Global Compliance Officer – VP California
Top-Tier financial services firm is seeking a Vice President of Global Compliance to act as the general manager of the firm’s global ethics and compliance program.
The primary role of position is to ensure that ethics and compliance activities across the firm continue to meet and exceed all regulatory requirements under the U.S. Federal Sentencing Guidelines definition for an effective ethics and compliance program. The Vice President, Global Compliance will direct corporate compliance activities, monitor compliance trends, measure the effectiveness of policies and training, share best practices, and manage compliance-related communications in a manner reflecting the firm’s position as the industry leader.
Responsibilities:-
* Manages and leads all aspects of the global compliance program.
* Serves as subject matter expert in FCPA and related anti-corruption laws globally, and is responsible for designing and implementing internal controls related to these laws.
* Communicates the corporate code of conduct (Standard of Business Conduct) and ethics responsibilities to all employees and other relevant parties. Oversees annual code of conduct global certification process.
* Oversees the global internal investigations program including the Company’s Whistleblower hotline, with assistance from outside counsel and external audit as appropriate.
* Partners with Chief Risk Officer and Internal Audit to oversee annual legal/compliance risk assessments in all countries of operation; presents findings and recommendations to senior business leaders; oversees implementation of action plans based on findings.
* Designs and implements the compliance program’s monitoring and auditing activities and based on findings recommends program improvements.
* Develops and coordinates a multifaceted training and communication program that focuses on “tone at the top” publications, and innovative distance learning opportunities to ensure that all appropriate employees and management are knowledgeable of, and comply with, pertinent legal, ethical and company standards.
* Oversees company-wide policy development, improvement and implementation.
* Prepares periodic reports on compliance program activities for presentation to the audit committee and board of directors.
* Develops metrics and tools to identify trends and issues; drive change designed to prevent and detect violations pertaining to corporate policies, values, applicable laws, regulations, and the corporate code of conduct.
* Partners with corporate legal counsel, as appropriate, on issues concerning external regulatory agencies, and regulatory tracking including responding to inquiries from government regulators and law enforcement.
Requirements:-
* Ten years experience managing ethics and compliance related programs in a multinational public company, extensive experience within a governmental or regulatory body, or other relevant substantive experience.
* Significant experience in Federal Corrupt Practices Act/Anti-bribery law (“FCPA”) compliance.
To apply please submit your resume to info@compliancesearch.com