Regulatory Compliance Manager

Company: Source Point Staffing
Location: Napa
Posted on: January 28, 2025

Job Description:

Under little or no supervision and acting on own initiative, the Regulatory Compliance Manager is charged with establishing trusted and strategic working relationships with partner business units to provide substantive review and general support with legal and regulatory matters. Overseeing Regulatory Compliance Analyst(s), the Regulatory Compliance Manager works in assigned functional areas and cross-functionally with business partners to provide support, coordination, assistance, training, and to identify and mitigate risk, regulatory issues or problems, and to recommend/implement cost effective solutions. Business partners may include, but are not limited to, Sales, Marketing, New Product Development, Hospitality/DTC/Tasting Room, Customer Service, Finance, Trade Marketing, and Legal. Provides support to the Directory of Regulatory Compliance, and develops and follows procedures which support applicable laws and regulations relating to the sales and marketing of alcohol.Functional Responsibility

• Manages and monitors day-to-day operations and team performance to ensure smooth workflows and that company standards are met
• Manages company culture and holds self, peers, and direct reports accountable for demonstrating a constructive company culture through influential, personal behavior and actions; encourages strong work ethic and fosters an environment of trust and respect
• Develops and aligns individual goals with the department's operational goals; ensures that decisions, actions, and priorities are aligned with the company's vision, mission, and strategies
• Researches best practices, stays abreast of industry trends, and maintains awareness of regulatory changes to ensure compliance and continually improve operations
• Assists in preparing the departmental budget, monitors spending, and directs team in cost-effective operations to ensure adherence to financial objectives
• Monitors performance and regularly communicates with direct reports to achieve mutual understanding and desired results
• Partners with immediate manager to determine staffing needs; attracts, motivates, and retains a workforce with the appropriate knowledge, skills, and abilities to achieve goals and objectives
• Provides employees with a safe, healthy, and rewarding work environment; ensures delivery and completion of monthly safety topics
• Communicates and supports change initiatives and decisions in an effective manner to successfully guide team through change
• Fosters a work environment that encourages creative thinking, promotes flexibility, and drives innovation
• Addresses employee issues, concerns, and complaints in an objective and confidential manner; notifies HR Business Partner and keeps immediate manager informed as appropriate
• Ensures compliance and consistent application of company policies, initiatives, and decisions
• Coaches, guides, and develops direct reports; fully engages in the GPS (Performance Management) process; provides high-quality feedback, and ensures proper GPS documentation of employee performance, recognition, and deficiencies
• Identifies requirements and trains for compliance with all relevant laws and regulations, to include evaluating, determining, and executing compliance requirements in the assigned functional areas.
• Works cross-functionally in assigned functional areas, upholding compliance processes, procedures and workflows, identifies problems and recommends/implements cost effective solutions
• Tracks regulatory matters, issues, and/or changes in regulations, seeks to understand business impacts, and offers recommendations for compliance
• Develops and maintains processes and procedures for department; assists Director of Regulatory Compliance and/or Legal with policy development
• Oversees review of applicable contracts, makes recommended modifications to meet regulatory requirements and to mitigate company risk
• Researches and understands emerging technological trends applicable to functional area; supports decision-making process and implementation/deployment
• Oversees technology solutions, including maintenance, deployment, and system integrations
• Upholds department initiatives, resources, and managed data and knowledge management
• Conducts regulatory research to aid and support legislative tracking
• Develops and delivers end user training and resources for assigned functional area as it relates to legal and regulatory matters
• Manages the Regulatory Compliance Analyst position to maximize efficiencies and performance
• Practices and encourages open communication and problem-solving skills which cultivate a high level of team interactionSpecific functional area assignments may include:
  • Oversight of legal operations, supporting Legal department and business needs
  • Understands and leverages contract management system, seeking opportunities for improvement; works for problem resolution when issues arise
  • Oversees state and salesperson licensing for the United States and for each winery location
  • Oversees and supports execution of trade practice activity to ensure compliance with laws and regulations
  • Supports Corporate Governance through work with the VP, Deputy General Counsel; maintains organization and submits necessary filings
  • Researches local county ordinances for each winery to support compliant activity for events, hospitality, and practices on property
  • Provides support with sustainability marketing efforts to ensure compliance
  • Oversees processing of external communications, providing guidance and making decisions as necessary
  • Oversees review of all social media and digital marketing assessing potential risk areas
  • Develops resources and tools for use in auditing business processes, output of business partners, and performance of external partnersEducation and Experience
    • Bachelor's degree in Business Management or related field, or equivalent experience
    • Minimum of 5 years in compliance, state registration, internal auditing and/or project management or related field, within a regulated industry
    • Supervisory experience preferred
    • Alcoholic beverage industry experience preferredKnowledge, Skills, and Abilities
      • Proficient in desktop applications; MS office & SAP experience preferred
      • Strong analytical skills; works effectively with numbers and spreadsheets
      • Highly detail oriented
      • Strong communication skills, verbal, written, and presentation
      • Effective writer with strong sense of grammar
      • Thrives well under pressure and in a fast-paced, changing environment
      • Highly professional and pleasant disposition
      • Ability to diffuse tensions under stressful conditions
      • Strong listener
      • Strong organizational skills
      • Able to prioritize and quickly assess what needs to get done
      • Effective multitasker
      • Effective team player. Maintains a motivating and positive attitude
      • Creative, energetic, and self-starterWorking Conditions
        • Office/cubical desks within a Campus environment, requiring walking between buildings and to and from the campus to the winery.
        • Position is required to travel weekly to/from the Napa offices
        • Operates keyboard & mouse
        • Required to talk & listen
        • May be required to drive automotive equipment
        • Required to drive automotive vehicle or equipment occasionallyWork Standards
          • Acts in a manner reflective of the Company culture of High Moral Standards, Innovation and Continuous Evolution, Trust in Team, Continuous Improvement, and Sustainable Relationships
          • Communicates, interacts, and works effectively with others; receptive to feedback and coaching; voices concerns in a constructive manner
          • Demonstrates commitment to safety first; communicates safety concerns; promotes a safe work environment based on established safety standards and training
          • Follows all Company policies and proceduresAdditional CommentsManagement retains the discretion to add to or change the duties of the position at any time.California Pay Transparency Disclaimer: This is an Exempt position. The pay range for this position is $91,056.00 to $142,541.00. It is not typical for an individual to be hired at or near the top of the range for their role. Actual placement within range will be contingent upon a number of factors, including but not limited to the candidate's qualifications, education, experience, internal equity and alignment with market data.Delicato Family Wines offers its employees a generous and comprehensive benefits package. The core health insurance components include medical, dental and vision, where Delicato covers nearly the entire cost for employees and a large percentage for dependents. Additional health benefits include life, disability and flexible spending accounts. Other benefits include 401(k) with generous company match, discretionary profit sharing, paid time off (PTO), paid holidays, wine & merchandise discounts, tuition reimbursement, gym discounts & many more.Delicato Family Wines is an Equal Opportunity Employer.
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Keywords: Source Point Staffing, San Jose , Regulatory Compliance Manager, Executive , Napa, California