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Our client, one of the most recognized brand names in the technology and investment world is seeking to hire a Director of Ethics and Compliance (“Director”) to support the Company’s global vision and framework for ethical conduct and compliance with laws (“Program”).
Reporting to the Chief Ethics and Compliance Officer, the Director will be responsible for the operations of the company’s Ethics and Compliance Office. S/he will manage the day to day operational implementation of the Program and ensure that the office will function as an independent and objective body that reviews and evaluates compliance issues and concerns within the organization.
This executive will work with senior management to ensure company employees and agents understand and comply with applicable rules, regulations, and company Policies, and Code of Conduct (“Code”). Finally, the Director will oversee investigations into allegations regarding violation of law or misconduct and ensure that disciplinary action is consistent and appropriate.
A minimum of 6 years’ experience in complex organizations and familiarity with legal, compliance, assurance, risk, internal audit and human resource procedures and regulations is required. The successful candidate will possess the following skills and character traits.
Experience in ethics and compliance program development and implementation
Experience with preventive and detective control development, implementation and testing
Familiarity with Investor Advisors Act
Facility with conflicts of interest management, diligence, ethics training development, implementation and delivery; and formulating ethics and policies, procedures, and practice
Ability to effectively coordinate, motivate and mentor a cross-functional team members to resolve complex problems
Experience collaborating with multiple departments to execute projects
Strong verbal, written and interpersonal skills with the ability to interface with all levels of management and staff
Excellent sense of humor
Key Responsibilities Include the Implementation of the company’s Program architecture including:
Prepare Program status on a regular basis, and no less than annually, for reporting to the leadership Board on the activities of the Ethics and Compliance Program, significant allegations of misconduct or violations of law, the handling of conflicts of interest, the training of personnel, compliance monitoring/auditing and related procedures, and any government investigations.
Prepare Program status on a regular basis, and no less than annually, for reporting to the Board on the activities of the Ethics and Compliance Program, significant allegations of misconduct or violations of law, the handling of conflicts of interest, the training of personnel, compliance monitoring/auditing and related procedures, and any government investigations that may involve the company.
Development, maintenance and consistent enforcement of company’s policies and procedures for the general operation of the Program and its related activities to prevent illegal, unethical, or improper conduct in line with the Code.
Maintain and periodically review and update Program policies to keep them current and relevant using the results of periodic surveys and efficacy testing.
Manage Jsox environmental controls development, implementation and testing.
Training and Awareness
Oversee the implementation and maintenance of an effective compliance communication program for the company, including promoting (a) an organizational culture that encourages ethical conduct and a commitment to compliance with the law; (b) heightened awareness of Code of Conduct and appropriate reporting of improper activities, (c) ethical decision making and conduct, and (d) understanding of new and existing compliance issues and related policies and procedures.
Monitor, Audit and Report
Conduct regular monitoring and auditing of the function and effectiveness of the Program and report to management, HQ and governance.
Monitor and, as necessary, direct the coordination of the compliance activities of other functions and compliance sectors to remain informed of the status of Program activities and to identify trends.
Prepare reports annually for the Board on the progress of the Program and planned future activity including status, content and operation.
Direct the response to alleged violations of the Code and related Policies, laws, and regulations, by evaluating the allegations and overseeing any appropriate investigation and resolution of such allegations.
Develop, implement and operate the Company’s COI policy and procedure.
Develop, implement and operate the Company’s deal-based diligence policy and procedure.
Direct periodic reviews with the Risk Management function to identify risks of criminal conduct and compliance vulnerability with regards to COI and transaction diligence, among other key risks.
Develop and implement corrective action plans for resolution of issues arising from Risk reviews and provide general guidance on how to avoid or deal with similar situations in the future.
Conduct regular risk assessments to identify changing risk, mitigation, and residual risk. Oversee mitigation of any gaps or deficiencies. Report on a regular basis to corporate HQ.
Oversee the company’s compliance sectors to ensure consistent application of the company’s program and to direct compliance issues to appropriate existing channels for investigation and resolution.
Work closely with other functions such as Legal, HR, IA and Finance.
About Solutus Legal Search
Solutus Legal Search is the leading legal search boutique and market leader in the placement of high quality lawyers in corporations and law firms. We deliver strategic search services for our clients, as well as effective career counseling and placement services for candidates. With over 30 years of collective experience in the search business, our extensive relationships, networks and contacts in the legal community provide our candidates with a crucial edge in landing the perfect job. In addition, our quality of clients and job opportunities is unmatched. Every recruiter at Solutus is an attorney who has practiced in either large law firms or world-class corporations. This added expertise enables our team to better understand your background and career needs and creates a high placement rate for our candidates. Our search specialties include General Counsel and all levels in-house; law firm lateral associate and retained lateral partner placements. With offices across California, Solutus services clients throughout the West Coast, U.S. and the globe.
For a current list of our in house and law firm opportunities, please visit our website at www.solutuslegal.com.