Chief Compliance Officer

Position Title:  Chief Compliance Officer

Position Location:  This position is based in Raleigh, North Carolina although the CEO is open to hiring a candidate who will be primarily based in another location in North Carolina.  Candidates currently working within Legal Aid of North Carolina are strongly preferred. 

Mission and Vision:  Legal Aid of North Carolina is a statewide, nonprofit law firm that provides free legal services in civil matters to low-income people to ensure equal access to justice and to remove legal barriers to economic opportunity.  Legal Aid of North Carolina is an innovative, creative, progressive, and efficient civil legal service provider to the poor, working towards an inclusive justice system of equal access. All voices are valued, heard, and respected.

Position Summary:  The Chief Compliance Officer is an organizational leader who is responsible for overseeing compliance with regulatory and grant requirements, policies and procedures.  The Chief Compliance Officer establishes standards and implements procedures to ensure that compliance programs throughout Legal Aid of North Carolina (LANC) are effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable regulations and grant requirements. The Chief Compliance Officer provides reasonable assurance to senior management and the Board that there are effective policies and procedures in place and that the company is complying with all regulatory and grant requirements.

Job Description:  The Chief Compliance Officer:

• Reports to the CEO;
• Serves on LANC’s management committee;
• Oversees the compliance program and compliance team;
• Ensures that LANC is compliant in all respects with the Legal Services Corporation Act;
• Provides strategic direction to management on compliance;
• Develops and implements an annual compliance work plan;
• Prepares and presents clear and concise compliance reports to the Board of Directors;
• Interacts with regulators on compliance issues;
• Coordinates all compliance audits, reviews and examinations;
• Develops policies and programs that encourage managers and employees to report suspected fraud and other improprieties without fear of retaliation;
• Coordinates internal and external compliance reviews, monitoring activities and periodic reviews of departments;
• Independently investigates and acts on matters related to compliance;
• Coordinates and oversees all compliance training for staff;
• Identifies potential areas of compliance risk factures; remains abreast of all compliance changes, activities and identifies trends;
• Communicates appropriately with staff concerning policies, procedures and updates;
• Establishes an easy to use and responsive system for staff to obtain answers on compliance questions;
• Liaises with the Board of Directors as requested by the CEO;
• Acts as the expert on Board of Directors composition and advises the Nominating Committee;
• Oversees the Client Council and ensures that the Client Council is integrated in the work of the organization and the Board of Directors; and
• Provides support for Client Council Board Members.

As it relates to regulations promulgated by the Legal Services Corporation (LSC), the Chief Compliance Officer:

• Serves as an expert on LSC regulations;
• Leads an internal team of at least three members who are trained on LSC compliance matters and are able to advise LANC in the absence of the Chief Compliance Officer;
• Reviews all compliance advisories and other guidelines and notifications issued by LSC and ensures that LANC is compliant in all respects;
• Leads the drafting, enactment or amendment of policies and procedures as required by LSC guidelines;
• Oversees annual LSC self-inspection and case review audit process; and
• Coordinates LSC site visits.

As it relates to human resources policies and procedures, the Chief Compliance Officer:

• Works closely with the Chief Human Resources Officer to ensure that all personnel policies comply with applicable government regulations;
• Assists the human resources officer with drafting and implementing new or amended policies when required; and
• Performs a semi-annual compliance review with the Chief Human Resources officer and submits a report to the CEO confirming that all human resources policies and procedures are compliant.

As it relates to grant management, the Chief Compliance Officer:

• Works closely with the Grants Manager to ensure that grant applications and awards are compliant with applicable regulatory requirements;
• Trains the Grants Manager on compliance issues;
• Ensures contract compliance requirements are met and serves as an internal liaison to program staff in their roles as they relate to grant compliance;
• Writes operations procedures to ensure compliance with government grants;
• Ensures that effective compliance training and workshops are developed; and
• Oversees training to staff as it relates to grant administration and compliance policies.

The Chief Compliance Officer is responsible for the following:

• LSC self-inspection (January to February)
• LANC case file audit (January to March)
• Other services (Matters) narrative performed jointly with the grants manager (February)
• Promulgation of financial eligibility guidelines (January through March)
• Reviews the EEO report prepared by the Chief Diversity Officer to ensure LSC compliance (Fall)
• Prepares the LSC Program Integrity Report (late fall)
• Reviews the Case Priorities prepared by the Chief Legal Officer to ensure LSC compliance (Winter)
• Ensures that the following reminders are sent to staff:  case closing (quarterly), dormant files (semi-annually), review of matters data (semi-annually)
• Review case file data and alert MAs of systemic issues (as needed)

Salary and Employee Benefits: The salary range for this leadership role is competitive ($75,000 to $95,000) and will be commensurate with the candidate’s years of service, competencies and experience. Legal Aid of North Carolina provides excellent health, retirement, disability, and leave benefits.  Employee medical, vision, dental, and life insurance premiums are covered at 100% by the employer.  Discretionary 401(k) contributions with no match required.  Paid leave includes 1.75 days per month (21 leave days in the first two years; 30 days in subsequent years), 12 paid holidays, 2 floating holidays, and other paid leave. 

Legal Aid of North Carolina is proud to be an equal opportunity employer.  All are welcome to apply. Selection will be based on relevant qualifications and will be made without discrimination because of race, color, national origin, ancestry, ethnicity, citizenship, creed, gender identity, gender expression, sexual orientation, age, religion, genetic information, disability, marital status, familial status, service in the military or any other legally protected category. We thrive when we are diverse and inclusive therefore, we prioritize diversity, equity, and inclusion in our organizational culture and hiring.  We highly encourage candidates with lived experience, in the communities that we serve, to apply.