Senior Director Ethics and Compliance

Position Summary:

The Director, Compliance & Integrity is a leading role in our Ethics and Compliance (E&C) Group.  The Director will be responsible for supporting the Chief Compliance Officer with the oversight of the E&C program and designing, implementing, and continually improving upon the elements of an effective compliance program. Primary roles consist of assessing, monitoring, detecting, reporting, and training on current and developing compliance issues and risks to the company; interfacing with Corporate Audit Services (“CAS”), Human Resources, Legal, business contacts, and other key global stakeholders to help ensure a coordinated approach on compliance matters; and maintaining an effective global compliance program. These duties emulate the Company’s commitment to doing the right thing in the right way along with following the laws, regulations, industry codes, policies, and procedures that govern our business, both of which are foundations of culture.

The role is a new US role directly managing a team of E&C professionals, leading investigations, and related E&C activities, engaging with internal cross-functional stakeholders and external parties, and providing guidance/ direction to internal clients.

Responsibilities:

• Ethics and Compliance (E&C)
  • Design, assess, and continually improve an effective E&C program that prevents and detects wrongdoing, globally
  • Establish the E&C strategic and annual plans
  • Ensure a principle-based Code of Conduct is implemented (policy and execution) stating the company’s commitment to full compliance with relevant laws applicable to commensurate with industry risks, comparative benchmarks, and in association with appropriate and individualized employee engagement mechanisms
  • Support leadership in creating and fostering an engaged global culture of E&C with the law
  • Lead and developed assigned team members of the E&C team (aligning seniority, experience, qualifications, resources, and autonomy from management).
  • Ensure and establish policies and procedures are world-class, principle-based, and readily accessible with clarity and understanding to all employees to aid in employee awareness and reducing risks
  • Manage and oversee the completion of the compliance risk assessment
  • Develop training and communication strategies that are responsive to the Company’s needs and effectively raise awareness of E&C principals
  • Ensure a monitoring program is established and implemented to monitor business activities in identified risk areas to identify potential misconduct. Ensure root cause analysis is conducted to develop corrective and preventative measures
  • Periodically assess and evolve the program over time to address existing and changing compliance risks
• Governance
  • Support and/or represent E&C on various governance committees (e.g., Ethics & Compliance Committee and Investigations Oversight Committee) or as may be assigned
  • Develop strong relationships and act as a business partner with the Company’s business units and affiliates
  • Routinely support CCO and senior-level stakeholders, ensuring content and operations of the E&C program are accurately stated, regular reporting on the effectiveness of the E&C program, and immediate awareness and escalation of complex or sensitive matters, if/as such arise
• Enterprise Risk Management (ERM)
  • Facilitate and support the Company’s ERM Program to identify, assess, and define its risk profile and socialize risk profiles to stakeholders
  • Update and revise the enterprise risk profile on a periodic basis based on emerging risks and lessons learned
  • Report the outcome of ERM annually to the Executive Leadership Team and the Board of Directors to ensure resources are allocated to the Company’s highest priorities
• Anti-Corruption and Third-Party Management
  • Provide oversight to the future development and execution of Anti-Corruption and Third-Party Management Program to assess third party partners
  • Ensure a risk-based due diligence process is established to assess and manage third-party partners
  • Ensure the anti-corruption/anti-bribery requirements and third-party management process is integrated into the relevant procurement and vendor selection and management processes
  • Ensure an ongoing monitoring program of third-party relationships is established and implemented
• Global Hotline and Investigations
  • Oversee the Company’s Integrity Line and ensure a process is established and implemented to handle investigations of such complaints
  • Oversee and support the Investigations Oversight Committee to drive integrity and consistency of the investigation and discipline process including serious violations, risks, trends, discipline, and related preventative strategies

Basic Qualifications:

• Undergraduate degree, Bachelor’s minimum.
• 10+ years of experience in compliance, regulatory role, or related field
• Ability to:
• Ability to establish relationships with peers and senior leaders based on trust, reliability, and confidence and foster an environment of inclusion and partnership between departments
• lead through persuasion, including individuals that do not report to Ethics & Compliance, and effectively lead ad hoc teams from different departments and locations
• Strong understanding of risk management fundamentals/tools and the ability to deal with ambiguity
• Strong change management and project management skills
• Effective leadership and influencing skills (critical thinking, results-oriented, etc.), including a strong reputation for integrity, objectivity, impartiality, fairness, and sound judgment
• Demonstrated knowledge of industry best practices for policies and procedures, training, and communications in a global company
• Preferred experience or demonstrated abilities to lead the following areas:
  • performing compliance risk assessments
  • developing and administering training programs, including an understanding of the efficacy of training and learning and development best practices
  • policy writing and development
  • conducting internal investigations
  • drafting communications that set a tone at the top for support of compliant and ethical behavior
  • third-party risk management
• Experience designing, implementing and enhancing controls related to ethics & compliance
• Ability to partner effectively with stakeholders in multiple geographies and positions within the company with cross-cultural sensitivity and mindset
• Strong interpersonal and communication skills. Ability to explain compliance risks and write policies. Must understand how to influence and diplomatically challenge when needed
• Experience working with and advising senior business partners on ethics and compliance matters.
• High level of professional maturity and sensitivity to confidentiality
• Willingness to champion an idea or position despite dissent
• Be able to handle multiple projects in a fast-paced environment and be able to quickly step in in situations where resources may be restricted, or timing is constrained.
• In addition to top-notch E&C skills, one must have excellent interpersonal, strategic thinking, communication, and organizational skills.
• Proven ability to educate internal clients on complex E&C-related processes, procedures, and risks associated with awareness education, performing with complete integrity for all matters, and delivering on promises made.

Additional Skills & Preferences:

• Advanced degree(s) in management, law, business, compliance, etc.
• Advanced degree in business (e.g., MBA, DBA)
• Strong business acumen and mindset towards collaboration
• Strong ability to develop ideas visually and communicate messaging and guidance to senior leaders with a dedicated following
• Demonstrated and recognized E&C leadership in the field
• Six Sigma certification obtained or actively pursuing
• Consistent support to DE&I initiatives throughout a professional career