Compliance Ethics Consultant

Temporary

Madison-Davis

EXTERNAL CLIENT ROLE

Overview:

This position sits within the Ethics Office which is part of the Compliance department. The Ethics Office is responsible for developing, overseeing and maintaining programs linked to Anti-Bribery Corruption, Internal Fraud Risk Management, Culture and Conduct and Social Policy. 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. This role will involve supporting the strategic development and oversight/maintenance of the Social Policy program which focuses on the due diligence, assessment and escalation of clients and/or transactions that may pose heightened ethical and/or social concern. The role requires contribution to the development/enhancement and maintenance of policy and procedures and creation of training content.

Responsibilities:

  • Support and facilitate execution of the Social Policy implementation plan, which includes development of or update to policies, procedures, processes and controls.
  • Draft relevant operational procedures supporting the Ethics Office in relation to the Social Policy.
  • Work closely with the internal Communications/Marketing team to support an internal communication/awareness campaign for the Ethics & Social Policy.
  • Create a training program for relevant stakeholders that cover critical elements of the Social Policy. Key focus on KYC/AML training.
  • Develop an FAQ document to assist stakeholders with implementation and integration of Social Policy into existing firm processes.
  • Assist with other responsibilities and tasks as identified by the Chief Ethics Officer.

Qualifications:

  • 2-5 years of experience in financial services in a Compliance, legal or risk and controls function and understanding of key financial services issues
  • Strong written and verbal communication skills, analytical skills and organizational skills
  • Expertise in Compliance program management including but not limited to experience developing and drafting policies, procedures, communications, and training content.
  • Demonstrated stakeholder managements skills, including ability to build and maintain strong relationships with a wide range of key stakeholders across business lines and functions
  • Ability to deliver high quality work product under strict deadlines
  • Ability to identify opportunities for enhancement to processes and program
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