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Years of Experience
Date Last Verified
Ethics Director Duties: Providing thought leadership in designing and implementing Key’s ethics program, ensuring it is aligned with business objectives and meets the laws, regulations and expectations of Key’s Board of Directors and regulatory agencies. Collaborating with senior stakeholders to set direction and standards to ensure effective execution of the ethics program. Collaboratively working with business and functional stakeholders to create consolidated reporting taxonomy and methodology to correctly identify and escalate the risks resulting from employee misconduct. Building, maintaining and continually enhancing an ethics program that includes training, investigative oversight and reporting. Developing reporting to and updating senior management and relevant stakeholders, such as regulators, on execution progress of the ethics program against defined timelines. Ability to navigate and negotiate through conflicting demands to maintain focus on priority objectives while ensuring key stakeholders’ needs are met. Strong team leadership, communication, interpersonal and management skills, with a track record of leading through change and the ability to effectively communicate strategic vision to various stakeholder groups. Developing and implementing the Ethics Office communications architecture, e.g.,: KeyNet communities, KeyNet announcements, messages from leadership team, etc. Lead a team of compliance risk professionals who work directly with the lines of business (LOBs) to identify risks, develop assessments, provide input over controls and testing, advise on and monitor remediation activities and create reporting. Responsible for advising, monitoring, overseeing, and exercising review and challenge of the Bank’s ethics program and setting strategic direction and implementing related compliance policy. Provide direction and deliver training to line of business personnel, Risk Management staff and others. Monitor and assess new or amended legal and regulatory requirements. Accountable for ensuring that the Ethics Program is in compliance with current applicable rules, regulations and laws and industry practices. Responsible for staffing and developing processes to fully implement the objectives and responsibilities of the Ethics Office. Provide strong leadership, mentoring, and guidance to subordinates, peers and other members of the team as well as other members of Risk Management. Responsible for proactively anticipating and responding to changes in regulations, rules and/or laws; assessing the impact of any change and assisting stakeholders in responding to such changes. Respond to internal and external audits, exams and requests for information. Direct the evaluation of audit and examination findings and implementation of corrective action and needed responses. Direct the response to ongoing regulatory and legal inquiries and investigations. Develop and maintain positive working relationships with internal clients, staff, peers, and LOB senior management. Maintain relationships with industry peers and regulatory bodies. Identifies, responds and/or escalates risks as appropriate; Directs the development and recommends for approval policies, standards, procedures and guideline to comply with corporate risk appetites, tolerances and policies. Conducts review and challenge activities and escalation.
Qualification and Experience
Qualifications: An undergraduate degree is required, advanced degree/s desired, JD Degree would be a plus. 8-10 years of relevant industry and professional experience. 5+ years of management experience. Extensive knowledge of the assigned compliance area along with the associated operations including the related rules and regulations of the financial services industry to include: OCC, FRB, State Law and other pertinent regulations.. Experience working with Federal banking regulators.. In-depth practical knowledge of internal controls, risk assessments and compliance and compliance processes, and applicable techniques for implementation of regulatory, compliance and legal requirements and compliance processes.. Strong leadership and relationship management skills including the ability to lead up and across the organization. Has high ethical standards. Ability to effectively communicate to lines of businesses and senior management, both in writing and verbally. Proven to be a proactive thinker. Proven ability to have, maintain, and establish strong contacts within the industry so as to be aware of current industry issues and practices. Proven ability to drive results through people. Strong project management and/or continuous improvement skills. Must demonstrate initiative, good judgment, and leadership ability. Ability to thrive and execute in a complex environment.
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