Company: Southern Glazer’s Wine and Spirits
Location: Dallas, TX
Overview
The Senior Vice President, Compliance and Ethics oversees and manages the company’s compliance program across both the United States and Canada. Reporting directly to the Executive Vice President, Chief Legal and Compliance Officer, the role is responsible for setting the strategic direction of the compliance function, implementing compliance controls and training, and leading the organization in achieving compliance with all applicable laws and industry standards. The Senior Vice President, Compliance and Ethics will work closely with members of the legal department in managing the compliance function.
Primary Responsibilities
- Risk Assessment: Working with other departments in the company, conduct a compliance risk assessment.
- Compliance Strategy: Develop and implement a comprehensive compliance strategy in light of the risk assessment that aligns with the company’s business objectives and regulatory requirements, while fostering a culture of ethics and compliance throughout the organization.
- Compliance Program Management: Oversee the design, implementation, and maintenance of an effective compliance program that addresses potential risks, including creating, reviewing, approving and/or implementing policies, procedures, and controls. This will include overseeing and managing other compliance professionals and deploying compliance resources.
- Regulatory Knowledge: Know and understand all relevant laws, regulations, and industry best practices pertaining to the company in the United States and Canada.
- Ethics Training and Education: Develop and deliver comprehensive compliance and ethics training programs for employees at all levels, promoting awareness and understanding of key compliance issues.
- Internal Investigations: (A) Contribute to the design and operation of the reporting system to which employees and third-parties can make reports of misconduct and/or unethical behavior; (B) working in coordination with others with the necessary skill and expertise, direct or conduct internal investigations into potential compliance violations, ensuring thorough and timely resolution of issues, and recommending appropriate corrective actions.
- Reporting and Communication: Provide regular updates to the Executive Vice President, Chief Legal and Compliance Officer, the Chief Executive Officer, and other key stakeholders on compliance matters, potential risks, and program effectiveness.
- Vendor and Third-Party Management: Determine the need for and parameters of a due diligence and monitoring process for vendors and third-party partners to validate their compliance with relevant laws and regulations; participate in the implementation of same.
- Compliance Audits: Supervise periodic compliance audits and assessments to identify areas of improvement and support ongoing adherence to compliance standards.
Minimum Qualifications
- Juris Doctor (J.D.) degree from a top law school in the United States.
- Active license to practice law in a state within the United States.
- Minimum of 15 years of relevant experience, with a strong background in compliance, ethics, and related legal matters.
- Proven track record of leading compliance teams, developing and implementing successful compliance programs, and managing complex compliance issues.
- Exceptional analytical skills and the ability to apply business judgment and risk analysis to complex legal matters.
- Strong communication and interpersonal skills to effectively collaborate with internal and external stakeholders.
- Demonstrated ability to work in a fast-paced, dynamic environment while managing multiple priorities and deadlines.
- Travel approximately 50% to meet with internal clients, attend legal education and industry seminars, and participate in company meetings.
