enterprise operations.
KNOWLEDGE, SKILLS, AND ABILITIES:
Experience dealing with highly confidential information.
Must possess excellent grammar, editing, oral communication, and writing skills.
Demonstrates the ability to work with all - levels of management within the MTA.
Demonstrates the ability to communicate and interact well with external agencies. External agencies may include the Governor’s Office for New York State, New York City government, elected and other public officials, as well as any staff located at other federal or state agencies or authorities.
Must have strong managerial skills to effectively direct a staff of professional and technical employees in implementing the short- and long-term goals and direction for the area(s) of responsibility.
Demonstrates the ability to complete short- and long-term projects effectively and as efficiently as possible.
Demonstrate analytical capabilities and quantitative skills.
Must have strong knowledge of corporate policies and procedures.
Proficiency in Microsoft Office Suite or comparable applications, i.e., Word, Excel, PowerPoint, and Outlook.
EDUCATION AND EXPERIENCE:
Bachelor’s Degree in Business, Transportation, Public Policy or a related field from an accredited college. An equivalent combination of education and experience may be considered in lieu of a degree.
A minimum of 6 years’ experience in Compliance, Audit, Legal, Human Resources, Organizational Development, or a related field, including at least 3 years in a managerial or leadership role in a large, multi-faceted, fast-paced organization governmental body preferred.
PREFERRED:
Extensive knowledge of MTA operations and business activities preferred.
In-depth knowledge of MTA NYCT operations is strongly preferred to effectively manage the Internal Control, Ethics and Compliance programs.
Detailed knowledge of Corporate Compliance programs especially internal control standards, corporate governance practices and ethics programs preferred.
Budget responsibility in prior experience preferred.
Familiarity with the policies and procedures of MTA and the Agencies preferred.
OTHER INFORMATION:
Pursuant to the New York State Public Officers Law & the MTA Code of Ethics, all employees who hold a policymaking position must file an Annual Statement of Financial Disclosure (FDS) with the NYS Commission on Ethics and Lobbying in Government (the “Commission”).
Equal Employment Opportunity
MTA and its subsidiary and affiliated agencies are Equal Opportunity Employers, including with respect to veteran status and individuals with disabilities.
The MTA encourages qualified applicants from diverse backgrounds, experiences, and abilities, including military service members, to apply.