General Summary:
The Regulatory Compliance Specialist is responsible processing all legal documentation for violations and assisting stores in obtaining and maintaining compliance with regulations through audits, coaching team members, legal partnership, and the identification of regulations. The Regulatory Compliance Specialist will interact with government agencies, legal, team members and executives on a regular basis.
Principal Duties & Responsibilities:
1. Mitigate, question, and review citations violations prior to resolving with payment.
2. Track all citations, violations, and compliance training records to ensure all compliance training records are up-to-date and violations are processed properly and in a timely manner.
3. Partner with legal counsels (internally and externally) to ensure all violations are processed properly and in a timely manner including corrective action and recognition when Store Teams pass undercover inspections.
4. Work with legal to develop defense strategies for violations, assist with problem identification and develop solutions for on-going compliance activities.
5. Manage the Alcohol and Tobacco Compliance Team mailbox and ensure all incoming emails are actioned within 24-48 business hours and escalate in store problems to appropriate corporate team members so that issues are immediately addressed to prevent/eliminate fines, lost sales, and vendor service issues addressed.
6. Track and Monitor sensitive legal matters such as Alcohol/Tobacco suspensions, specific markets where underage sales can quickly escalate to warrants to ensure that underage violations are processed quickly, court appearances satisfied, and legal representation secured through internal legal partnership.
7. Partner with store team members, field, and corporate management to develop and implement long-term compliance strategies.
8. Conduct Alcohol / Tobacco audits and score performance based on pre-determined criteria and report audit findings to store team members (including the BARS Program).
9. Report audit findings, identify and report new legislation, legal issues, and compliance issues to both field and corporate management.
10. Lead conference calls and coach store team members on improvements based on Alcohol / Tobacco audits, areas with high concentration of violations and train store team members on new regulations and training programs.
11. Partner with governing agencies and legal to obtain clarification to regulations, ensure the proper trainings and SOPs are implemented, tracked, and used to mitigate assessed fines.
12. Manage accounts payable for the Regulatory Compliance Program to ensure all invoices and department credit card is processed and paid each month.
13. Liaison with governing agencies and internal business partners to Secure new EBT permits for all new Family Dollar Stores and renew all EBT Permits for Family Dollar.
14. Responsible for the alcohol and tobacco compliance signage library and deployment of existing and new compliance signage.
15. Manage all Tobacco transfers and markdowns to ensure the appropriate approval is granted by governing agencies and Store Teams take the appropriate action to comply with legal requirements.
16. Follows all Company policies and procedures and report suspected fraudulent activity to Loss Prevention
17. Other duties as assigned.
Minimum Requirements:
Education: 4-year college degree preferred Experience: Must have 1-2 years audit, coaching, training, and regulatory experience with 3 years of retail experience. Prefer 3-5 years of audit, coaching, training, and regulatory experience with 5 years of retail experience Other Requirements or Factors – Candidate must have at least 1-2 years of experience with MS Excel, Word, and Outlook with at least 1 year of Access experience. 1-2 years’ experience using License HQ software is preferred. In addition, the candidate should have excellent communication skills, the ability to work well with others, while always maintaining professional conduct as well as the ability to identify problem areas and report findings. They should be able to escalate problems appropriately and help influence P&L result through improved compliance. Position requires the ability for limited travel.
Organizational Competencies:
A competency is a characteristic of an Associate that contributes to successful job performance and the achievement of company goals and objectives. Organizational Competencies are the behaviors, skills, knowledge, and abilities of Associates that have a significant impact on Family Dollar’s organizational results.