Director of Corporate Compliance
Liberty Enterprises - Amsterdam, NY

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Corporate Compliance Officer/QA


JOB TITLE : Corporate Compliance Officer/QA

DEPARTMENT : Corporate Compliance

LOCATION : Day Support Build ing

IMMEDIATE SUPERVISOR : Chief Executive Officer

Hours of Work : Monday – Friday, 8:30 am – 4:30 pm.


Education and Experience : Bachelor’s Degree in Human Services with a minimum of 3 years administrative experience. Knowledge of Medicaid laws, billing requirements, OPWDD rules and regulations, Corporate Compliance Standards, Federal Sentencing Guidelines and other applicable Federal and State standards.

Physical Requirements: Normal Office Environment

Job Summary:
Under the general administrative direction of the Executive Director, the Corporate Compliance Officer is responsible and accountable for the development and/or implementation of the agency’s Corporate Compliance QA Program. Responsibilities include monitoring adherence to the program, assess the impact of the program on the agency’s compliance, ensure the program is developed as efficient as possible and updating the program as needed to remain current in accordance with all State and Federal laws.

This individual will be responsible for monitoring adequacy and/or appropriateness of program participant services and for compliance with all applicable federal, state and local laws, regulations and policies.

April 2009

Essential Duties
1. Serve as a member of the Agency Management Team

a. Meet weekly with the Executive Director.
b. Meet bi-weekly with all agency Program Directors.
c. Meet quarterly with the Corporate Compliance Committee.
d. Attends, as needed, Board of Director’s meetings.

Essential Duties
2. Provide Administrative oversight to the development of all policies and procedures related to Corporate Compliance.

a. Meet with administrative team to advise on policies that may be required.
b. Oversee development, distribution and implementation of Corporate Compliance policies.
c. Ensure policies accurately and effectively communicate legal and regulatory requirements.
d. Actively seek and research current material and information to endure program remains current and up to date.

Essential Duties
3. Provide ongoing training and education for all agency personnel, consultants and other business associates.

a. Develop training programs that suit the needs of the agency.
b. Develop and distribute the Code of Conduct to all employees.
c. Ensure all new employees are trained on agency compliance and receive the Code of Conduct policy during orientation period of employment.
d. Assure training accurately reflects and co mmunicates legal and regulatory requirements pertinent to the agency.
e. Develop and implement tracking mechanisms to document attendance and completion of required training.
f. Ensure all employees, consultants and relevant business associates receive training on compliance standards.
g. Develop measurement mechanism to ensure employees have comprehension of Compliance Policy.
h. Ensure training is comprehensive it its attention to consequences of non-compliance.

Essential Duties
4. Foster a nd environment which supports an open communication policy.

a. Establish and maintain appropriate reporting mechanism.
b. Manage the Corporate Compliance Hotline according to government and
agency guidelines.
c. Manage the response to reported concerns and information, including determining when investigations may be required.
d. Establish a system that documents and tracks reported concerns, including the
status of related investigations and corrective actions.
e. Reports regularly to the Executive Director on information and reported
concerns received.
f. Work with other levels of management to foster an atmosphere which supports
open communication
g. Ensures an atmosphere of open communication void of retaliation
h. Immediately report suspected activity to the Executive Director and Controller.
i. Inform the Compliance Committee of reported concerns, information and

Essential Duties
5. Develop and implement ongoing monitoring and auditing practices relative to
Corporate Compliance/Quality Assurance.

a. Establish and maintain an auditing and monitoring plan.
b. Conduct/oversee compliance /QA audit functions.
c. Continuously review agencies risk areas to identify necessary auditing and
monitoring activities.
d. Assist management with formulation and corrective action plans.
e. Oversee and/or verify implementation of corrective action.
f. Perform annual self audit of compliance program for effectiveness.
g. Maintain records of all reported concerns, investigations, findings, corrective
plan of action and follow up reviews of corrective action.
h. Disseminate audit results to appropriate administrative and department staff.
i. Oversees agency self-monitoring activities concerning the quality of care
delivered. Includes defining outcome standards and review criteria, frequency
of monitoring, and reporting of activities. Directs investigations that result from
self-monitoring findings.
j. Ensure site surveys of each program are completed and reported in writing.
Assist program leadership to respond to on-site surveys with improvements.
Support program leadership in their efforts to self-monitor corrective actions.
k. Works cooperatively within the leadership of the organization to promote high
quality services.

Essential Duties
6. Involvement with appropriate enforcement of program and appropriate
d iscipline.

a. Assist agency in developing appropriate standards for discipline and
b. Tie compliance standards to functional areas within the agency that are
responsible for administering discipline.
c. Establish and implement a communication strategy to assure enforcement and
discipline standards are understood throughout the agency.
d. Maintain records of discipline resulting from compliance violations.
e. Report findings in this area to Compliance Committee.

Essential Duties
7. Performing investigations and developing appropriate responses and prevention

a. Responsible for performing independent investigations and for documenting
investigative efforts.
b. Ensure investigations are completed in a timely and efficient manner.
c. Report findings of investigations to appropriate administration and Executive
d. Recommend corrective action and prevention strategies for adoption and
implementation by administration.
e. Maintain record of all investigations, findings, follow up reports and corrective
f. Work with external auditor sources as relative to corporate compliance

Essential Duties
8 . Serves as an active member on assigned committees.

a. Special Review Committee
  • reviews incident reports in advance of monthly meeting.
  • offers recommendations to chairperson re: specific incidents.
  • incorporates quality assurance measures in all program management
f unctions.
b. Corporate Compliance Committee
  • attend quarterly meeting.
  • collaborates with committee members to monitor issues pertaining to
compliance standards within the agency.
c. Participates as a committee volunteer for special agency functions as needed
or requested.


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