Senior Manager Corporate Compliance

Job ID: 8646

Business Unit: MTA Headquarters

Location: New York, NY, United States

Regular/Temporary: Regular

Department: Office of the Chief Counsel

Date Posted: Sep 4, 2024

Description

JOB TITLE: Senior Compliance Manager

SALARY RANGE: $97,000 ‐ $109,000

HAY POINTS: 634

DEPT/DIV: MTA Corporate Compliance

SUPERVISOR: Agency Chief Compliance Officer

LOCATION: 2 Broadway

HOURS OF WORK: 9:00 am - 5:30 pm (7 1/2 hours/day)

*This position is eligible for telework which is currently one day per week. New hires are eligible to apply 30 days after their effective date of hire. *

SUMMARY:

The Senior Compliance Manager is responsible for assisting with planning, directing, and administering the operations of the MTA Ethics, Risk and Compliance program.

This position will resolve basic employee compliance-related issues. Meet with employees from all MTA Agencies submit and record questions on ethics related items and provide guidance on compliance related practices. The Senior Compliance Manager authority to approve ethics and compliance requests and to provide binding decisions on employee matters as well as provide guidance to Employees. Additionally, this role is responsible for collecting data, analyzing data, identifying areas of ethical or compliance concern, escalating concerns to the appropriate persons, and following through, as necessary to address and resolve such concerns. This manager supports the Agency and DCCOs on internal investigations, ethics, and compliance reviews, as well as training activities on ethics and compliance issues. Included in these activities is the delegated authority to work directly with senior managers to develop responses to internal control deficiencies and ensure that those responses address the issues raised and are provided when needed. The position will assist with the policy lifecycle management, including, identification of policy needs, development of new policies, review of existing policies, and monitoring policy compliance. Lend technical support with regard to the internal control system and internal active PDF forms.

RESPONSIBILITIES:

• Primarily responsible for conducting required Ethics and Compliance investigations. These investigations include conducting interviews, reviewing documents, and meeting with management;

• Work within the Compliance organization to identify trending or isolated issues. Must work other departments including, legal and/or HR in developing recommendations;

• Maintain a confidential operation requiring a high degree of tact and sensitivity; and

• Maintain communications on specific ongoing matters with the MTA Inspector General on investigations and of compliance related matters.

• Review and analyze complex inquiries submitted to the Ethics/Compliance Helpline;

• Meet with potential whistleblowers at various locations within the MTA service area pursuant to MTA’s whistleblower policy and Code of Ethics; and

• Meet with, and address issues for, “walk in” employees who need or wish immediate attention.

• Review, update and develop an on-going schedule of review for all MTA policies for relevance based upon the policy lifecycle;

• Work with policy-owners to ensure policies are accurate, and properly communicated to employees;

• Interface and verify that MTA Agencies do not issue or intend to issue polices that conflict with the MTA’s All Agency policy;

• Maintain critical policies and pronouncements from Albany to be ensure items such as Executive Orders that may impact MTA policies are communicated to the appropriate parties;

• Create interactive PDF forms to support policies and procedures as appropriate.

• Develop flowcharts to serve as visual representation for policies as appropriate.

• Assist with the development and marketing of an effective ongoing communication program on ethics, and matters related to employees the written and video methods;

• Collaborate with MTA Agencies to develop effective and on-going “common messaging” for the employee ethics/compliance program; and

• Provide approved ethics training to all MTA employees.

• Accountable for the design, communication, training, and administration of the Internal Control Program for MTA;

• Assure full implementation of Internal Controls to maximize cost controls, benefit internal and external MTA customers, and aiding financial objectives. This is done by promoting practices that safeguard assets against fraud, waste and promotes efficient operations and communication;

• Train, educate, and guide MTA staff regarding the internal control program and their responsibilities for ensuring the proper functioning of MTA’s internal control program;

• Supervise Risk Managers with the yearly vulnerability assessments of departments: which includes identifying and ranking risks;

• Conduct risk analysis, controls testing and, where necessary, initiate remediation plans;

• Interface with Audit Services and the MTA Inspector General on areas of concerns and incorporates changes into the Internal Control program;

• Assist the Agency Chief Compliance Officers (“ACCO”) in the administration of their agency programs;

• Meet with individuals, groups and management as necessary to “market” the Internal Control program for integration into business process;

• Conduct formal training for coordinators and informal information sessions for all employees on the Internal Control program;

• Maintain on-going communication to employees on Internal Controls to promote an awareness and effectiveness of program;

• Write reports, develops solutions and conducts analysis of the Internal Controls program;

• Interface with State Agencies on Internal Control issues;

• Ensure compliance by Department with accepted recommendations from Audit Services, MTA Inspector General, External Auditors and others; and

• Assist with Internal Controls at MTA agencies, as requested.

