Compliance Officer

• The Compliance Officer safeguards Western Steel’s legal, regulatory, and contractual standing by owning licensure,
• government filings, surety and bonding, prequalifications, liens, insurance administration, and field safety compliance,
• while supporting contract review. Working in tandem with the Administrative Assistant and with final approval from the
• Business Services Manager, this role partners with Executive Leadership, outside counsel, Finance, Operations, and
• external agencies, leads process improvements that keep the company compliant as it grows, and supports ad hoc
• projects from Executive Leadership.

• OUR MISSION
• Our mission is to be a highly successful company by providing superior products, outstanding service, and the greatest value in the steel building industry. We respectfully engage and challenge each other to continuously improve and perform at the highest level while embracing the positive feedback necessary to openly assess our performance. Our deep commitment to growth, development, and personal responsibility enables us to deliver superior value to everyone associated with our company.

• GUIDING QUESTIONS
• This position must operate in alignment with Western Steel’s guiding questions:

• How am I a problem for others?
• Every team member must constantly evaluate whether incomplete information, missed deadlines, unclear
• communication, or lack of follow-through are creating problems for colleagues, clients, vendors, or other internal team members.
• How can I be more helpful to others?
• Every team member must proactively support the team by providing accurate information, timely updates, complete
• documentation, clear communication, and practical solutions that help move work forward without unnecessary delay.
• How can I help things go right?
• Every team member must identify risks and potential problems before they become larger issues. When issues arise,
• they must be escalated quickly with clear facts, recommended solutions, and an understanding of the impact on clients, colleagues, and the company.

KEY ROLES AND RESPONSIBILITIES

• Licensure & Government Filings
• •Initiate and maintain Professional Engineer licensure for appropriate Western Steel Designs employees
• •Own state and local contractor licensing for WSB Assets, Inc. and its DBAs, including applications, renewals,
• exams, qualifier or qualified individual requirements, monetary limit tiers, and project-specific limit increases
• (e.g., Nevada State Contractors Board)
• •Obtain and renew city and county business licenses in each jurisdiction where the company supplies, erects, or
• contracts for buildings
• •Maintain engineering firm registrations (certificates of authorization) for Western Steel Designs in every state
• where it provides engineering services, in coordination with individual Professional Engineer licensure
• •Manage government filings, including annual reports, state registrations, and other statutory filing obligations
• •Maintain foreign qualifications and registered agent appointments; monitor good-standing status in every
• jurisdiction, resolve any lapses, reinstatements, or terminations, and liaise with outside counsel and Finance on
• statutory changes and regulatory updates
• •Build and maintain a licensing matrix and map showing where the company can currently offer building supply,
• steel erection, and general contracting; evaluate licensing requirements before the company bids work in a new
• state or locality

• Surety & Bonding
• •Serve as the in-house point of contact with the company’s surety broker for bid, performance, payment,
• contractor license, and permit bonds; assemble the supporting documentation sureties and licensing boards
• require
• •Prepare surety letters and powers of attorney for bids and prequalifications; track issue dates so a current letter
• is always on file
• •Coordinate bond increases tied to change orders and contract value changes, and close out bonds at project
• completion
• •Support bonding capacity reviews by assembling financial statements and project information in coordination
• with Finance; maintain a bond log by project

• Prequalification & Vendor Compliance
• •Own the company’s prequalification submissions to general contractors and owners, including online platforms
• such as TradeTapp and BuildingConnected; complete questionnaires and gather financial statements, surety
• letters, safety statistics, licenses, and references
• •Maintain a current master prequalification packet (W-9, Certificates of Insurance, licenses, surety letter, safety
• records, and company profile) so submissions can be turned around quickly
• •Track prequalification status, renewal dates, and outstanding items for each general contractor, and follow up
• until approval is confirmed
• •Manage the vendor and subcontractor pre-qualification process: collect, review, and maintain W-9s, Certificates
• of Insurance, and business licenses; confirm they meet contract requirements before work begins and track
• expirations throughout the project

• Contract Review Support, Terms & Conditions
• This role does not own company contracts. Contract ownership, negotiation, and execution remain with the Business
• Services Manager and Executive Leadership; the Compliance Officer assists with the items below.
• •Handle routine contract intake and routing; help ensure agreements are reviewed by the appropriate party,
• including outside counsel when warranted, before execution
• •Perform first-pass reviews of foreign (third-party) contracts issued by general contractors, owners, and vendors,
• including subcontracts, purchase orders, NDAs, consulting agreements, and manufacturer and partner
• agreements, against a company review checklist; flag provisions on scope, payment terms, retainage, indemnity,
• insurance, liens, flow-down obligations, and AI-use restrictions, which are shared with the Business Services
• Manager and affected teams
• •Prepare proposed redlines and ensure required contract exhibits, forms, and attachments are returned by the
• requested deadline
• •Help maintain the company’s customer and subcontractor terms and conditions as separate tracks, recording
• revisions and coordinating updates with Operations, Finance, and outside counsel
• •Maintain a contract management log tracking executed agreements, renewal dates, key terms, and ongoing
• post-signing obligations (e.g., confidentiality, notice, insurance, and reporting requirements); confirm required
• flow-down terms are passed to subcontracts and purchase orders

• Liens & Payment Protection
• •Manage preliminary notices through the company’s lien service provider and maintain a calendar of notice and
• lien deadlines by project and state
• •Respond to preliminary notice and lien verification requests from general contractors, owners, and lien services
• •Prepare, collect, and track conditional and unconditional lien waivers (progress and final) in the company’s dual
• role as grantor and collector; maintain a lien waiver log and coordinate with Procurement and Finance
• •Prepare lien filing recommendations and supporting documentation; all lien filings require written approval from
• the Business Services Manager or the President

• Insurance & Risk Management
• •Coordinate on-site administration of company insurance policies (general liability, workers’ compensation,
• professional liability, commercial auto, builders risk, etc.) with the broker and the offsite finance group; serve as
• the in-house point of contact for Certificate of Insurance requests, endorsements, claims, and policy questions
• •Compare contract insurance requirements against current coverage and resolve gaps before execution
• •Lead insurance projects as the company grows, including evaluating errors and omissions coverage and adding
• workers’ compensation coverage in new states
• •Support annual insurance renewals by assembling underwriting information with the broker and Finance
• Federal Contracting Readiness
• •Assist with SAM.gov registration and annual renewal, UEI and CAGE codes, and representations an