Leadership role
Director of Compliance
Directs an organization's compliance program, making sure it follows the laws, regulations and funder requirements that govern its work.
Reporting and scope
Usually reports to the Chief Compliance Officer, General Counsel, CFO / Head of Finance or the Executive Director / CEO, with access to the board's audit or compliance committee. Authority covers compliance monitoring across the organization.
Core responsibilities
- Maintains the compliance plan, code of conduct and related policies
- Runs compliance training and tracks completion
- Audits billing, grants and program records against regulatory and funder rules
- Manages the hotline and investigates reported concerns
- Oversees the annual conflict-of-interest disclosure process for staff and board
- Reports findings and corrective actions to the compliance committee
How it differs
Chief Compliance Officer and VP of Compliance are the executive tiers above; in smaller organizations the Director of Compliance may be the compliance officer. Director of Quality measures service quality rather than legal and regulatory conformance. General Counsel gives legal advice.
By organization size
In small organizations compliance is often a part-time duty of finance or operations. In health systems and large federal grantees it is a dedicated office with auditors and privacy staff.
Filings from the last five years mapped to this role commonly report titles such as: Director of Compliance; Compliance Director; Dir Of Compliance; Compliance Dir.; Director, Compliance; Dir. of Compliance