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Years of Experience
Date Last Verified
ProfileCompliance Officer-Ethics Attorney Duties: Assist with the review and assignment of matters reported to the Ethics Office to appropriate Ethics Liaisons. Assist in the coordination of timely investigation and effective management of matters reported to the Ethics O. ffice, including active monitoring and follow up with Ethics Liaisons and others performing ethics-related investigations. Provide direction and guidance to Ethics Liaisons and others performing ethics-related investigations. If needed, take active role in investigation, resolution and follow up of matters. Identify and report trends, significant matters and compliance issues to senior management. Develop charts / analysis to highlight trends, correlations and key issues. Assist in preparation of reports and metrics for distribution to business committees, senior management, auditors and regulators. Prepare materials for presentations as part of employee engagement programs. Assist with other Ethics Office initiatives as needed.
Qualification and Experience
Qualifications: A qualified lawyer with 3+ years of litigation, prosecutorial, investigations or regulatory experience, including familiarity with the financial services industry and products, and a strong understanding and familiarity with a global, corporate environment. Outstanding writing and analytical skills, sound judgment, discretion, and an understanding of business processes. Familiarity with the United States Sentencing Guidelines, Sarbanes-Oxley Act, and related best practices is preferred. Ability to multi-task and manage high volume case load in a fast paced environment. Work ethically and with integrity. Ensure that all matters are handled with fairness to involved stakeholders. Ability to establish and maintain credibility and trust throughout organization . Analyze new matters, recognize risks and apply sound judgment. Respond quickly and appropriately to internal and external stakeholders. Ability to analyze quantitative and qualitative data and create reports. Excellent communication and presentation skills (written and oral). Able to work independently as well as in a team. Highly organized. Detail-oriented. Discretion and ability to protect confidential information. Develop charts and analysis to highlight trends, correlations and key issues. Technologically proficient with PowerPoint and Excel.