This position sits within the Ethics Office. The Ethics Office is responsible for developing, overseeing and maintaining programs linked to Anti-Bribery Corruption, Internal Fraud Risk Management, Culture and Conduct and Sales Practices. The group acts in an advisory capacity and as a subject matter expert providing credible challenge to in-scope first line of defense activities and performing second level controls. In addition, responsible for the management and oversight of the Whistleblower Program.
This role will assist the team with the development and oversight of the Conduct & Culture and Sales Practices Programs. The chosen candidate will contribute to the development of policies and procedures, related training and communications as well as the oversight of assigned projects aimed to enhance program effectiveness and efficiencies.
- Assist with execution of ongoing projects and proactive activities linked to the Culture & Conduct Program.
- Assist with drafting, enhancing, obtaining and incorporating stakeholder feedback on related policies and procedures
- Contribute to stakeholders’ updates to existing policies and procedures in connection with Sales Practice Risk Management, as needed
- Contribute to the development of related training and communications
- Assist with identification and management of Culture & Conduct and Sales Practices program metrics
- Participate in the development and management of Culture & Conduct related outreach initiatives
- Assist with the monitoring and tracking progress of completion for project deliverables.
- Assist with other responsibilities and tasks as identified by the Head of Conduct Risk & Culture.
- At least 5 – 7 years of experience in financial services Compliance another control function or a financial services regulator
- Experience working in financial services Compliance, another control function or a financial services regulator
- Experience developing and drafting policies, procedures, communications, and training content
- Highly analytical, with demonstrated strong written/verbal communication skills and interpersonal skills
- Demonstrated ability to build and maintain strong credible relationships with key stakeholder groups
- Experience planning, coordinating and managing projects
- Ability to work in a dynamic environment, and adjust to changing priorities