Director of Compliance

Job Overview

The Director of Compliance is a senior executive role reporting directly to the CEO & Founder of Rivas & Associates. This position carries firm-wide authority to audit, evaluate, and enforce compliance with the firm's standard operating procedures (SOPs), ethical obligations, and regulatory requirements across all offices and remote staff. The Director of Compliance serves as the CEO's primary accountability partner for firm quality, risk management, and professional standards.

Key Responsibilities

1. SOP Compliance Auditing

• Design and maintain a comprehensive audit program to verify adherence to firm SOPs across all offices (Tulsa, Oklahoma City, Fort Smith) and remote staff
• Conduct scheduled and unannounced audits with documented findings, corrective action plans, and follow-up timelines
• Review new and updated SOPs for completeness, clarity, and implementability before firm-wide rollout
• Identify gaps between written SOPs and actual firm practices and escalate findings directly to the CEO
• Coordinate with HR Supervisor on SOP-related training needs arising from audit findings

2. Systems & Process Development

• Build and continuously improve the firm's internal compliance infrastructure, including audit checklists, tracking tools, and reporting templates
• Develop metrics and key performance indicators (KPIs) to measure SOP adherence and operational quality across departments
• Identify process inefficiencies and recommend systemic improvements to the CEO
• Establish standardized audit cycles and documentation protocols to ensure consistency across all firm locations
• Partner with firm leadership on the design and rollout of new operational systems and workflows

3. Case Quality & Denial Trend Analysis

• Conduct periodic audits of client files for documentation completeness, deadline compliance, and procedural accuracy
• Maintain a denial and rejection tracker to identify patterns across case types, attorneys, and offices
• Prepare quarterly trend reports analyzing case rejections, requests for evidence (RFEs), and other adverse outcomes with root cause analysis
• Flag systemic case preparation issues and recommend corrective protocols to the CEO
• Review case outcome data from CRM to identify outliers and quality control concerns

4. Ethics & Professional Conduct Oversight

• Apply knowledge of legal ethics and rules of professional conduct to evaluate firm practices for compliance and risk exposure
• Identify potential ethical risks across firm functions including client communication standards, fee practices, confidentiality protocols, and attorney competence obligations
• Review client complaint records and intake data for patterns that may signal systemic ethical or professional responsibility risk
• Serve as a confidential resource for staff who identify potential ethics or compliance concerns
• Support the CEO in responding to complaints, malpractice matters, and regulatory inquiries as needed

5. Operational & Regulatory Audits

• Audit client intake processes, consent documentation, and fee agreement execution for regulatory and policy compliance
• Review signature workflows and case compilation processes for SOP alignment
• Audit client communication logs and response timelines for compliance with firm standards
• Review usage of firm technology platforms — including Filevine, ClerqLegal, HubSpot, Monday, and the firm's AI receptionist — to ensure adherence to applicable policies and procedures
• Ensure detained client procedures comply with applicable legal and ethical requirements and firm SOPs

6. Reporting & Accountability

• Report compliance findings, trends, and recommendations directly and exclusively to the CEO
• Maintain a confidential compliance log documenting all audits, findings, and resolutions
• Prepare a monthly Compliance Summary Report for the CEO's review
• Recommend disciplinary or corrective actions to the CEO; does not independently impose discipline
• Participate in CEO-level strategic planning as it relates to firm risk, quality, and operational growth

Required Qualifications

• Juris Doctor (J.D.) from an accredited law school
• Active bar license in good standing
• Minimum 3 years of post-bar experience in a legal, compliance, or operations role
• Demonstrated experience building and implementing systems, processes, or compliance frameworks in a professional or regulated environment
• Demonstrated experience conducting audits and producing clear, actionable written findings
• Strong understanding of legal ethics and professional responsibility obligations applicable to law firm operations
• Exceptional analytical and critical thinking skills with strong attention to detail
• Excellent written and verbal communication skills; ability to deliver findings diplomatically but directly
• High degree of integrity, discretion, and ability to operate with independence and confidentiality

Preferred Qualifications

• Experience in immigration law a plus
• Experience designing or scaling a compliance or quality assurance function
• Familiarity with legal case management platforms, particularly Filevine and Hubspot
• Experience in a multi-office or high-volume professional services environment
• Proficiency with Monday.com or similar project and workflow management platforms
• Bilingual English/Spanish a plus

Note to Recruiters and Third-Party Agencies:
We truly appreciate your interest and the work you do to support talent acquisition. However, at this time, we are not engaging with external recruiters or third-party agencies for this role. Thank you for respecting our process.

Background Check Requirement:

A background check is required for this position.

Candidates must have legal authorization to work in the United States. Employment eligibility will be verified through E-Verify.

Equal Opportunity Employer Statement:

Rivas & Associates is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.