Commercial Compliance Manager

Corporate | Santa Ana | CA

Job Function:
We are seeking an individual to safeguard company assets and the company’s reputation through risk identification, risk mitigation and constantly monitoring the effectiveness of its risk mitigation activities. Responsible for the management of various incidents that may negatively impact the company ranging from natural catastrophes to violations of law or company policy through coordination and cooperation of other departments needed based on the nature of the incident. Manage the Legal/ Compliance Training Administration and related annual certifications as may be required for all North America companies. Serve as the company “Contact Person” to conduct due diligence and provide the annual certifications for Anti-Money Laundering (AML) and Foreign Corrupt Practices Act (FCPA) and Antitrust policies and perform Denied Party Screening (DPS) for new distributors and their principles.


Job Duties:

  • Conduct compliance policy and procedure assessment. Support development of new or updated polices to address new risk areas or to improve operations and/or internal controls.
  • Oversee, administer and perform due diligence new and existing third parties (i.e. distributors and their principals, resellers, etc.) and annual compliance certifications.
  • Conduct compliance risk analyses. Identify potential areas of compliance vulnerability and risk. Develop and implement action plans to mitigate potential risks.
  • Manage compliance training program in the areas of Antitrust, Anti-Corruption, and Anti-Money Laundering, among others, to educate employees on legal and ethical standards and to ensure a comprehensive understanding.
  • Administer and oversee FISI import/ export controls, including screening denied party lists, and monitoring sanctions and embargoed countries.
  • Execute internal auditing and monitoring for policy compliance.
  • Track corrective and preventive action plans associated with previous compliance violations and audit findings.
  • Manage internal and external corrective action plans.
  • Keep abreast of new legislation and enforcement matters affecting global companies as well as industry and compliance best practices.
  • Collaborate closely with colleagues in Legal, Administration IT, HR, Finance, Shared Services, Sales and Marketing, Compliance and Regulatory and other core functions in order to direct compliance issues through the appropriate channels for investigation and resolution, reporting and remediation.
  • Prepare management reports to FISI, HLUS and subsidiary management on incidents, investigations, emerging compliance challenges and general compliance activities.
  • Conduct pre-acquisition due diligence of new businesses and support integration plan.
  • Work with FISI and HLUS to implement new Corporate Compliance policies, administer current policies and respond to annual audit activities.
  • Identify areas for Compliance Improvement, develop executive summaries, obtain approvals, implement, train and monitor such improvements.


  • B.S. or B.A. preferred.
  • Minimum of 3 years of commercial compliance experience for an International Company.
  • Experience in the development, initiation, maintenance, and revision of policies and procedures for the general operation of a compliance program and its related activities to prevent illegal, unethical, or improper conduct.
  • Experience evaluating and auditing trade compliance matters to identify operational issues and recommend and implement strategies to resolve compliance problems.
  • Knowledge of Word, Excel, and PowerPoint.
  • Strong project management skills, to include managing and prioritizing multiple concurrent projects, and reporting progress and risks to colleagues and senior management.
  • Demonstrated ability to advise and collaborate with management on compliance issues, facilitating risk assessment and developing practical business solutions.
  • Knowledge of import/ export regulations including but not limited to:
    • OFAC
    • National and Internal Import/Export Control Regulations
    • ITAR
    • DPS checks
    • SDN List
    • Be aware of and understand foreign sanctions and embargos.
  • Good oral and written communication skills, including good grammar skills.
  • Interpersonal skills/ communication.
  • Building positive working relationships.
  • Initiative/Accountability Planning and organizing Strong presentation skills.
  • Ability to multi-task.
  • Autonomy.


To Apply: Please send resume to: Please put Commercial Compliance Manager 102918 in the subject line.


Principals only. No recruiters please.


Irvine Scientific is an equal opportunity employer. All qualified candidates will receive consideration for employment without regard to race, color, religion, sex including sexual orientation and gender identity, national origin, disability, protected Veteran status, or any other characteristic protected by applicable federal, state, or local law.

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