Director of Compliance and Regulatory Services

Department: Executive Administration

Reports To: Chief Executive Officer (CEO)

FLSA Status: Exempt

Safety Sensitive: No

Position Summary
The Director of Compliance and Regulatory Services serves as a strategic advisor to the Chief Executive Officer and provides executive leadership for Chatham Area Transit's (CAT) compliance, risk management, internal audit, civil rights, DBE, governance, and regulatory affairs functions. This position is responsible for developing, implementing, and overseeing a comprehensive compliance and risk management framework that promotes accountability, transparency, operational excellence, and adherence to all applicable federal, state, and local laws, regulations, grant requirements, and organizational policies. The Director fosters a culture of integrity and continuous improvement while advancing CAT's mission through proactive risk mitigation, regulatory stewardship, and organizational effectiveness.

ESSENTIAL DUTIES AND RESPONSIBILITIES

Executive Compliance Leadership

• Serve as the Authority's senior compliance officer and strategic advisor to the CEO on regulatory, governance, risk management, and compliance matters.
• Develop and execute CAT's enterprise-wide compliance strategy, ensuring alignment with organizational goals, Board directives, and regulatory requirements.
• Promote CAT Core Values of Safety, Integrity, Accountability, Respect, Teamwork, Customer Focus, and Excellence through all compliance and regulatory activities.
• Provide executive leadership in establishing a culture of ethical conduct, transparency, accountability, and regulatory excellence.

Enterprise Risk Management & Internal Audit

• Design, implement, and oversee CAT's Enterprise Risk Management (ERM) program.
• Conduct annual enterprise-wide risk assessments and develop corresponding internal audit and compliance monitoring plans.
• Evaluate organizational risks and recommend mitigation strategies to executive leadership.
• Monitor internal controls and governance processes to ensure effectiveness and regulatory compliance.
• Lead internal audits, operational reviews, compliance assessments, and special investigations as assigned.
• Present risk assessment findings and recommendations to executive leadership and the Board of Directors.

Regulatory Compliance & Oversight

• Ensure organizational compliance with applicable Federal Transit Administration (FTA), Department of Transportation (DOT), Equal Employment Opportunity Commission (EEOC), Title VI, ADA, DBE, procurement, grant, and other regulatory requirements.
• Monitor legislative and regulatory developments and advise leadership regarding potential operational impacts.
• Develop, maintain, and update compliance policies, procedures, controls, and reporting mechanisms.
• Oversee regulatory reporting activities and ensure timely and accurate submissions.
• Coordinate preparation for audits, triennial reviews, compliance examinations, and external regulatory inspections.

Civil Rights, EEO, and DBE Administration

• Serve as CAT's Disadvantaged Business Enterprise Liaison Officer (DBELO).
• Direct and administer CAT's DBE Program in accordance with federal regulations.
• Ensure compliance with DBE participation goals, reporting requirements, and outreach initiatives.
• Oversee CAT's Title VI, Equal Employment Opportunity (EEO), and other civil rights compliance programs.
• Ensure required civil rights plans, reports, and submissions are maintained and completed within regulatory deadlines.
• Promote equitable access, inclusion, and nondiscrimination throughout CAT operations and programs.

Organizational Performance & Continuous Improvement

• Develop compliance metrics, performance indicators, dashboards, and executive reporting tools.
• Identify opportunities to improve organizational effectiveness, internal controls, operational efficiency, and risk management practices.
• Lead corrective action planning and monitor implementation efforts resulting from audits, reviews, investigations, and regulatory findings.
• Utilize data analytics and trend analysis to identify emerging risks and improvement opportunities.

Leadership & Collaboration

• Develop strong working relationships with executive leadership, department directors, employees, Board members, regulatory agencies, consultants, community stakeholders, and external partners.
• Provide compliance education, training, and technical assistance to departments throughout the organization.
• Foster collaboration and shared accountability for regulatory compliance and ethical business practices.
• Represent CAT in regulatory meetings, professional organizations, industry forums, and governmental interactions as assigned.

