Director, Compliance and Ethics

4 weeks ago

Johnson City, United States Pedernales Electric Full time
PHYSICAL OFFICE LOCATION: PEC Headquarters - 201 South Avenue F, Johnson City, TX 78636

Position Summary

This position has a key role in the implementation and operation of a robust and effective corporate compliance program, employing the essential elements of an effective compliance program including risk and insurance management, organizational compliance, loss prevention programs, policy management, federal, state, and local compliance monitoring and reporting, reinforcing company culture, training and awareness, and ethics in support of the Cooperative's strategic initiatives.

Essential Duties & Responsibilities

  • Leads the company's data privacy program, overseeing daily operations, risk assessments, policy development, implementation, training, awareness, compliance monitoring, and incident investigations, ensuring adherence to federal and state law
  • Maintains up to date knowledge of relevant federal, state, and other applicable laws
  • Provides expert compliance guidance on various risk areas, including third party risk, supply chain, data privacy, anticorruption, antifraud, antitrust, cybersecurity, and mergers & acquisitions
  • Initiates, facilitates, and promotes activities to strengthen the compliance program and foster organizational awareness
  • Manages ongoing compliance monitoring in coordination with the organization's compliance and operational assessment functions
  • Provides backup and support for regulatory functions
  • Oversees investigations of potential noncompliance, documenting and communicating findings and recommendations to senior leadership
  • Possesses knowledge and experience in US state data privacy laws, with GDPR knowledge considered a plus
  • Experienced in managing internal investigation
  • Directs the Enterprise Risk Management (ERM) program across the Cooperative
  • Develops and implements compliance policies to ensure internal and external control adherence to regulations, including but not limited to North American Electric Reliability Corporation (NERC), Texas Reliability Entity (Texas RE), Electric Reliability Council of Texas (ERCOT), and the Public Utility Commission of Texas (PUC)
  • Collaborates with technical experts to implement and maintain compliance processes, programs, and training
  • Oversees and administers the corporate ethics and compliance reporting function
  • Reinforces corporate integrity and adherence to ethics, values, and standards
  • Investigates suspected ethics and compliance violations, conducting interviews and designing reports with findings and recommendations
  • Recommends and tracks corrective actions to ensure resolution
  • Supports various reporting mechanisms, including hotlines and email accounts
  • Coordinates the ethics and compliance committee for violation resolution, maintaining related documents
  • Implements corporate and departmental policies, procedures, and service standards
  • Develops, reviews, and interprets policies
  • Collects, tracks, and analyzes relevant data and performance metrics
  • Reports and presents information to management and the Board of Directors
  • Develops and provides education and training materials for new employees, ethics and compliance, internal control issues, and other programs
  • Provides guidance to employees and managers on ethics and compliance reporting concern
  • Builds partnerships with business units to enhance program effectiveness
  • Maintains subject matter expertise on key policies and requirements
  • Analyzes trends and recommends program activities and corrective actions
  • Prepares and presents department program status to the Board of Directors and committee
  • Maintain the security of confidential information
  • Stay abreast of advances in technology
  • Demonstrate regular and prompt attendance
  • Performs other related duties as necessary or assigned
Supervisory and/or Leadership Responsibilities

A full range of supervisory activities, training, evaluation, counseling and recommendation for termination. This includes, but is not limited to, effectively communicating organizational policies and other information to subordinates, ensuring that employees have a clear understanding of their responsibilities.

Knowledge, Skills & Abilities
  • Demonstrated ability to successfully lead work streams that require sustained cooperation and coordination between and among internal departments and external vendors
  • Knowledge of using computer systems, which may include setting up and using hardware and software programs, entering data or processing information
  • Knowledge of principles and processes for providing customer service
  • Knowledge of key ethics and compliance policies, rules, regulations, and concepts
  • Excellent facilitation and presentation skills
  • Skilled in time management
  • Skilled in prioritizing and managing changing priorities
  • Skilled in policy and procedure reviews
  • Skilled in interviewing and developing facts and impressions
  • Skilled in establishing and communicating in difficult situations
  • Skilled in anticipating, identifying, analyzing, and resolving conflict and problems
  • Skilled in research and investigative techniques
  • Skilled in effective presentation techniques
  • Ability to develop and proactive fair and effective interview techniques
  • Ability to write clear, concise, and timely investigation reports
  • Ability to exercise independent judgment and critical thinking
  • Ability to understand complex legal concepts and legal research
  • Ability to be self-motivated, analytical, independent, credible, and persistent
  • Ability to partner and interface with business leaders across all functional area
  • Ability to maintain credibility and objective perspective
  • Ability to communicate effectively verbally and in writing
  • Ability to maintain confidentiality
  • Ability to listen and understand information verbally and in writing
  • Ability to anticipate, identify, analyze, and resolve conflict and problems


Minimum Qualifications - (Education, Experience)
  • Bachelor's Degree in a related field
  • Directly related experience may substitute for education
  • 10+ years of progressive experience in a compliance, regulatory, legal, or internal audit function or similar role implementing and managing company-wide compliance program functions or programs in a regulated environment
  • Two years of leadership experience
  • At least one relevant professional certification - Certified Compliance & Ethics Professional (CCEP) certification, Certified Internal Auditor (CIA), Privacy certification (CIPP or CIPM), or equivalent preferred
  • Valid Driver's License
Physical Demands and Work Environment

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable qualified individuals with disabilities to perform the essential functions.
  • The employee may be required to stand; reach with hands and arms, stoop and kneel
  • The employee may be required to sit or stand for long periods of time
  • The employee may be required to lift, carry, push, pull or move up to 25 pounds
  • The employee may be required to travel
  • Exempt employee4s receive a fixed bi-weekly salary to compensate them for all hours worked during each pay period
  • This position may be required to work more than 40 hours per week


This description is intended to indicate the kinds of tasks and levels of work difficulty required of the position given this title and shall not be construed as declaring what the specific duties and responsibilities of any particular position shall be. It is not intended to limit or in any way modify the right of management to assign, direct and control the work of employees under supervision. The listing of essential duties and responsibilities shall not be held to exclude other duties that may be assigned based on the needs of the Cooperative.

Position Open Until Filled

Pedernales Electric Cooperative is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, sex, gender identity, sexual orientation, disability, protected Veteran status, age, or any other characteristic protected by law.

Join PEC

At PEC, we know happy employees produce great work. As a PEC employee, you'll find we're always willing to invest in you - because we know that we do better when you do better.

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