Vice President Legal Compliance

The Vice President (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. 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 Comp