CAT Core Values
The Director is expected to model and promote CAT's Core Values:

• Safety First: Prioritize regulatory compliance and risk mitigation to protect employees, passengers, assets, and the public.
• Customer Focus: Deliver responsive and effective internal and external customer service.
• Integrity: Uphold ethical standards, transparency, and public trust.
• Accountability: Take ownership of outcomes and ensure regulatory obligations are fulfilled.
• Respect: Foster an inclusive, professional, and collaborative workplace.
• Teamwork: Build partnerships across departments and with external stakeholders.
• Excellence: Pursue continuous improvement and operational excellence.

SUPERVISORY RESPONSIBILITIES

• Provides leadership, supervision, coaching, and performance management for compliance and regulatory staff.
• Directs organizational compliance initiatives and cross-functional project teams.
• Oversees consultants, auditors, and external service providers engaged in compliance-related activities.
• Responsible for workforce planning, staff development, succession planning, and departmental performance outcomes.

EDUCATION AND EXPERIENCE
To perform this position successfully, an individual must be able to perform each essential duty satisfactorily.

Required Qualifications

• Bachelor's degree in Law, Public Administration, Business Administration, Finance, Accounting, Risk Management, Compliance, Organizational Leadership, or a closely related field from an accredited institution.
• Minimum seven (7) years of progressively responsible experience in compliance, auditing, risk management, governance, regulatory administration, public administration, or a related field.
• Minimum three (3) years of management or leadership experience.
• Demonstrated experience designing and implementing compliance, audit, risk management, or governance programs.

Preferred Qualifications

• Master's degree in Business Administration, Public Administration, Law, Finance, Compliance, or related field.
• Experience in public transportation, government, quasi-governmental agencies, or federally funded organizations.
• Professional certifications such as:
  • Certified Internal Auditor (CIA)
  • Certified Fraud Examiner (CFE)
  • Certified Compliance & Ethics Professional (CCEP)
  • Certified Public Accountant (CPA)
  • Certified Risk Management Assurance (CRMA)
  • SHRM-CP or SHRM-SCP

• Demonstrated success leading organizational transformation initiatives resulting in measurable improvements in compliance, operational performance, risk reduction, efficiency, or organizational reputation.

KNOWLEDGE, SKILLS, AND ABILITIES

• Leadership Competencies
• Strategic thinking and executive leadership.
• Sound judgment and ethical decision-making.
• Political and organizational awareness.
• Ability to influence organizational culture and change.
• Commitment to accountability, transparency, and excellence.

Technical Competencies

• Enterprise Risk Management (ERM)
• Internal auditing principles and practices
• Regulatory compliance management
• Governance frameworks and internal controls
• FTA, DOT, ADA, Title VI, EEO, and DBE regulations
• Data analysis and performance measurement
• Policy development and implementation

Communication Competencies

• Exceptional written, verbal, and presentation skills.
• Ability to prepare executive reports, Board materials, and regulatory submissions.
• Ability to communicate complex regulatory concepts to diverse audiences.
• Strong negotiation, facilitation, and relationship-management skills.

Organizational Competencies

• Ability to manage multiple complex priorities simultaneously.
• Exceptional attention to detail.
• Strong project management and organizational skills.
• Ability to work independently and exercise considerable discretion and judgment.

PHYSICAL DEMANDS
The physical demands described are representative of those required to successfully perform the essential functions of this position.

• Frequently sits, stands, walks, speaks, hears, and uses hands and arms.
• Occasionally bends, stoops, kneels, crouches, or reaches.
• Occasionally lifts and/or moves up to 20 pounds.
• Reasonable accommodations may be made for qualified individuals with disabilities.

WORK ENVIRONMENT

• Primarily performed in a professional office environment.
• Regular use of computers and standard office equipment.
• Occasional travel to operational facilities, meetings, audits, conferences, and regulatory events.
• Moderate noise levels typical of an office and transit environment.

EQUAL EMPLOYMENT OPPORTUNITY
Chatham Area Transit Authority is an Equal Opportunity Employer and is committed to fostering a diverse, equitable, and inclusive workplace. Employment decisions are made without regard to race, color, religion, sex, national origin, age, disability, genetic information, veteran status, or any other protected classification under applicable federal, state, or local law.

CAT is committed to maintaining a workplace culture grounded in Safety, Integrity, Accountability, Respect, Teamwork, Customer Focus, and Excellence.

Position: 18001