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Associate General Counsel, Compliance The candidate will report to the company’s Vice President for Legal and will work to ensure company-wide compliance with relevant law and regulations, that Company policies and procedures are being followed, and that behavior throughout the organization is ethical and consistent with the Company’s Code of Business Conduct and Ethics. Identify potential areas of compliance risk and vulnerability, and develop additional policies and procedures to help minimize that risk. Assess compliance risks for all new business lines, products and services and recommend risk mitigation strategies. Drive the implementation of compliance and operational risk management processes across the Company. Report to the Audit Committee on a quarterly basis on compliance-related matters. Conduct internal investigations, as needed, of potential violations of law or Company policy, and where investigations reveal gaps in controls, work with the business and the company’s Internal Audit Team to put in place additional processes and controls. Oversee the development and delivery of compliance training programs. Advise members of the business regarding how to implement business initiatives in a manner that is consistent with the company’s compliance policies and best practices. Conduct periodic legal reviews of the Company’s compliance program. Compile and analyze information from such legal reviews to propose revisions to compliance policies and procedures as needed. Work closely with the company’s Internal Audit Team to identify weakness in the Company’s compliance program. Keep abreast of regulatory developments to identify the potential impact to the company’s business. Update legal and compliance department colleagues on developments regarding significant or emerging legal and compliance risks. Juris Doctor (J.D.) from an accredited law school is required. 10+ years of work experience, including having built or grown an in-house compliance team at a publicly traded company required. The ability to learn on the job and manage constantly changing priorities required. Excellent customer service and written/verbal communication skills required. High level of professionalism with strong judgment and commitment to ethical issues required.
Job ID: 56662
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