• Assist delegated persons in exercising oversight responsibility for the MTA ’s corporate compliance and ethics program;

• Assist the ACCO and DCCO in managing the Ethics programs, including but not limited to training, communications, employee counseling, activity approvals and management of ethics/compliance issues;

• Conduct research into Ethics and Compliance questions and issues for employees;

• Prepare opinions and referrals as required;

• Interface with other State Agencies on Ethics and Compliance items;

• Represent the ACCO or DCCO as necessary;

• Coordinate with other Agencies and departments including legal, internal audit, security, human resources, and information technologies to ensure effective implementation of the compliance and integrity program;

• Coordinate with other departments involved with external liaison functions, to ensure an understanding by outside audiences of the MTA commitment to compliance and integrity;

• Assist the DACCO and ACCO in ensuring effective systems are in place for employees and other agents to raise questions and obtain advice regarding compliance and integrity, and to report misconduct without fear of retaliation, and with appropriate follow-up; and

• Assist with compliance activities at MTA agencies, as requested.

• Structure and map business process, objectives, risks and controls in RSA GRC Archer.

• Ensure mapping setup is configured in a multi dimension and direction based on the business needs and requirements. (e.g., share common business process with the same or different controls among different departments and different agencies, as needed).

• Critical thinking and embracing of innovative technology are essential in managing the evolving and expanding needs and managing various multi-integrated applications on an ongoing basis.

• Troubleshoot and resolve problems including any technical issues that are either raised by user or self-identified or self-encountered.

• Design and build various reports for different Archer applications at different stages/ phases based on different needs/ formats, reviewers/users.

• Create interactive PDF forms to support policies and procedures as appropriate.

• Facilitate training to inform and bring business users of all levels onboard with the new web-bases application being utilized. Conduct live demonstration on how to navigate the application and engage business users in various roles and responsibilities.

• Lend support to Directors as appropriate and/or work with departments to obtain updated responses to MTA Audit Services related audits.

• The above improves consistency and timeliness with responses to recommendations. Ensures Agency position is accurately reflected in the final report and that estimated implementation dates are feasible.

• Track recommendations and review departmental responses accurately address findings noted in audit reports. This is done to ensure recommendations are appropriately closed and avoid future recurrence of such findings. Timely responses to close recommendations also avoid having to be brought before the board.

• Special assignments for the Compliance Department, as necessary;

• Work outside of normal work hours (i.e. evenings and weekends);

• Travel, as required, to other MTA locations or other external sites; and

• Participate in strategic, metropolitan, suburban and enterprise operations, as necessary.

  EDUCATION AND EXPERIENCE: REQUIRED

• Bachelor’s Degree in Business, Transportation, Public Policy or a related field from an accredited college. An equivalent combination of education and experience may be considered in lieu of a degree.

• A minimum of 7 years’ experience in Compliance, Audit, Legal, Human Resources, Organizational Development, Training or a related field including at least 2 years in a managerial or leadership role in a large, multi-faceted, fast-paced organization or governmental body preferred.

• Must have strong knowledge of corporate policies and procedures.

• Experience dealing with highly confidential information.

• Must possess excellent grammar, editing, oral communication, and writing skills.

• Demonstrates the ability to work with all - levels of management within the MTA.

• Demonstrates the ability to communicate and interact well with external agencies. External agencies may include the Governor’s Office for New York State, New York City government, elected and other public officials, as well as any staff located at other federal or state agencies or authorities.

• Demonstrates the ability to complete short- and long-term projects effectively and as efficiently as possible.

• Knowledge of MTA policies and procedures.

• Must be able to work with confidential information and issues.

• Strong interpersonal are essential.

• Ability to identify issues and provide rational recommendations.

• Must be willing to travel to various locations to gather information.

• Detailed knowledge of Corporate Compliance programs, corporate governance practices and ethics programs preferred.

• Demonstrate analytical capabilities and quantitative skills.

• Proficiency in Microsoft Office Suite or comparable applications, i.e., Word, Excel, PowerPoint, Visio and Outlook.

• Proficiency in Adobe Lifecycle.

  PREFERRED:

• Master’s degree from an accredited school in a related field.

• Extensive knowledge of MTA operations and business activities.

• Detailed knowledge of Corporate Compliance programs especially internal control standards, corporate governance practices and ethics programs.

• Budget responsibility in prior experience preferred.

• Managerial skills

  OTHER INFORMATION:

  Pursuant to the New York State Public Officers Law & the MTA Code of Ethics, all employees who hold a policymaking position must file an Annual Statement of Financial Disclosure (FDS) with the NYS Commission on Ethics and Lobbying in Government (the "Commission")

  Equal Employment Opportunity

  MTA and its subsidiary and affiliated agencies are Equal Opportunity Employers, including with respect to veteran status and individuals with disabilities.

  The MTA encourages qualified applicants from diverse backgrounds, experiences, and abilities, including military service members, to apply.