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Head - Ethics and Compliance The candidate will lead compliance initiatives required to ensure that the firm complies with applicable law and the firm’s Code of Conduct. The Head of Ethics and Compliance will further ensure that all of the firm’s compliance efforts are effective, represent legal, common-sense solutions, and remain consistent with the firm’s unique people culture. Duties include: Implementation and oversight of the firm’s Compliance Program, including maintaining and revising policies and procedures to prevent illegal, unethical, or improper conduct or other conduct inconsistent with the firm’s Code of Conduct; Working with existing departments, including the Compliance team within People Support, the Accounting Center team, and the firm’s in-house and outside legal teams, to guide and support their compliance-related activities; Working with the Training Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers; Collaborating with other departments (e.g., SSR, Internal Audit, People Support, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with the firm’s legal counsel as needed to resolve difficult legal compliance issues; Researching new and existing laws, regulations, policies, and industry standards and identify existing and emerging business practice issues and risks to the firm’s; Responding to alleged violations of rules, regulations, policies, procedures, and the Code of Conduct by evaluating or recommending the initiation of investigative procedures in consultation with the firm’s General Counsel and the Chief Financial Officer or other appropriate member of senior management; Acting as an independent review and evaluation body to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved; Identifying potential areas of compliance vulnerability and risk; developing/implementing corrective action plans for resolution of problematic issues, and providing general guidance on how to avoid or deal with similar situations in the future; Providing reports on a regular basis to keep the firm’s General Counsel, Board and senior management informed of the operation and progress of compliance efforts; Identifying high priority allegations and problematic trends, and taking swift effective steps to make necessary changes and improvements; Assisting with the institution and maintenance of an effective compliance communication program for the organization, including promoting (a) use of the Respectful Workplace Hotline; (b) heightened awareness of the Code of Conduct, and (c) understanding of new and existing compliance issues and related policies and procedures; Working closely with Field Operations to ensure that compliance-related rollouts, initiatives, and processes are understood and implemented effectively, quickly, and accurately. Simultaneously own the firm’s Compliance Program and advance the firm’s unique people culture.
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