Corporate Compliance Manager

JOB SUMMARY

As a key member of the Leadership Team, the Corporate Compliance Manager will report to the CFO and assume a role that maintains and improves an effective compliance program to prevent illegal, unethical, or improper conduct ensuring compliance with applicable federal, state and local regulations as well as company policy and industry standards as they relate to truck and trailer sales. As a critical function of the dealership environment, this position must lead by example, create an engaged atmosphere that is committed to providing the highest level of customer service and promoting our organization as the dealership and employer of choice. Primary responsibilities include but are not limited to working with the Leadership Team to implement all necessary actions to ensure achievement of the objectives of an effective truck and trailer sales compliance program.

ESSENTIAL POSITION FUNCTIONS AND PRINCIPAL ACCOUNTABILITIES

Planning

• Identify potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.

Develop, revise and provide training on policies and procedures for the general operation of the Red Flag program and its related activities to prevent illegal, unethical, or improper conduct.

• Work with the Leadership Team to establish a sound management succession plan that corresponds to the strategy and objectives of the Corporate Compliance operations.

Operations

• Act as an independent review and evaluation body to ensure that compliance issues and concerns within the organization are being appropriately evaluated, investigated, and resolved.
• Monitor, and as necessary, coordinate truck and trailer sales compliance activities to remain abreast of the status of compliance activities and to identify trends.
• Identify and implement process improvements to continuously and consistently achieve efficient and effective compliance process flows across all company locations.
• Arrange and/or conduct periodic training required under the Red Flags Rule for all F&I employees utilizing KPA training program.
• Review all truck and trailer sales deal sheets in regard to compliance with Federal Excise Tax and State regulations.
• Administer E-Tag program in applicable states.
• Assist F&I Managers, Title clerks and Office Managers with deal sheet questions.

Reporting

• Communicate within the company in conjunction with the Executive Leadership Team, GM’s, Office Managers and other members of the organization as needed.
• Coordinate KPA quarterly sales audit and reporting requirements.
• Work with the CFO on compliance or other reporting as needed.

POSITION REQUIREMENTS

Education & Experience

• B.S. degree in Business Administration preferred of equivalent experience or equivalent combination of education and experience.
• Any business operations certifications and or accreditation such as six sigma certifications, ATD etc. a plus.
• Appropriate industry experience, preferably with commercial truck dealership environment.

Travel

• This position requires moderate travel 10 to 20%