Our client, one of the most recognized brand names in the technology and investment world is seeking to hire a Director of Ethics and Compliance (“Director”) to support the Company’s global vision and framework for ethical conduct and compliance with laws (“Program”).
Reporting to the Chief Ethics and Compliance Officer, the Director will be responsible for the operations of the company’s Ethics and Compliance Office. S/he will manage the day to day operational implementation of the Program and ensure that the office will function as an independent and objective body that reviews and evaluates compliance issues and concerns within the organization.
This executive will work with senior management to ensure company employees and agents understand and comply with applicable rules, regulations, and company Policies, and Code of Conduct (“Code”). Finally, the Director will oversee investigations into allegations regarding violation of law or misconduct and ensure that disciplinary action is consistent and appropriate.
A minimum of 6 years’ experience in complex organizations and familiarity with legal, compliance, assurance, risk, internal audit and human resource procedures and regulations is required. The successful candidate will possess the following skills and character traits.
• Experience in ethics and compliance program development and implementation
• Experience with preventive and detective control development, implementation and testing
• Familiarity with Investor Advisors Act
• Facility with conflicts of interest management, diligence, ethics training development, implementation and delivery; and formulating ethics and policies, procedures, and practice
• Ability to effectively coordinate, motivate and mentor a cross-functional team members to resolve complex problems
• Experience collaborating with multiple departments to execute projects
• Strong verbal, written and interpersonal skills with the ability to interface with all levels of management and staff
• Excellent sense of humor
• CCEP qualified
Key Responsibilities Include the Implementation of the company’s Program architecture including:
• Prepare Program status on a regular basis, and no less than annually, for reporting to the leadership Board on the activities of the Ethics and Compliance Program, significant allegations of misconduct or violations of law, the handling of conflicts of interest, the training of personnel, compliance monitoring/auditing and related procedures, and any government investigations.
• Prepare Program status on a regular basis, and no less than annually, for reporting to the Board on the activities of the Ethics and Compliance Program, significant allegations of misconduct or violations of law, the handling of conflicts of interest, the training of personnel, compliance monitoring/auditing and related procedures, and any government investigations that may involve the company.
• Development, maintenance and consistent enforcement of company’s policies and procedures for the general operation of the Program and its related activities to prevent illegal, unethical, or improper conduct in line with the Code.
• Maintain and periodically review and update Program policies to keep them current and relevant using the results of periodic surveys and efficacy testing.
• Manage Jsox environmental controls development, implementation and testing.
Training and Awareness
• Oversee the implementation and maintenance of an effective compliance communication program for the company, including promoting (a) an organizational culture that encourages ethical conduct and a commitment to compliance with the law; (b) heightened awareness of Code of Conduct and appropriate reporting of improper activities, (c) ethical decision making and conduct, and (d) understanding of new and existing compliance issues and related policies and procedures.
Monitor, Audit and Report
• Conduct regular monitoring and auditing of the function and effectiveness of the Program and report to management, HQ and governance.
• Monitor and, as necessary, direct the coordination of the compliance activities of other functions and compliance sectors to remain informed of the status of Program activities and to identify trends.
• Prepare reports annually for the Board on the progress of the Program and planned future activity including status, content and operation.
• Direct the response to alleged violations of the Code and related Policies, laws, and regulations, by evaluating the allegations and overseeing any appropriate investigation and resolution of such allegations.
• Develop, implement and operate the Company’s COI policy and procedure.
• Develop, implement and operate the Company’s deal-based diligence policy and procedure.
• Direct periodic reviews with the Risk Management function to identify risks of criminal conduct and compliance vulnerability with regards to COI and transaction diligence, among other key risks.
• Develop and implement corrective action plans for resolution of issues arising from Risk reviews and provide general guidance on how to avoid or deal with similar situations in the future.
• Conduct regular risk assessments to identify changing risk, mitigation, and residual risk. Oversee mitigation of any gaps or deficiencies. Report on a regular basis to corporate HQ.
• Oversee the company’s compliance sectors to ensure consistent application of the company’s program and to direct compliance issues to appropriate existing channels for investigation and resolution.
• Work closely with other functions such as Legal, HR, IA and Finance.