Compliance Manager

Metropolitan Transportation Authority (MTA); New York (NY); Hybrid; USD 80,000 - 110,000; Full time

Job summary

An established industry player is seeking a Compliance Manager to oversee critical compliance activities within a vast transportation network. This role involves monitoring employee interactions, conducting investigations, and ensuring adherence to corporate policies. You will collaborate closely with senior managers to enhance compliance training and communication strategies. The position offers a dynamic work environment, where your contributions will directly impact the integrity and efficiency of operations. If you have a passion for compliance and a commitment to ethical practices, this role provides an exciting opportunity to make a difference.

Qualifications

• 5+ years in Compliance or related field, including 2+ years in a managerial role.
• Strong knowledge of corporate policies and procedures is essential.

Responsibilities

• Monitor employee walk-ins and manage compliance-related inquiries.
• Conduct investigations and provide support for audits and training.

Skills

Compliance Management

Analytical Skills

Interpersonal Skills

Communication Skills

Project Management

Microsoft Office Suite

RSA Archer System

Corporate Governance

Education

Bachelor’s Degree in Business or related field

Progress towards a Master’s degree

Tools

Microsoft Office Suite

RSA Archer

Adobe Lifecycle

Job description

SUPERVISOR: Agency Chief Compliance Officer

LOCATION: 2 Broadway

HOURS OF WORK: 9:00 AM - 5:30 PM

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

The Metropolitan Transportation Authority is North America's largest transportation network, serving a population of 15.3 million people across a 5,000-square-mile travel area surrounding New York City, Long Island, southeastern New York State, and Connecticut. The MTA network comprises the nation’s largest bus fleet and more subway and commuter rail cars than all other U.S. transit systems combined. MTA strives to provide a safe and reliable commute, excellent customer service, and rewarding opportunities.

SUMMARY:

The Compliance Manager is responsible for monitoring employee walk-ins (without appointments) to register complaints, submit and record questions on ethics related items, and/or provide guidance on compliance related matters. As well as conducting critical investigations and analysis, and executing other Compliance relate internal activities while collaborating with the Compliance Director and Senior Manager supporting MTA and its Subsidiary Agencies to deliver an effective and efficient Internal Control Review program that roots out fraud, waste, and abuse.

Additionally, this role will be responsible for providing critical management support and assisting the Compliance Director and Senior Manager in managing and coordinating analytical, technical, and administrative activities, such as providing instructions to assist the Agencies in managing the All-Agency Compliance training from Albany.

RESPONSIBILITIES:

• Lend technical support and assist the Compliance Senior Manager with the RSA Archer System and support and manage Internal/External Audits, GRC RSA Archer software, recommendations, Corporate Policies and Procedures.
• Create PDF interactive fillable forms, swim lane workflows, and develop flowcharts to support Corporate Policies and procedures, and projects.
• Complete investigations to examine compliance related issues, including conducting interviews, reviewing documents, and meeting with management.
• Identify trending vs isolated issues and work with necessary delegated personnel to draft recommendations as appropriate.
• Preserve confidentiality and exercise a high degree of tact and sensitivity when communicating with the MTA Inspector General on compliance matters.
• Assist in the review, update, and development of MTA and its subsidiary agencies' policies for relevance to ensure they accurately reflect current business practices and critical pronouncements and do not conflict with MTA’s All Agency policy.
• Work with Corporate Communications and Training, as appropriate, to ensure new and updated policies are appropriately communicated to employees.
• Maintain critical policies and pronouncements from Albany to ensure items such as Executive Orders that impact MTA policies are communicated to the appropriate parties.
• Assist with the development and marketing of an effective ongoing communication program on ethics, and matters related to employees, the written and video methods; and collaborate with MTA Agencies to develop effective and on-going “common messaging” for the employee ethics/compliance program.
• Review and analyze complex inquiries submitted to the Ethics/Compliance Helpline.
• Meet with, address, and delegate issues for “Walk-in” employees who require immediate attention.
• Manage the analytical and administrative work generated by the Agency Chief Compliance Officer and Compliance Director as part of the Internal Control Program, thereby allowing the Director to focus more on providing leadership and direction on various initiatives.
• Lend support and work with department risk officers as directed by the Director to maintain guidelines for a system of Internal Controls and a program of Internal Control Review within the organization that promotes efficiency and effectiveness to help safeguard company assets, reduce fraud, waste and abuse, provide for a safer working environment, and enable the company to achieve its strategic goals and objectives.
• Create and launch the agency's Compliance Engagement and major operating departments' Compliance Engagements.
• Track recommendations and review departmental responses accurately, addressing findings noted in audit reports to ensure recommendations are appropriately closed and avoid future recurrence of such findings.
• Troubleshoot and resolve problems, including any technical issues that are either raised by the user or self-identified or self-encountered.
• Facilitate training to inform and bring business users of all levels onboard with the new web-based application. Conduct a live demonstration on how to navigate the application and engage business users in various roles and responsibilities.
• Other duties as assigned.

KNOWLEDGE, SKILLS, AND ABILITIES:

• Experience dealing with highly confidential information.
• Must possess excellent grammar, editing, oral communication, and writing skills.
• Ability to work with all levels of management within the MTA.
• 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.
• 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 skills 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, and Outlook.
• Proficient in Adobe Lifecycle.
• Familiarity with RSA Arche system is a plus.

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; and
• A minimum of 5 years’ experience in Compliance, Audit, Legal, Human Resources, Organizational Development, 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.

PREFERRED

• Progress towards a 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.
• COSO Certification

OTHER INFORMATION

May need to work outside of normal work hours (i.e., evenings and weekends)

Travel may be required to other MTA locations or other external sites.

According 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 those concerning veteran status and individuals with disabilities.

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