Senior Corporate Compliance Manager – Monitoring

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🔥 6 minutes ago

🏄 California – Remote

🏄 California – Remote

⏰ Full Time

🟠 Senior

🚔 Compliance

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Foundation Finance Company LLC

WebsiteLinkedInAll Job Openings

51 - 200 employees

Foundation Finance Company (FFC) provides both prime and subprime installment and revolving credit financing for dealers and retailers in a variety of industries including home improvement, windows, roofing, siding, remodeling, HVAC, turf, and water treatment. FFC also purchases and services retail financing portfolios.

📋 Description

• The Senior Corporate Compliance Manager will have primary responsibility for Back-End Monitoring (BEM) and related oversight activities at both the strategic and tactical level. • This role will manage, coordinate, and conduct live monitoring, support internal investigations and audits, and provide support in managing associated tasks for UT's Risk Assessment and Mitigation Process (RAMP). • Lead and oversee the strategy, development and execution of ongoing Back-End Monitoring (BEM) activities, including document collection, review, oversight, tracking, and follow-up corrective actions. • Ensure achievement of strategic goals. • Manage, coordinate, and conduct live monitoring activities, ensuring issues are documented, escalated, and resolved appropriately • Maintain all related Compliance trackers (e.g., Issue Tracker, Management Action Plans, monitoring logs, and other oversight tools) to ensure completeness, accuracy, and timely follow-up • Perform root cause analysis of noted compliance issues, trending of identified and emerging risks, and tracking of remediation • Facilitate data collection efforts and analyses related to ad hoc requests from senior members of the Compliance team • Oversee and review the work of contractors and temporary associates, as needed • Provide investigation support, including information gathering, documentation, and coordination with internal stakeholders • Manage the coordination of compliance audits, under the direction of Risk Management, including planning, execution, interviews, and documentation of findings and outcomes • Support UT’s Risk Assessment and Mitigation Process (RAMP), including documentation of remediation outcomes, conducting trend analyses, and preparing executive-level reports • Maintain UT’s Compliance incident management and reporting system, ensuring timely documentation, follow-up, and resolution • Recognize and respond promptly to compliance issues, escalating and addressing concerns to improve processes and communications • Collaborate across Compliance functions to ensure alignment and consistency in monitoring, remediation, and reporting • Recommend and implement new and updates to existing functional practices, policies and systems • Perform other departmental duties as assigned

🎯 Requirements

• Bachelor’s Degree in health science or related field • 10+ years of compliance experience in the life sciences industry (pharmaceutical, medical or biotechnology) with a Bachelor's Degree or 8+ years of compliance experience in the life sciences industry (pharmaceutical, medical or biotechnology) with a Master's Degree • 6+ years of experience in corporate compliance monitoring, auditing, and investigations roles • Full knowledge of healthcare laws and regulations under the FDA, fraud and abuse laws, privacy laws, industry codes • Excellent analytical and problem-solving skills with the ability to organize and interpret complex data and identify trends to facilitate understanding of key information and provide actionable insights and recommendations • Understanding of simple statistical sampling methods to facilitate risk-based sampling • Skilled at effectively communicating findings, trends/patterns, and recommendations both verbally and in writing to leadership and stakeholders through comprehensive reports • Demonstrated expertise in compliance monitoring, auditing, and issue remediation • Demonstrated knowledge of regulatory and compliance requirements including Anti-Kickback Statute, False Claims Act, Foreign Corrupt Practices Act, Sunshine Act, and other relevant regulations • Proficiency with Microsoft Office Suite of products; intermediate to advanced level skills in Word, Outlook. Advanced skills in Excel and Power BI (e.g., V-Lookups, Pivot Tables, data queries, visualization, data import and format conversions), PowerPoint (e.g. development of slide decks including text and graphics), and Smartsheet (e.g. case tracking) • Ability to build professional relationships with internal customers and partners • Acts with a sense of urgency; high motivation and ability to take initiative, follow through, and complete projects in a professional and expeditious manner • Proficiency with and/or ability to learn varied industry software products, such as Veeva, Smart Sheets, Sharepoint, Centris, and similar systems supporting day-to-day compliance operations

🏖️ Benefits

• medical / dental / vision / prescription coverage • employee wellness resources • savings plans (401k and ESPP) • paid time off & paid parental leave benefits • disability benefits