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New York, United States TZ CLEARING Company Full timeTradeZero, which operates multiple broker-dealers focused on the active trader, is seeking a Chief Compliance Officer for its TZ Clear subsidiary. The role requires significant prior experience as a senior compliance officer for a US clearing firm. Experience should include without limitation:OATS/CAT reporting15c3-5 complianceAdvertising/marketing...
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Chief Compliance Officer
2 months ago
Purpose: The Chief Compliance Officer will align his/her scope of work with Jawonio’s mission, while incorporating Jawonio’s Core Values as the guiding principle for all work activities.
Summary: The Chief Compliance Officer will be responsible for overseeing, directing and managing the implementation and of Jawonio’s Corporate Compliance Plan and for overseeing and enforcing regulatory compliance across Jawonio’s programs and activities. You will be responsible for a broad range of clinical and administrative functions related to quality of care and services for consumers. The position will manage the agency’s HIPAA Privacy and Security function as it relates to day-to-day operations, including developing policies and training. You will also be responsible for overseeing Quality Assurance/Quality Improvement activities, including conducting or supervising agency investigations of allegations of abuse and neglect.
Essential Duties and Responsibilities include the following. Other duties may be assigned.
Job Purpose: Oversees the implementation of orientation and training of employees to make them fully aware of agency and department missions; regulatory requirements; consumer advocacy issues. Oversees/Conducts meetings or discussions with supervisory staff throughout the agency to ensure understanding of agency philosophy toward consumers and can integrate the concept of service into their jobs and in relationships with others throughout the agency. Oversee the Corporate Compliance function as it relates to day-to-day program operations for the organization including developing policies, developing/ overseeing and providing training and incident tracking and investigation. Oversee the HIPAA Privacy and Security functions for the agency including developing/overseeing the implementation of policies, overseeing/developing/providing agency-wide trainings and incident tracking and investigation.
Essential Duties:
· Chair of the agency’s Corporate Compliance committee, conducting follow-up as appropriate or needed.
· Chair of the agency’s Health and Safety committee, conducting follow-up as appropriate or needed.
· Oversees &/or conducts quality assurance reviews for all programs in each division, including physical plant inspections where applicable and including interviews with staff and consumers, generating written reports of findings for Division Directors & Executive Director/CEO.
· Chairs agency wide committees such as Incident Review ensuring regulations are adhered to, follow up is performed and recommendations are appropriate and consistent with agency policy and practice. Participates in a number of other agency wide committees as assigned
· Carries out a broad range of protective oversight functions, including unannounced visits to off-site programs, monitoring all incident reports and compiling data for annual incident trend reports.
· Oversees/conducts Corporate Compliance reviews for all divisions to ensure regulatory compliance. Takes the lead in preparing programs in all divisions for both quality and fiscal audits by regulatory authorities.
· Oversees/establishes, recommends, or arranges for staff training for HIPPA, Corporate Compliance and other mandated or specialized trainings.
· Assists division directors by meeting consumers and families to resolve grievance issues related to human rights and consumer protection.
· May be utilized to investigate incidents, grievances, or allegations of a sensitive nature that do not involve individuals served.
· Conducts/oversees the investigation of all reported consumer related incidents, including collecting data such as statements, documentation and other information needed to make recommendations. Submits written documentation of incidents investigated, which may be related to consumer, personnel, Corporate Compliance and HIPPA issues (not inclusive).
· Develops, implements and distributes agency wide policies and procedures including but not limited to incident review, OPWDD, OMH, DOH, NYSED, Corporate Compliance, HIPPA and other oversight agency requirements. Ensures all policies are up to date, accurate and distributed to agency personnel. Chairs agency’s policy and procedure committee.
· Oversees the confidential reporting function for Corporate Compliance and HIPPA, ensuring employees, consumers and vendors have access to reporting feature within the organization. Oversees/conducts investigations for any breaches of HIPAA and/or Corporate Compliance regulations.
· Conducts regular reviews of the quality assurance and compliance program functioning to propose modifications, if necessary to prevent recurrence of a problem. Serves as agency liaison with all government agencies conducting both quality and fiscal reviews of agency programs. Monitors and remains current with state, federal, agency regulations and adjusts the agency compliance program as needed to remain in conformity with those changing regulations.
· Oversees/supervises the development of the agency’s annual Quality Improvement Plan. Assists division directors/administrative staff with the development of annual QI indicators. Oversees/compiles all QI data for annual QI report for CEO, Chief Program Officer and the Board of Directors. Provides direction throughout the year to administrative staff regarding methods to achieve indicators.
· Acts as resource for administrative staff regarding compliance with mandated regulations as they pertain to federal and state regulations.
· Oversees all agency functions for electronic medical record software (Precision Care, Foothold etc), including staff training, software modifications, liaison with vender.
· May represent the CEO at various quality assurance /compliance meetings with outside agencies as requested or appropriate.
· Performs or carries out special projects for the CEO in a broad range of activities.
Education/Experience:
Bachelor Degree in related field required. Master’s or higher in related field preferred
Five (5) years of management in related industry
Ten (10) years of experience in related industry
Strong knowledge of OPWDD, OMH, SED, OCFS, DOH and related regulations
Investigatory experience and strong analytical writing
