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VP Legal Compliance

VP Legal Compliance

San Manuel Band of Mission IndiansHighland, CA, US
30+ days ago
Job type
  • Full-time
Job description

Vice President (VP), Legal Compliance

Under the direction of the Chief Legal & Compliance Officer, the VP, Legal Compliance, works in tandem with senior leaders to provide strategic direction and solution-oriented leadership in the development and execution of a coordinated ethics and risk-based legal compliance program. The VP is a principled and dynamic thought leader who propels the enterprise forward as a front-runner in the application and oversight of legal compliance standards.

Essential Duties and Responsibilities

1. Strategic Direction and Oversight

  • Stakeholder Collaboration : Works with senior leadership, Executive Leadership Cabinet, enterprise compliance resources, government teams, and Tribal Leadership.
  • Legal Compliance Initiatives : Provides strategic direction for coordination and implementation of enterprise-wide legal compliance initiatives.
  • Culture Promotion : Promotes a culture encouraging ethical conduct and legal compliance.
  • Proactive Counsel : Provides proactive, business-focused legal compliance counsel to the enterprise.

2. Standards and Controls

  • Conduct and Procedures : Ensures standards of conduct, internal controls, and procedures reflect government regulations, industry practices, and enterprise needs.
  • Documentation : Includes a strong code of conduct, ethics, employee handbook, and other written policies and procedures.

    • 3. Program Development and Improvement

  • Compliance Program : Updates and improves the enterprise-wide legal compliance program.
  • Metrics and Milestones : Develops substantive metrics and milestones.
  • Strategic Vision : Creates a multi-year strategic vision and resource plan.
  • Risk Assessments : Conducts initial and periodic risk assessments to identify legal compliance risks. Program Monitoring : Develops processes to monitor compliance programs.
  • Self-Assessments : Uses analyses of compliance trends for self-assessments.
  • Audit Results : Reports monitoring and audit results.
  • Documentation : Maintains thorough documentation of legal compliance measures.
  • Reporting : Updates Tribal Leadership and senior leadership through annual reports.

    • 4. Communication and Training

  • Effective Communication : Develops and oversees reporting mechanisms that encourage communication and prohibit retaliatory conduct.
  • Training and Development : Ensures understanding of laws and internal standards through annual training and monitoring participation.
  • Reporting Mechanisms : Develops effective internal reporting mechanisms for sensitive matters.
  • Compliance Policies : Implements and communicates compliance policies.
  • Incentives : Develops strategic vision for incentives to promote legal compliance.
  • Disciplinary Measures : Articulates clear disciplinary policies for non-compliance.

    • 5. Investigation and Remediation

  • Misconduct Investigation : Leads processes for defining, investigating, and remediating misconduct. Conducts internal investigations and includes and / or consults with appropriate stakeholders when needed.
  • Enforcement Tools : Implements enforcement tools, including incentives and disciplinary measures.

    • 6. Third-Party Relationships

  • Due Diligence : Conducts risk-based due diligence of third parties.
  • Compliance Commitments : Obtains legal compliance commitments from vendors and third parties.
  • Warning and Termination Standards : Develops standards for third parties failing to conform to compliance standards.

    • 7. Risk Management

  • Legal Risk Re-assessment : Undertakes ongoing re-assessment of enterprise legal risk.
  • Continuous Improvement : Identifies opportunities for continuous improvement.

    • 8. Mergers and Acquisitions

  • Post-Acquisition Assessment : Integrates mergers and acquisitions through post-acquisition risk assessment and audit.
  • Compliance Program Expansion : Expands legal compliance program to meet growth needs.

    • 9. Policy Management

  • Leads the creation and management of an enterprise-wide policy program that governs the development, review, approval, and storage of policies in alignment with leading practices.
  • Ensures effective communication, training, and enforcement of enterprise policies to foster understanding, compliance, and accountability across the enterprise.

    • 10. Executive Support

  • Presentations : Supports the Chief Legal and Compliance Officer in developing presentations for the Tribal Council and Executive Management.
  • Meetings : Manages and hosts Executive Compliance Steering Committee meetings with cross-functional stakeholders.

    • 11. Performs other duties as assigned to support the efficient operation of the department.

    Supervisory Responsibilities

    Carries out supervisory responsibilities in accordance with the organization's policies and applicable laws. Responsibilities include interviewing, hiring and training employees; planning, assigning reviewing and directing work; evaluating and appraising performance; rewarding and disciplining employees; addressing complaints and resolving problems. Makes hiring decisions and designs individual development plans with succession planning in mind for all key roles.

    Education, Experience and Qualifications

  • Juris Doctorate required.
  • Minimum ten (10) years in legal compliance field required.
  • Minimum ten (10) years of direct supervisory experience required.

    • Knowledge, Skills and Abilities (KSA)

    Core Competencies

  • Ethical Standards and Integrity : Upholds high ethical standards and personal integrity.
  • Legal Knowledge : Extensive working knowledge of Federal and State law.
  • Compliance Expertise : Experience in conducting workplace investigations and compliance work, including resolving ethical violations and compliance breaches.
  • Tribal Government Experience : Preferred experience working with tribal governments.

    • Leadership and Strategic Vision

  • Executive Presence : Proven leader with the ability to influence and drive results, build relationships with Tribal Leadership, CEO, Executive Leadership Cabinet, and enterprise leaders.
  • Strategic Relationships : Builds trusting relationships across the enterprise to empower teams with tools and education for legal compliance.
  • Future-Oriented : Possesses a forward-thinking perspective, patience, and maturity to build strategic relationships.

    • Organizational and Management Skills

  • Project Management : Strong organizational skills to manage multiple projects in a fast-paced, dynamic environment.
  • Team Collaboration : Ability to collaborate as a team and work independently.
  • Problem-Solving : Creative thinking and strong problem-solving skills, with an ownership attitude for projects and strategic visioning.

    • Initiative and Accountability

  • Results-Driven : Demonstrates initiative and accountability to achieve individual and organizational goals.
  • Compliance Solutions : Skilled in crafting legal compliance solutions, providing practical advice, and balancing risks and business rewards.

    • Adaptability and Resilience

  • Thrives in Fast-Paced Environment : Comfortable working in a dynamic and entrepreneurial tribal government environment.
  • Open to Change : Adaptable to change and ambiguity.

    • Licenses, Certifications and Registrations

  • At the discretion of the San Manuel Tribal Gaming Commission, you may be required to obtain and maintain a gaming license.
  • Must be an active member in good standing of the State Bar of California.
  • Authorized Driver : Role requires operation or driving of Tribe-owned vehicles or driving patron vehicles. A valid driver's license with an acceptable driving record as determined by the insurance carrier is required.

    • Physical Requirements / Working Conditions - Environment

    The physical demands and working environment described here are representative of those that an employee encounters and must be met by an employee to successfully perform the essential functions of this job.

  • Primary work environment is in a climate-controlled office setting.
  • Work requires travel to attend meetings, trade shows, and conferences.
  • Incumbents may be required to work evening, weekend and holiday shifts.
  • Must be able to work in a fast-paced, high-demand environment.
  • Strength sufficient to exert up to 10 pounds of force occasionally and / or a negligible amount of force frequently or constantly to lift, carry, push, pull or
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    Legal Compliance Compliance • Highland, CA, US

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